BASIC INSPECTOR TRAINING COURSE
FUNDAMENTALS OF ENVIRONMENTAL
COMPLIANCE INSPECTIONS
•LEGAL
• TECHNICAL
• ADMINISTRATION
• COMMUNICATIONS
INSTRUCTOR GUIDE
Office of Enforcement and Compliance Monitoring
U.S. Environmental Protection Agency
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PREFACE
This Instructor Guide is designed for use in presenting the training course that inspectors employed
by the U.S. Environmental Protection Agency must complete to satisfy the basic training
requirements of EPA Order 3500.1, Training and Development for Compliance Inspectors/Field
Investigators. The Instructor Guide is based on the student text "Fundamentals of Environmental
Compliance Inspections" and includes lectures, group participation exercises, and discussion topics
intended to reinforce the materials in the text.
Pilot tests of the classroom course were held in December, 1988, in EPA Regions II and V. More
than 50 senior-level inspectors and attorneys from all EPA Regions as well as EPA Headquarters
program office staff participated and provided comments and suggestions for refining the course.
Comments and suggestions about the Instructor Guide are welcome and should be addressed to:
Compliance Policy and Planning Branch (Mail code LE-133), OECM/OCAPO, U.S. Environmental
Protection Agency, 401 M St. S.W., Washington, D.C. 20460.
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ACKNOWLEDGEMENTS
This Instructor Guide is the product of contributions from many individuals throughout the U.S.
Environmental Protection Agency. It was developed under the direction of Donna A. Fletcher,
Program Analyst in the Compliance Policy and Planning Branch, Office of Enforcement and
Compliance Monitoring. Professional Support was provided by George Alderson, Rebecca Barclay,
Lee Braem, Peter Rosenberg, and Cheryl Wasserman. Contractor assistance was provided by
Technical Resources, Inc., with Joel A. Todd and Joan Cox as principal staff, supported by Norma
Jean Miller, Karen Suit, and Belina Nagy.
Special appreciation is extended to EPA Regions II and V, which hosted pilot tests of the training
course, and to the more than 50 senior-level inspectors and attorneys who participated in the pilots
and provided valuable comments and suggestions for refining the materials.
RESERVATION
The policies and procedures set forth herein and the internal office procedures adopted pursuant
hereto are intended solely for the guidance of U.S. Environmental Protection Agency personnel.
These policies and procedures are not intended to be relied upon to create a right or benefit
(substantive or procedural) enforceable at law by a party to litigation with the United States
Environmental Protection Agency. The Agency reserves the right to take any action that is alleged
to be at variance with these policies and procedures or that is not in compliance with internal office
procedures.
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Organizing Tips
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ORGANIZING AND PRESENTING
"FUNDAMENTALS OF ENVIRONMENTAL COMPLIANCE INSPECTIONS"
Successful Regional presentation of the "Fundamentals of Environmental Compliance Inspections"
course for basic EPA inspector training requires careful recruitment and training of instructors as
well as extensive planning and coordination. The suggestions for organizing and planning for the
course are based on the experience gained and comments made during the pilot tests of the course.
A. COURSE MATERIALS
The Text
The 500-page student text has been drawn from exemplary procedures developed by various offices
throughout the Agency, to be conveyed now via this training effort to all EPA staff doing inspection
work. The materials were reviewed formally throughout the Agency, and should be considered to
represent the professional standard for inspection work the Agency wishes to promote. Where policy
and practice have not been established clearly or where Regional differences are anticipated, the text
provides flexibility.
The Instructor Guide
The Instructor Guide contains guides for each session. They are intended as a basic outline for
material to be covered, and include exercises and other group participation activities designed to
reinforce lecture and written material and stimulate discussion. The guides also provide suggestions
for planning and presenting the session, with suggested timing to assure a balance between lecture
and group discussion.
The Instructor Guide also contains hard copy of all handouts and overheads as well as hard copies
of the Pre- and Pos;t-Course Assessments that trainees must complete. It is up to the Region (through
either the Course Coordinator or individual instructors) to duplicate them as needed for a course
offering. A few sessions use photographic slides; one set of slides has been sent to each Course
Coordinator.
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Pre- and Post-Course Assessments
The Pre- and Post-Course Assessments are designed to evaluate student knowledge before and after
taking the course. Comprised of essay questions for which there are no right or wrong answers but
rather degrees of quality in answers, the Assessments will help identify student strengths and
weaknesses.
The Pre-Course Assessment should be completed as a pre-requisite to taking the course and collected
in advance or on the first day of training. This will allow instructors to peruse them so they can see
what areas should be addressed in greater or lesser detail during their portions of the course.
It is up to the Region how the individual Post-Course Assessments are used. Options, which are
not mutually exclusive, include:
• They can be reviewed by the Course Coordinator, instructors, or others as a means of
evaluating how well the course material is being conveyed.
• Students can use their own Assessments to identify areas where they should review the
text or seek additional help.
• Supervisors can review Assessments from students in their units to help determine what
areas to emphasize or reinforce in on-the-job training.
Agenda and Schedule
The Instructor Guide includes a suggested agenda and schedule for presenting the course. Regions
are free to rearrange the schedule, divide the course into different units, or make other changes to
accommodate Regional preferences. However, a student cannot be considered to have completed the
basic inspector training requirement until he or she has completed training in all of the topics in the
course.
The suggested course agenda and instructor guides are designed so that each session builds on earlier
sessions. If substantial changes in order are made, instructors will need to meet together and make
the adjustments needed to assure that their presentations fit together logically.
Revisions
Comments and suggestions for changes in the text, instructor guides, and other materials should be
submitted through the Course Coordinator to the Office of Enforcement and Compliance Monitoring
(OECM) in Headquarters, which is responsible for periodic updating and revision of the course.
Regional comments will be considered for inclusion in the next revision of materials via a mechanism
established under the auspices of the national Inspector Training Advisory Board.
Instructors who develop additional audio-visual materials are also encouraged to send them through
the Course Coordinator to OECM so that they can be shared with other Regions.
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B. ROLES AND RESPONSIBILITIES
Course Coordinator
One person should be assigned to be the overall Coordinator for the course. Ideally, this should be
a permanent assignment to help assure continuity. The Course Coordinator can be one of the
instructors, the Course Facilitator (see below), or some other person (e.g., a personnel officer), as
desired by the Region.
While he or she may delegate individual tasks to others, the Course Coordinator's responsibilities
include the items below.
Ongoing Responsibilities:
• Keeping a roster of instructors;
• Maintaining a supply of student texts and instructor guides and distributing them to
Regional subunits as needed;
• Maintaining audio-visual materials for the course;
• Serving as a focal point for Regional comments and suggestions on course content and text;
• Assuring that records of training are being kept;
• Arranging for periodic course and instructor evaluations; and
• Collecting comments and suggestions for course revisions and providing them to OECM.
Responsibilities for Individual Course Offerings:
• Coordinating with the Course Facilitator (if not the same person);
• Scheduling instructors and facilitators;
• Making arrangements for meeting room and equipment;
• Identifying trainees;
• Distributing instructions to trainees, instructors, and facilitators;
• Distributing Pre-Course Assessments in advance to trainees;
• Making Pre-Course Assessment responses available to instructors;
• Arranging for duplication of handouts;
• Assuring that instructors have needed slides, overheads, videos, etc.; and
• Arranging for training certificates and submission of training records.
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Course Facilitator
For each offering of the course, a person who has strong meeting facilitation skills (and/or training)
should be assigned to assist in the classroom to keep the sessions on schedule and the discussions on
track. Ideally, this will be a person other than the instructor for the particular portion of the course.
The Facilitator can be the same person as the Course Coordinator described above, an instructor, or
a training specialist. Others can also facilitate discussions in individual sessions, but one person
should have overall responsibility as Facilitator for the entire course.
The Facilitator has several functions, described below. The Facilitator's Guide that appears next
in this Instructor Guide gives more detailed suggestions for what to do on each day of the course
and includes copies of quizzes and Pre- and Post-Course Assessments.
Attendance
The Facilitator should ensure that all trainees sign in each day so that they will qualify for a training
certificate at the end of the course.
Pre- and Post-Course Assessments
The Course Facilitator should make the set of Pre-Course Assessments available to the various
instructors so that they can get a sense of areas where greater or lesser emphasis in their presentations
is needed.
The Post-Course Assessment at the end of the course consists of an opportunity for students to revise
their original answers on the Pre-Course Assessment as well as answer a few additional questions.
Before the last day of the course, the Facilitator should arrange for duplication of the trainees' Pre-
Course Assessments as well as sufficient copies of the Post-Course Assessment.
Keeping the Course on Schedule
The Course Facilitator is responsible for keeping the course on schedule. This will generally involve
signaling instructors when the lecture portion of a session is running overtime, cutting off tangential
discussions, and making sure that the sessions begin on time in the morning and after breaks.
Discussion Facilitator
The Course Facilitator aids the instructor during discussion portions of the session; the specific role
for a given session depends on the agreement reached with the session instructor. He or she may
field questions for the instructor, ask questions to stimulate discussion, call time, or do anything else
required to keep the discussion going or to cut it off as appropriate.
Classroom Assistant
The Facilitator serves as "arms and legs" for instructors. This may include helping to distribute
handouts, write comments on flip charts, change overheads or slides, or anything else that is needed
to keep things running smoothly.
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Quizzes and Homework Assignments
The Facilitator (01: designate, such as the first instructor of the day) administers quizzes on the
previous day's work at the start of days 2, 3, and 4.
The sample quizzes provided in the course materials are designed to take 5-10 minutes, with a 5-
minute class discussion of the answers.
Before each day closes, the Facilitator tells students which chapters to review for the next day's
sessions and provides them with any handouts that should be read in advance.
Troubleshooter
Because of the number of instructors involved, there may be a need for last minute schedule changes
or other adjustments. Working with the Course Coordinator as needed, the Facilitator makes and
announces any changes that are made.
Instructors
Selecting Instructors
Ideally, inspectors and attorneys selected to be instructors should have extensive cross-program
experience, with working knowledge about all of the Agency's statutes and programs. An individual
instructor with limited cross-program experience will bias his or her presentation too much toward
a single program and lose members of the audience who work in other programs.
Instructors should be adaptable, willing to teach procedures that may differ from current practice
in his or her office in the interest of promoting national consistency in the inspector profession.
Regions may find that they wish to have "specialists" teach individual sessions of the course. This
approach can take advantage of the particular expertise of a given staff member without presenting
a major teaching burden on anyone.
• For example, legal topics might be split up among attorneys. An attorney who has extensive
courtroom experience might cover topics such as evidence and appearing as a witness; an
attorney with broad knowledge of the Agency's laws and procedures might cover
environmental laws and the enforcement process.
• Similarly, inspection technique topics such as sampling, interviewing, records inspection,
and photography might be covered by individuals with particular interests in these areas.
• Topics which have significant legal and technical components, such as inspection reports,
lend themselves well to joint teaching by a senior inspector and an attorney.
• Regions might wish to bring in instructors from the administrative office to present the
administration session and from the public affairs office to cover press and public relations.
When such "outside" speakers are used, it is essential that they be pre-briefed about the
overall content of the course and that a senior inspector be present during the session to help
answer questions and relate material as needed to inspection work.
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If many instructors are to be involved in an offering of the course, at least one senior inspector
should be present for the entire course to assure continuity. Because most topics raise legal questions,
an attorney (although not necessarily the same attorney throughout) should also be present at all
times.
Instructor Advance Preparation
Most of the people who will serve as instructors for the course have limited teaching experience.
Instructors are urged to take the instructor training course offered by the EPA Institute covering
such topics as facilitating discussion and effective design and use of audio-visuals.
Instructors should review the complete student text and the instructor guides for all sessions; this
assures they know what is being taught in other sessions as well as their own.
For some of the sessions, the instructor guides identify specific handouts or other information that
will need to be developed and added to the course on a Regional basis.
The course is designed to use examples and anecdotes from the instructors' own experiences to help
explain principles and concepts. Instructors should think in advance about what examples to use,
making an effort to balance among programs and/or to explain how a situation in one program might
apply to another.
For sessions with role play exercises, instructors may wish to select the "players" in advance to plan
and practice to be sure that the desired key points are addressed.
Adherence to Course Materials
The instructor guides provide an outline of the material that should be covered in a given session
as well as discussion questions and/or exercises designed to reinforce key points. Since there are
many different sessions and there may be many different instructors, general adherence to the
session outline will assure that all topics are covered in the course. Instructors are free to rearrange
the material and bring in additional points, but they should try to cover all of the key points and --
most importantly -- keep the same balance of lecture vs. exercises and group discussion.
Instructors may find that they disagree with material presented in the text or instructor guide. As
noted earlier, these materials were drawn from exemplary procedures developed by various parts of
the Agency, and after formal review now represent the professional standard for inspection work the
Agency wishes to promote. Flexibility for differences in Regional policy and practice has been built
in on many topics so that instructors can explain how things are done locally. An instructor who has
serious problems with the materials should submit comments in writing to OECM, through the
Course Coordinator, for consideration.
While healthy discussion of pros and cons of various procedures and policies can sometimes be
valuable, remember that trainees are likely to become confused if they hear conflicting opinions.
Instructors should avoid contradicting the text or each other in front of trainees. If a discussion in
class results in a difference of opinion between, say, the attorney and inspector instructors, it should
be resolved during a break and the results presented to the class.
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Material Duplication
The instructor guides include hard copies of overheads and handouts for each session. The Region
(either by individual instructor or through the Course Coordinator) is responsible for duplication as
needed for a given course offering.
Color slides have been prepared for some sessions. These are maintained (or their location is known)
by the Course Coordinator.
Tips for Instructors
• Overheads and Slides
Overhead transparencies have been developed for each session. While instructors should
feel free to develop their own overheads, the first overhead for each session should always
be used. It shows an outline overview of the session and the text chapters that are
associated with the session. If the instructor will deviate substantially from the outline, a
new overhead may be substituted.
If different or additional overheads are desired, be sure that they are sufficiently large to
be read from a distance of 20 feet. Overheads should contain only key words.
Do not read the overheads; talk from them. If desired, put additional notes on a hard copy
of the overhead and talk from the hard copy while the overhead is on the screen.
• Lecture vs. Exercises and Group Discussion
Most of the material in the lectures is covered in far greater detail in the text. When time
is running over, stop lecturing and go into discussions or exercises. Do not eliminate these
interactive segments. An instructor's experience in the real world will be conveyed more
readily through answers and comments on the exercises.
• General vs. Program-Specific Examples
Try to balance examples and anecdotes from several different program areas. Too many
examples from a single program will lose members of the audience who work in different
programs. When using an example or anecdote, talk about the principle involved and how
it applies in other programs. If it is strictly a single program situation, don't use it.
• Discussion Facilitation
Instructors who find leading discussions difficult should ask the Facilitator to take an
active role. This will leave the instructor free to answer questions and comment during
the discussion.
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• Role Playing Exercises
The role playing exercises developed for this course are designed to demonstrate important
points rather than to allow trainees to practice new skills (the exercise in the session on the
Press is an exception). As a result, these "playlets" generally work best if the "players" have
had some time to prepare. In some cases, you may want to recruit other instructors to act
out role plays since they will have more experience in "how to do it right" and "how to do
it wrong." If students are selected, pick ones who have field experience.
• Keeping On Time and On Track
The course schedule is long and complex, so it is essential for individual sessions to stay
on time and on track as much as possible. Take a watch to the podium with you. The
Course Facilitator (or a designate) will also be keeping track of your session and alerting
you when it is time to move on. As mentioned earlier, skip lecture content if necessary
to provide ample time for discussions and exercises.
Instructor Evaluation
Each Region should develop a means for formal and informal evaluation of instructor quality, which
may include such methods as: holding periodic meetings of instructors to provide feedback and
develop course refinements; written evaluations by trainees; and observations of course offerings by
other instructors, training officers, and/or other appropriate staff.
Trainees
Selection of Trainees
Each Region has its own mechanism for selecting trainees to attend the course, developed as part
of the Region's plan for implementing EPA Order 3500.1 which sets out the training requirements
for EPA inspectors.
Advance Preparation
Student texts should be issued immediately to all current inspectors and to each new inspector as
he or she is hired. Students should be required to read or review the text before attending the
course.
Students should complete the Pre-Course Assessment as a pre-requisite to attending the classroom
session. The Pre-Course Assessments will be collected in advance, or no later than the first day of
the course, so that instructors can peruse them to identify particular topics that should be emphasized
during the course.
If possible, students should participate in at least one field inspection prior to attending the classroom
course.
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Homework and Quizzes
Students are expected to do some reading and preparation in the evenings during the course. This
will include review of chapters and reading handouts for the next day's session.
An informal quiz on the previous day's material will be given each morning. Students will have
5-10 minutes to complete the quiz, followed by a brief group discussion of the answers.
Post-Course Assessment
At the end of the course, each student is expected to complete a Post-Course Assessment. The Post-
Course Assessmem: is not a test; each Region will determine how the student responses will be
evaluated and used.
C. LOGISTICS
Class Size
The recommended maximum class size is 30 trainees. If there are more than 30 in the class, breakout
sessions will be needed so that people will have ample opportunity to ask questions and participate
in discussions. This will require adjustments to the course schedule; additional facilitators/discussion
leaders will also be needed.
The Classroom
Choose a room large enough to accommodate the group without crowding. Students should have
ample room at a table or desk to accommodate student texts as well as notepads. For the best
learning environment, the room should be kept cool in temperature. The room should have good
acoustics so that both instructors and students can be heard from anywhere in the room.
Sound Equipment
Check the sound In the room. Provide microphones to instructors if natural room noise is high or
acoustics are poor. Lavalier microphones are best since an instructor can move around the room
freely.
Because poor sound is deadly to student concentration, if there are any doubts about the ability of
all instructors (including those with soft voices) to be heard, have a microphone available.
Audio-Visual Equipment
An overhead projector, a slide projector, and a flip chart with markers should be available in the
meeting room at all times. Instructors needing unusual equipment (such as a VCR) should be asked
to specify this in advance.
Experiment to determine the best placement of projection equipment before the course starts.
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Room Arrangement
Set up the classroom so that participants can see each others' faces. This facilitates discussion and
helps assure that people can be heard. Arrangements that can work include:
U-Shaped: Students on one or both sides of tables arranged in a "U", instructors at
podium or head table.
Hollow Square: Students and instructors on outside of tables arranged in a square.
Small Tables: Four to six students on both sides of small tables that are at right angles
to front of room so all can see instructors at head of room. This
arrangement facilitates small group interaction for exercises.
Chevrons: Students facing front at tables arranged in slanted rows forming a "V" with
an aisle down the center.
The Agenda and Schedule
A detailed agenda, including names and organizational affiliations of the instructors, should be
prepared for each offering of the course. To facilitate assignment of chapters to be reviewed in
the evening for the next day's session, chapters associated with each session can also be included
on the agenda.
The Amenities
While not essential, an effort to provide the little amenities that make life easier for the trainees
can pay off by fostering a positive attitude about the training course. Having coffee available in
the meeting room can help keep the group from dispersing too widely during breaks. If there are
out-of-towners in the course, a list of restaurants and things to do in the vicinity makes them feel
welcome. An evening group activity, such as a reception or dinner, can help the trainees and
instructors develop better rapport.
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SUGGESTED SCHEDULE FOR 4-DAY COURSE
(Start p.m. Monday, end a.m. Friday)
Day 1/Monday
Pre-Course Assessment
Session 1: Introduction/Purpose of Course
Session 2: Role of the Inspector
Break
Session 3: Environmental Laws
Session 4: Overview of Enforcement
Day 2/Tuesdav
Quiz
Session 5: Entry/Information-Gathering
Break
Session 6: Evidence
Lunch
Session 7: Elements of an Inspection
Session 8: Inspection Planning (break)
Session 9: Administration
Day 3/Wednesday
Quiz
Session 10: Physical Sampling (break)
Session 11: Laboratory Analysis
Lunch
Session 12: Records Inspection
Break
Session 13: Interviewing
Session 14: Observations/Photographs
Dav 4/Thursdav
Quiz
Session 15: Inspection Report (break, lunch)
Session 16: Negotiations
Break
Session 17: Press and Public Relations
Dav 5/Fridav
Session 18: Appearing as a Witness
Break
Post-Course Assessment
Wrap-Up
(collect before start of course)
1:00 - 1:45 p.m.
1:45 - 2:30 p.m.
2:30 - 2:45 p.m.
2:45 - 3:45 p.m.
3:45 - 5:00 p.m.
9:00 - 9:15 a.m.
9:15 - 10:30 a.m.
10:30 - 10:45 a.m.
10:45 - 12 noon
12:00- 1:00 p.m.
1:00 - 2:00 p.m.
2:00 - 4:00 p.m.
4:00 - 5:00 p.m.
9:00 - 9:15 a.m.
9:15 - 11:15 a.m.
11:15 - 12 noon
12:00 - 1:00 p.m.
1:00 - 2:30 p.m.
2:30 - 2:45 p.m.
2:45 - 4:00 p.m.
4:00 - 5:00 p.m.
9:00 -
9:15 -
2:00 -
3:30 -
3:45 -
9:15 a.m.
2:00 p.m.
3:30 p.m.
3:45 p.m.
5:00 p.m.
9:00 - 10:45 a.m.
10:45 - 11:00 a.m.
11:00 - 11:45 a.m.
11:45 - 12:00 noon
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FACILITATOR'S GUIDE
Purpose of the Facilitator's Guide
As described in the section on Organizing and Presenting "Fundamentals of Environmental
Compliance Inspections," the Course Facilitator has several key functions:
• Takes attendance
• Collects and makes available the Pre-Course Assessment
• Keeps the course on schedule
• Serves as a classroom assistant
• Administers daily quizzes
• Makes homework assignments
• Serves as a troubleshooter
Because there are many details involved, this section is designed to aid Facilitators in carrying out
these functions.
Organization of the Guide
This guide begins with a summary of the Facilitator's responsibilities to be carried out each day of
the course. The rest of the guide is organized according to the suggested schedule, which begins
Monday afternoon, and concludes Friday noon (shown as Day 1 to Day 5). It includes the homework
assignments, quizzes, and other details to be covered on each day of the course.
If a different overall schedule is used, or if individual sessions are moved to different days and
times, adjustments may need to be made in the homework assignments and quizzes.
Delegation of Facilitator Responsibilities
It is not essential that the Facilitator be the one to perform all functions every day, but it is the
Facilitator's responsibility to ensure that someone does each one and that the person assigned is clear
about the assignment. For example, the Facilitator might have an instructor from the previous day
administer the quiz, or the facilitator might have the last instructor of the day make homework
assignments for the next day.
Facilitator 1
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FACILITATOR'S GUIDE
EACH DAY
Room Check: Check lights, sound system, projection equipment, seating. Be sure to know who
to call if there are any problems.
Attendance: Develop a method for taking attendance each day: this is required for issuance of
training certificates.
Timekeeper: Arrange a way to give instructors a signal about time remaining. One method is
to use cards with various times written on them, such as "20 minutes to go," "10
minutes..., "NO minutes...".
Be prepared to nudge a long-winded lecturer forward so that there is ample time
for group exercises, a principal reason for classroom training. Similarly, if a
discussion goes on too long, tactfully suggest that it might be continued during the
next break.
Instructor About 10 minutes before the end of each session, see if the instructor for the next
Check: session has arrived. If not, get someone else to make a call to find out where he
or she is (you're needed as timekeeper and to take charge if the next instructor is
actually late or missing).
Before the session starts, consult with the instructor to find out what assistance he
or she needs for the session, such as someone to help with changing overhead slides,
facilitating discussion, or passing out handouts.
Pre-Course Keep Trainee Profiles and Pre-Course Assessments handy for perusal by
Assessments: instructors. Make photocopies of the Pre- and Post-Course Assessments for Day 5.
Quizzes: About 15 minutes is allocated at the start of each day for the quizzes. There are
two approaches to administering the quizzes:
• Hand out the quiz as people arrive and let them work on it while waiting to
start. About 7-8 minutes after the scheduled starting time, ask the group to
give answers orally. "Stragglers" should catch at least the discussion. This
approach has the additional advantage that the quizzes can be collected, and
instructors can peruse them to see how well their material was learned.
• Read the questions, and get all answers orally. This may be best when getting
started late. Disadvantages are that there is no written record of what people
learned or did not learn and less incentive for paying attention.
Homework At the end of each day, trainees should be asked to read or review the chapters in
Assignment: the text associated with the next day's session.
Some sessions use rather lengthy handouts; these should be distributed and read the
night before so that classroom time is not consumed by excessive reading time.
Facilitator 2
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FACILITATOR'S GUIDE
DAY 1
Includes Sessions 1-4
Preparation: Duplicate Trainee Profile and Pre-Course Assessment as needed.
If texts were not distributed in advance to trainees, make sure there are sufficient
copies of the text available for all expected trainees.
Pre-Course If the trainees received the Trainee Profile and Pre-Course Assessment in advance
Assessment: for completion, collect them as trainees enter the room. Keep them where
instructors can look through them to get an idea of the background and experience
of the trainees and what they do and do not already know.
If advance distribution was not made, duplicate sufficient copies of the Profile and
Assessment for the trainees. Require trainees to complete them as a homework
assignment the first evening, and collect them the first thing on the morning of Day
2.
Introductory
Remarks:
Homework
Assignment:
Open the training course with a welcome to participants. Lead all or part of session
1, Introduction. In particular, cover the material shown as "Welcome and Logistics".
Text Review for Day 2:
Session 5, Entry/Information Gathering -- Chapter 7
Session 6, Evidence -- Chapter 8
Session 7, Elements of an Inspection -- Chapters 11, 15A, 16
Session 8, Inspection Planning — Chapter 9
Session 9, Administration -- Chapter 10
Attachments: Trainee Profile
Pre-Course Assessment
Facilitator 3
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Trainee I.D. #
FUNDAMENTALS OF ENVIRONMENTAL COMPLIANCE MONITORING
TRAINEE PROFILE
Please complete the information below about your experience. This will help us evaluate how well
the course meets the needs of inspectors with different backgrounds.
1) My trainee identification number is: .
2) I have worked as an inspector in EPA for:
( ) less than 1 year
( ) 1 to 3 years
( ) more than 3 years
3) The number of EPA inspections I have already participated in is:
( ) none ( ) 5 to 20
( ) less than 5 ( ) 20 or more
4) The number of times I have been an EPA inspection team leader or have gone out on an
inspection solo is:
( ) none ( ) 5 to 20
( ) less than 5 ( ) 20 or more
5) Before joining EPA, I had previous experience at the State or local level as an environmental
inspector:
( ) Yes (Specify number of years: )
( ) No
6) My EPA job series is:
( ) Environmental Engineer
( ) Life Scientist
( ) Environmental Scientist
( ) Environmental Protection Specialist
( ) Other (Specify: )
Facilitator 4
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Trainee I.D. #
7) Check all programs for which you now conduct or expect to conduct inspections/field
investigations within the next year:
( ) CAA/Stationary Sources
( ) CAA/Mobile Sources
( ) CWA/National Pollutant Discharge Elimination System
( ) CWA/Wetlands Protection
( ) TSCA/Toxic Substances
( ) FIFRA/Pesticides
( ) RCRA/Hazardous Waste
( ) SDWA/Public Water Supply Supervision
( ) SDWA/Underground Injection Control
( ) Other (Specify: )
8) Currently I work in the following EPA Office:
( ) Regional Environmental Services Division
( ) Regional program office
( ) Headquarters program office
( ) National Enforcement Investigations Center
( ) Other (Specify: )
Facilitator 5
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Trainee I.D. #
FUNDAMENTALS OF ENVIRONMENTAL COMPLIANCE INSPECTIONS
TRAINEE PRE-COURSE ASSESSMENT
The purpose of this Pre-Course Assessment is to help inspector trainees determine what they already
know about planning for and conducting environmental compliance inspections. The responses will
also provide a way for instructors to assess what areas need particular attention during the course.
It is important to note that for many of the questions, there are no right or wrong answers. Based
on their experience, trainees will vary in the degree to which their answers show understanding of
the complexity of inspection-related activities and the level of detail they can provide.
At the end of the course, your Pre-Course Assessment will be returned to you and you will be asked
to revise your answers based on what you have learned in the course; this will be a major part of the
Post-Course Assessment.
1. What do you consider the three most difficult aspects of your job as an inspector, and why
are they difficult?
2. Should ever inspection or compliance-related field investigation be conducted and documented
as if it might result in an enforcement action? Under what circumstances would it be
appropriate not to conduct and document an inspection this way?
3. Suppose you were on routine compliance monitoring inspection. What kinds of information
would suggest to you the possibility of criminal behavior? What would you do with your
suspicion?
Facilitator 6
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Trainee I.D. #
4. Respond true or false, then explain what conditions or circumstances (if any) would change
your answer.
It would be considered denial or withdrawal of consent to enter an inspection site if company
officials:
a) Demanded to see the inspector's credentials
b) Required the inspector sign a confidentiality agreement
c) Required the inspector to wear a hard hat
d) Required the inspector to complete the company's safety training course
e) Refused to allow the inspector to use the compa- '; photocopying machine to make
copies of records
f) Called their attorneys
g) Said they would not allow the inspector to take photographs
Comments:
5. An enforcement case went to trial nine months after the inspection. The Agency must
demonstrate that a sample containing contaminated slime was collected at the particular
inspection site on the particular date and time in question before it will be accepted by the
court as evidence. Besides the chain of custody record, what other documentation the inspector
collected about the sample would aid the inspector in preparing for and presenting credible
testimony?
Facilitator 7
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Trainee I.D. #
6. You have been assigned to conduct a routine compliance monitoring inspection for the program
you know most about (e.g., hazardous waste, toxics, water, air, pesticides, drinking water).
What should you do in the office before going into the field? How would you go about
planning the inspection? What would your inspection plan include?
Inspection program: .
(Note: If you are very new and have limited program knowledge, you may answer the question
generally.)
Facilitator 8
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Trainee I.D. #
7. Explain why it is important to follow Standard Operating Procedures (SOPs) and provide at
least two reasons why any deviation from the SOPs must be fully explained and documented.
8. A large facility is required to inspect each of its storage tanks every week for leaks, to fix any
leaks within five days, and to keep records of the results. The company owns 350 tanks in five
different locations at the site, but all the records are kept in a central location in two file
cabinets. You are assigned to assess compliance with this requirement and have about three
hours for the task. How would you go about reviewing the records? What would you do if
you found "missing" weeks?
9. At the close of an inspection, company officials ask whether you found any violations. What
would you say?
Facilitator 9
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Trainee I.D. #
10. You have just completed an inspection in which you found several potentially serious violations.
As you leave the facility/site, you are confronted with a TV reporter and several newspaper
reporters who want to know what you found and what EPA is going to do about it. What do
you tell them? What do you not tell them? Why?
11. What are the dangers of relying solely on an inspection checklist as the record and inspection
rpnnrfr fnr Qn incnp^tirm?
report for an inspection?
12. You are served with a subpoena to give a deposition to the opposing side in an enforcement
case for which you were the inspector. What would you do to prepare?
Facilitator 10
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FACILITATOR'S GUIDE
DAY 2
Includes Sessions 5-9
Preparation: Duplicate copies of Day 2 Quiz as needed.
Administer Day 2 Quiz; have group discussion of the answers.
Text Review for Day 3:
Session 10, Physical Sampling -- Chapter 13
Session 11, Laboratory Analysis -- Chapter 18
Session 12, Records Inspection -- Chapter 12
Session 13, Interviewing -- Chapter 14
Session 14, Observations/Photographs -- Chapter 15
Attachments: E'ay 2 Quiz
A.nswer Key for Day 2 Quiz
uiz:
Homework
Assignment:
Facilitator 11
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Trainee I.D. #
QUIZ
Morning of Day 2
1. Name two common problems that adversely affect the quality of EPA inspections.
2. Name three common roles of the EPA inspector.
3. What two kinds of impropriety must Federal employees avoid?
4. What is the most common reason for a claim of Confidential Business Information?
5. Name one difference between civil and criminal enforcement.
6. What should you do if you witness or suspect a criminal violation of an environmental statute?
Facilitator 12
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ANSWER KEY
Day 2 Quiz
1. Name two common problems that adversely affect the quality of inspections.
Insufficient planning; procedural error; inadequate documentation; sampling error;
incomplete inspection file
2. Name three common roles of the EPA inspector.
Official representative; fact-finder; enforcement case developer; enforcement presence;
technical educator; technical authority
3. What two kinds of impropriety must Federal employees avoid?
Appearance or reality of bias
4. What is the most common reason for a claim of Confidential Business Information?
Trade secret
5. Name one difference between civil and criminal enforcement.
Search with consent of warrant based on "probable cause;" Constitutional guarantees for
defendant; standard of proof is higher than for civil cases -- "beyond a reasonable doubt;"
Jencks Act requirement for government to turn over all information to defendant; penalties
more severe
6. What should you do if you witness or suspect a criminal violation of an environmental statute?
Refer it to the RAIC or SAIC in the criminal investigation unit
Facilitator 13
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uiz:
Homework
Assignment:
FACILITATOR'S GUIDE
DAY 3
Includes Sessions 10 - 14
Preparation: Duplicate copies of Day 3 Quiz as needed.
Duplicate (or obtain from instructors) copies of inspection report and negotiations
handouts for homework reading.
Administer Day 3 Quiz; have group discussion of the answers.
Text Review for Day 4:
Session 15, Inspection Report -- Chapter 17A, B
.Session 16, Negotiations -- Chapter 19B
Session 17, Press and Public Relations -- Chapter 20A
Handout Readings:
Sample Inspection Reports (Handout 15-2)
Case of the Unmanaged Negotiation (Handout 16-1)
Crush and Destroy (Handout 16-2)
Attachments: Day 3 Quiz
Answer Key for Day 3 Quiz
Facilitator 14
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Trainee I.D. #
QUIZ
Morning of Day 3
1. Name three of the bases upon which EPA may enter a facility.
2. Name two criteria for the admissibility of evidence.
3. How should the inspector answer if facility officials ask if any violations were found during
the inspection?
4. Name three kinds of records that should reviewed prior to an inspection.
5. List three topics that should be addressed in the inspection plan.
6. What must an inspector do before making a purchase?
Facilitator 15
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ANSWER KEY
DAY 3 QUIZ
1. Name three of the bases upon which EPA may enter a facility.
Consent: warrant; emergency circumstances; plain view/open fields doctrine; pervasively
regulated industries
2. Name two tests for the admissibility of evidence.
Authentic, relevant, foundation
3. How should the inspector answer if facility officials ask if any violations were found during
the inspection?
Inspector should never say: "no violations" or "everything checks." Can say: there are areas
the facility might want to check, point out particular regulations, there are some items that
he/she will need to get an Agency decision on
4. Name three kinds of records that should be reviewed prior to an inspection.
Facility correspondence, permit, past inspection reports
5. List three topics that should be addressed in the inspection plan.
Objectives, tasks, procedures, resources, schedule
6. What must an inspector do before making a purchase?
Get the approval from authorized procurement staff
Facilitator 16
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Preparation:
uiz:
Homework
Assignment:
Attachments:
FACILITATOR'S GUIDE
DAY 4
Includes Sessions 15 - 17
Duplicate Day 4 Quiz
Have Pre-Course Assessments that were completed by trainees on Day 1 photocopied
for return to them on Day 5
Administer Day 4 Quiz; have group discussion of answers
Text Review for Day 5:
Session 18, Appearing as a Witness - Chapter 19A
General review for Post-Course Assessment
Day 4 Quiz
Answer Key for Day 4 Quiz
Facilitator 17
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Trainee I.D. #
QUIZ
Morning of Day 4
1. Name three of the technical factors involved in designing a physical sample collection effort.
2. Why is chain of custody important?
3. Why should inspectors consult with laboratory personnel?
4. What factors might influence the inspector's selection of specific records to review?
5. What kinds of facility personnel are appropriate for the inspector to interview?
6. Name a common way to show size in a photograph.
Facilitator 18
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ANSWER KEY
DAY 4 QUIZ
1. Name three of the technical factors involved in designing a physical sample collection effort.
Data quality objectives, representativeness, SOPs, number of samples, sample volume, analytic
requirements
2. Why is chain of custody important?
Show sample has not been tampered with or contaminated
3. Why should inspectors consult with laboratory personnel?
Can provide technical advice on sampling, analysis, scheduling
4. What factors might influence the inspector's selection of specific facility records to review?
Amount of time available, bias toward records with greater likelihood of problems.
5. What kinds of facility personnel are appropriate for the inspector to interview?
Anyone who might have information
6. Name a common way to show size in a photograph.
Photograph the item next to something of known size, such as a ruler or a person
Facilitator 19
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FACILITATOR'S GUIDE
DAYS
Includes Session 18 and Post-Course Assessment
Preparation: Duplicate Pre-Course Assessments that were completed by trainees
Duplicate Post-Course Assessments
Post-Course Distribute and administer Post-Course Assessment (includes revisions to Pre-Course
Assessment: Assessments).
Collect Post-Course Assessments, and deliver to appropriate office according to
Regional procedures.
Wrap-Uo: Make closing remarks, covering such items as filling out training forms and receiving
training certificates.
Attachments: Post-Course Assessment
Facilitator 20
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Trainee I.D. #
FUNDAMENTALS OF ENVIRONMENTAL COMPLIANCE INSPECTIONS
TRAINEE POST-COURSE ASSESSMENT
At the beginning of this course, you filled out a Pre-Course Assessment which was designed to find
out what you already knew about preparing for and conducting inspections. Many of the questions
were deliberately difficult and complex -- yet they represented situations and problems inspectors
are commonly called upon to address. This Post-Course Assessment provides an opportunity to show
whether and how you are now better prepared to approach the work of being an inspector.
We are returning your Pre-Course Assessment papers to you for you to correct, add detail to, and
otherwise revise based on what you have learned in this course. Please pay particular attention to
question 6, which has to do with planning for an inspection. There are also several new questions,
but please work on revisions to your earlier answers first and begin the new questions only if time
permits.
This is an "open book" exercise, so you may consult the text or ask course instructors for assistance.
If you use additional paper, please be sure that your trainee identification number is on each sheet
and the question number appears with the answer.
Facilitator 21
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Trainee I.D. #
Post-Course Assessment Questions
Begin work on these after completing revisions to your Pre-Course Assessment answers
13. What information should be contained in an inspection report? What level of detail is needed
about each aspect of the inspection? What should never be included in the inspection report?
14. An inspector was collecting evidence to show that a container did not bear the required label
stating what substance was in it. He took photographs of all four sides of the container and
drew a sketch of the location where the container was found. Was this sufficient proof that
the container was unlabeled?
15. Explain what information is in a program enforcement response policy and why it is important
for inspectors to be familiar with it as well as annual program planning documents.
Facilitator 22
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Trainee I.D. #
16. List at least four significant mistakes an inspector can make, and discuss the potential
consequences of these mistakes.
Facilitator 23
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Trainee I.D. #
Post-Course Assessment Answer Sheet
Be sure that the question number appears with each answer.
Facilitator 24
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Facilitator's Guide
-------
SESSION 1
TOPIC: INTRODUCTION TO FUNDAMENTALS COURSE
INSTRUCTOR'S OVERVIEW
Time: 45 minutes
Purpose
Provide course overview, logistics
Explain why course was developed
Introductions and get-acquainted discussion
Identify inspection-related problems inspectors have encountered, and relate to course content
Key Points
Inspectors are critical to ensuring that the nation's environmental laws are implemented.
The inspector's job is complex, requiring legal, technical, and communications skills.
Advance Preparation
This session may be presented by the course facilitator and/or another instructor. If to be presented
by more than one person, consult in advance on who will cover which portions.
Text reference Chapter 5.
If Region distributed Trainee Profiles and Pre-Course Assessments in advance and they have not yet
been collected, collect them as part of the introductory session. If they have not yet been distributed,
pass them out at this session. Have the Profiles completed immediately and collect them. The Pre-
Course Assessment should be completed as a homework assignment the first night. (See also
Facilitator's Guide.)
Be familiar with background of trainee group, such as program affiliation, discipline, length of
experience in EPA and as an inspector, frequency of involvement with inspections. (This
information is on the Profiles.)
Find an example or two of enforcement cases that were affected by poor quality inspection work,
and examples of cases that went well because of good quality inspection work.
Equipment
Overhead Projector
Fundamentals 1
-------
List of Visuals
-A -- Session Topics
-B -- Why This Course?
-C -- Course Schedule
-D -- GS/GM Series Frequency for Inspection Personnel
-E -- Discussion Questions
-F -- Features of a Good Quality Inspection
-G -- Consequences of Poor Inspection Quality
Suggested Teaching Outline
Lecture: Welcome and Logistics
Lecture: Introduction to Course
Group Introductions/Discussion
Lecture: Importance of Inspection Quality
Discussion: Consequences of Poor Inspection Quality
5 minutes
10 minutes
10 minutes
10 minutes
10 minutes
Fundamentals 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE (5 min.)
WELCOME AND LOGISTICS
The purpose of this portion
of the session is to welcome
trainees, set ground rules for
the course, and give a sense
of the schedule and flow of
the course. The notes in the
Suggested Content column
and some of the overheads
are based on the suggested
schedule; they will need to be
modified if changes in the
course schedule have been
made.
Introduce yourself (and other session instructor), tell a little
about your background and EPA experience. Welcome
trainees.
Cover course ground rules, such as:
Prompt starting time in morning/after breaks
Attendance requirements
Homework and quizzes
Cover other logistics, such as where to eat, any special
dinner plans, transportation, etc.
LECTURE (10 min.)
INTRODUCTION TO COURSE
Overhead 1-A
Summary of Topics
Overhead 1-B
Why this Course
In this first session, we are going to explain the background
and purpose of the course and how the several days we will
be together are organized. Then we want to learn a little
about you and what experiences you have already had. We
will end this session with a discussion of what makes a good
quality inspection and why it is important.
Why this Course?
• Inspections are the cornerstone of the Agency's
enforcement effort, which is essential to the credibility
of Agency programs.
• If an inspector did not find and properly document a
violation, there can be no enforcement.
• Inspectors have an extremely complicated job that
requires working knowledge of laws and regulations as
well as legal and technical procedures.
Fundamentals 3
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
The overheads and the
Suggested Contents column
are based on the suggested
schedule for the course. If
the schedule has been
modified, make appropriate
changes to the materials.
Overhead 1-C
Summary of Course Schedule
• Inspectors must also master the "art" of investigation --
the ability to ask the right questions, follow the paper
trail, check out an inconsistency.
• To strengthen the Agency's enforcement capacity, a new
EPA Order requires all EPA inspectors to complete
basic and program-specific inspector training.
• This course fulfills basic training requirements in legal,
technical, administrative, and communications aspects
of inspections; inspectors must also have health and
safety training.
The course does not focus on any one program or set of
regulations. Instead, it is designed to provide fundamentals
needed for performing inspections in any environmental
program.
Course Schedule
I would now like to give you an overview of the course
schedule. After the introductory session today, we will
have a session on the many roles the inspector plays.
The next segment of the course covers the legal foundation
of our inspections, including a summary of environmental
laws, an overview of enforcement, entry authorities, and
evidence. These sessions will take place this afternoon and
tomorrow morning.
The remaining sessions will roughly track the chronology of
an inspection.
It begins tomorrow afternoon with a session on the elements
of an inspection, followed by sessions covering various
aspects of preparing for an inspection.
We will spend the next day on what happens while at the
inspection site, focusing primarily on the information
collection activities used to determine compliance: physical
sampling, records inspection, and making observations.
Fundamentals 4
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 1-D
GS/GM Series Frequency for
Inspection Personnel
Ask for show of hands for
each category to compare
trainee group with all EPA
inspectors.
On Day 4 (Thursday) we begin to discuss post-inspection
activities. We will first spend several hours on writing a
quality inspection report, one of the most important aspects
of the inspector's job. We will then discuss settlement
negotiations and handling the media and the public.
On the last day, we will have a session on appearing as a
witness. We will end with a Post-Course Assessment to
help us evaluate what you have learned.
There is much material to cover and the schedule is tight.
But at the end we hope you will have a good foundation in
all of the many aspects of the inspector's job.
Inspector Profile Survey Results
First, we thought you would be interested to know about
your counterparts throughout EPA. A survey of
inspectors/field investigators in 1987 showed:
Total of 1,640 inspectors in EPA.
GS/GM Series Frequency:
45.9% -- Environmental Engineer
21.2% -- Environmental Scientist
12.4% -- Environmental Protection Specialist
4.0% -- Life Scientist
3.2% -- Geologist
2.1% -- Hydrogeologist
1.8% — Chemist
9.4% -- Other
Of the individuals who perform inspection work:
• 2/3 spend less than 20% of their time in the field.
• 3/4 are in grades 9-12.
• 80% do inspections in only one program area.
Fundamentals 5
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INSTRUCTOR NOTES
SUGGESTED CONTENT
DISCUSSION (15 min.)
INTRODUCTIONS
Introductions
Discussion Questions
Overhead 1-E
Discussion Questions
Follow introductions with one
or more of the discussion
questions.
This will help break the ice as
well as allow the instructor(s)
to further tailor the training
if needed to cover topics of
interest to the trainee group.
Encourage all to participate,
but do not force partici-
pation. It may be necessary
to get the discussion started
with a story of your own.
Go around the room and have trainees introduce themselves
and tell about their backgrounds (e.g., years with EPA,
technical or other discipline, other experience, program(s)
for which they .conduct inspections).
The purpose of the discussion questions is for inspectors to
identify problems they have encountered in performing
inspection-related tasks, and their consequences.
• What was the most difficult situation you ever
encountered on an inspection? How did you handle it?
• Did you ever have to testify in an enforcement
proceeding about something you did on an inspection?
What was the hardest part? In retrospect, was there
anything that you might have done differently in
performing or documenting the inspection that would
have made it easier?
• What do you think are the most important skills an
inspector needs? Why?
DISCUSSION (10 min.)
IMPORTANCE OF INSPECTION QUALITY
EPA has had many successes over the years in bringing
violators of environmental laws into compliance. This
would not have been possible without sound technical work
and adherence to legal requirements by the EPA inspectors
who performed the investigative work as well as their solid
support to case development activities.
At the same time, the Agency has gained experience in
what can go wrong with regard to inspection quality and
the consequences these problems have.
Fundamentals 6
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 1-E
Features of Good Quality
Inspections
Use examples of how good
inspection work led to
prompt, effective resolution
of a case.
Use your own "war stories" to
illustrate problems that have
been encountered in the
Region or program with
regard to inspection quality.
The fullest perspective will
be provided if both the senior
inspector and senior attorney
instructors participate in this
discussion.
Following are features of good quality inspections:
Adequate planning, e.g., brought correct sampling-
equipment, facility's permit conditions were known to
inspector, good coordination between inspector and
attorney.
Adherence to proper procedures, e.g., complied with (and
documented) requirements for lawful entry.
Thorough documentation, e.g., chain of custody record
complete; ability to trace a specific sample (photograph,
record) to a specific member of the inspection team,
location, and identification number; suspected violation
adequately substantiated by evidence.
Correct sampling, e.g., SOPs were followed, cross-
contamination samples were representative.
Complete inspection file, e.g., full inspection report,
required notices and forms present, adequate substantiating
evidence.
This course is designed to enhance the inspector's skills in
all of these areas.
DISCUSSION (10 min.)
CONSEQUENCES OF POOR INSPECTION QUALITY
Overhead 1-F
Consequences of Poor
Inspection Quality
Encourage trainees to talk
about specific examples of
these problems.
Problems in quality and completeness of inspections can:
• Cause the Agency to draw the wrong conclusion about a
facility's compliance status
e.g., a facility is judged to have no violations
because the inspector did not inspect thoroughly
• Delay and add to the cost of pursuing an enforcement
action
e.g., a second inspection is needed to collect
evidence that should have been collected on the first
one
Fundamentals 7
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INSTRUCTOR NOTES SUGGESTED CONTENT
• Create unnecessary obstacles to successful prosecution
of a case
e.g., the defendant challenges the Agency's evidence
because the inspector did not follow Standard
Operating Procedures
• Cause the Agency not to pursue an enforcement action
against a violator
e.g., poor quality of inspection report and
incomplete file lead Agency to decide that bringing
a case would be too risky
• Result in the Agency losing a case
e.g., the judge rules that critical evidence cannot be
admitted because of inadequate authentication.
Recap on Purpose of Course
The course is designed to improve the inspector's ability to
respond to problems and conduct high quality inspections.
Fundamentals 8
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SESSION 1: INTRODUCTiOl
Why This course?
Course Schedule
Inspector Profile
Importance of Inspection Quality
Text: Chapter 5
OVERHEADS 1-A
-------
WHY THIS COURSE?
Inspectors are critical to ensuring that the Nation's
environmental laws are implemented.
Inspector's work is very complex, involving:
- Legal
- Technical
- Communications
Course to provide foundation
-------
SUMMARY OF COURSE SCHEDULE
Introduction/Role of Inspector Day 1
Legal Foundation Day 1, 2
Elements of an Inspection Day 2
Pre-lnspection Activities Day 2
On-Site Activities Day 3
Post-Inspection Activities Day 4, 5
Post-Course Assessment Day 5
OVERHEADS 1-C
-------
GS/GM SERIES FREQUENCY
DISTRIBUTION OF EPA INSPECTORS
Grand Total-1640 Inspectors
Series 819-
Series401-
Series 28-
Other
Series 1350-
Series 1320-
Series 1315-
Series 1301-
Envir Engineer
Life Scientist
Envir Prot Spec
Geologist
Chemist
Hydrologist
Envir Scientist
Source: "Inspector Profiles" by Inspector Training and Development Work Group, 5/87
IE AD 1-D
-------
DISCUSSION QUESTIONS
What was the most difficult situation you ever
encountered on an inspection? How did you
handle it?
Did you ever have to testify in an enforcement
proceeding? What was the hardest part?
What do you think are the most important skills
an inspector needs?
OVERHEADS 1E
-------
FEATURES OF GOOD INSPECTIONS
Adequate planning
Adherence to procedures
Adequate documentation
Correct sampling
Complete inspection file
-------
CONSEQUENCES OF POOR INSPECTION
QUALITY
Draw wrong conclusions about compliance
Delay and add cost to enforcement action
Cause unnecessary obstacles to successful prosecution
Result in decision not to prosecute
Result in the government's case being lost
OVERHEADS 1-G
-------
1: Introduction
-------
2: Role of inspector
-------
SESSION 2
TOPIC: ROLE OF THE INSPECTOR
INSTRUCTOR'S OVERVIEW
Time: 45 minutes
Purpose
Provide an overview of the roles and functions performed by inspectors that will be covered in more
depth during the course.
Provide information on confidential business information and ethics issues of concern to inspectors.
Key Points
Inspectors are involved in virtually every aspect of the compliance and enforcement program.
Inspectors have access to confidential data and must handle it accordingly.
When faced with an ethics question, when in doubt, don't!
Advance Preparation
Text reference Chapters 4B, 5
Prepare a handout (3-hole punch for insertion into text) explaining Regional requirements for
obtaining certification and associated training for access to confidential business information.
Prepare a handout (3-hole punch) with the name and phone number of the ethics official(s) the
inspectors should contact if they need advice on ethics questions.
Equipment
Overhead projector
List of Visuals
2-A -- Topic Summary
2-B -- Role of the Inspector
2-C -- State-EPA Enforcement Agreements
2-D -- Confidential Business Information
2-E -- When in doubt, Don't!
Role of Inspector 1
-------
Suggested Teaching Outline
Lecture: Role of the Inspector 15 minutes
Lecture: The Federal-State Relationship 10 minutes
Lecture: Confidential Business Information 5 minutes
Lecture: Ethics Considerations for Inspectors 15 minutes
Role of Inspector 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Overhead 2-A
Topic Summary
Introduce yourself, including background, EPA experience.
In this session, we are going to discuss the many roles
inspectors play in EPA, talk about the Federal-State
relationship in administering environmental programs, and
then talk a little about confidential business information
and ethics as they may affect inspectors.
LECTURE (15 min.)
ROLE OF THE INSPECTOR
Inspectors are the keystone in the Agency's compliance and
enforcement program. Without inspectors, there would be
no enforcement cases, for they are the ones who collect the
information upon which such cases are based.
The inspector's work must meet the highest standards for
ultimate success in an enforcement action.
An inspector's failure to substantiate what he or she saw
adequately may mean that EPA cannot take the case to
court and win a large penalty, instead settling for a lesser
action with little impact on the Agency's enforcement
actions.
Inspectors are generally involved in virtually every aspect
of the compliance and enforcement program:
• Selecting specific facilities to inspect
• Determining scope and objectives of the inspection
• Coordinating with appropriate legal, technical, and
program staff
• Evaluating the need for a warrant and developing the
information required to support an application if needed
• Assessing whether a violation might exist and collecting
substantiating evidence
Role of Inspector 3
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
• Compiling the information collected and writing the
report that will be the basis for the Agency's decision
regarding an enforcement action
• Collecting additional evidence if needed to support an
enforcement case
• Participating in (or supporting) settlement negotiations
• Serving as a government witness in enforcement
hearings or trials
• Checking to make sure that a facility has taken the steps
required by the enforcement action to return to
compliance
During this course, we will be discussing these and many
other functions performed by inspectors.
The inspector's role goes beyond these functions, however.
Overhead 2-B The basic responsibilities of inspectors can be grouped into
Role of the Inspector the following general categories:
• Official representative: The inspector represents EPA
and may be the only Agency official ever seen by a
plant manager. This requires tact, a professional
attitude, and diplomacy.
• Fact-finder: The inspector assesses whether the facility
is in compliance with laws and regulations. This
requires extensive knowledge of the requirements and
skill in obtaining information and following up leads to
identify the less obvious violations.
• Enforcement case developer: The inspector collects and
preserves evidence of noncompliance. Since the
inspection is usually the primary basis for the
government's case, good documentation is essential.
The inspector is often a key witness.
Role of Inspector 4
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INSTRUCTOR NOTES
SUGGESTED CONTENT
• Enforcement presence: The inspector "shows the flag,"
creating a visible presence of government interest in the
environmental status of facilities; the potential for being
inspected creates an incentive for compliance.
• Technical educator: The inspector serves as a source of
regulatory information and may provide technical
assistance to facility managers by directing them to
sources of technical information.
Go through the list and get a
show of hands. Encourage
discussion of what makes
them comfortable or
uncomfortable in these roles.
Stress that this course is
designed to enhance their
skills in each of these areas.
• Technical authority: Inspectors may be called upon to
help the Agency interpret regulatory requirements,
assess the adequacy of control measures, interpret
technical data, and assess environmental impacts.
Discussion of the role of the inspector:
• Are there any functions described above that you do not
perform?
• Which of these roles are you most comfortable
performing? In which areas do you you feel least
prepared?
LECTURE (10 min.)
THE FEDERAL-STATE RELATIONSHIP
Nearly all of the programs developed under EPA's statutes
can be delegated to approved States for implementation,
including such aspects as permit writing and conducting
compliance monitoring and enforcement. States now
conduct between 80% and 90% of all environmental
compliance inspections.
The Federal-State relationship in enforcement is
particularly sensitive. While the States have primary
responsibility for enforcement, EPA retains the ability to
file cases in the States and must conduct oversight of State
performance.
Role of Inspector 5
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 2-C
State-EPA Enforcement
Agreements
The EPA inspectors play an important role in the State-
EPA relationship. Effective communication promotes
cooperation and technology transfer and improves the
overall enforcement effort at both Federal and State levels.
EPA and the States have developed State-specific
State/EPA enforcement agreements which:
• Reflect the criteria and standards EPA will use in
oversight of State programs.
• Reflect the criteria for when EPA will directly enforce
in a delegated State.
• Specify the data States will report to EPA.
EPA does not ordinarily conduct routine inspections in
delegated States. However, EPA may join with the State on
an inspection at the State's request or to perform oversight.
On occasion, EPA might perform an independent inspection
in a State, such as to support a direct EPA enforcement
action or as a followup to ensure compliance with a consent
decree.
Oversight inspections are conducted by EPA to evaluate the
quality of State inspection activities, identifying both
strengths and weaknesses and identifying steps that can be
taken together to improve any weaknesses on the part of the
inspector and the entire program.
The success of oversight inspections is largely dependent on
the communications that surround them. It is important to
establish clear EPA and State expectations in advance on
the criteria for selecting specific candidates for oversight
inspections.
Role of Inspector 6
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask the group for problems
or other experiences they
have had with regard to over-
sight inspections and/or
Federal-State relationship.
Before an oversight inspection, the roles and responsibilities
of EPA and the State inspector should also be clearly set out
on such matters as who has the lead role; who writes the
report; and who will followup with an enforcement
response. Finally, there should be agreement on how
deficiencies will be identified and how follow up action to
correct problems will be undertaken.
This is one of the trickier aspects of EPA's relationship
with the States. Would anyone like to share their
experiences with oversight inspections?
LECTURE (5 min.)
CONFIDENTIAL BUSINESS INFORMATION
Inspectors gain access to and collect information that
companies would not ordinarily make available to outsiders.
While the specific provisions vary, EPA is required under
its laws to protect trade secrets and confidential business
information (CBI) of the regulated community if a company
so requests.
Regulations on how EPA must handle such information are
at 40 CFR Part 2.
CBI is information such as process, formulation, sales, and
production data that could hurt a company's competitive
position if it became publicly known.
Because of the additional security measures and the
potential risk of accidential disclosure, EPA policy is to
avoid collecting confidential information that is not
necessary to carrying out Agency functions.
Role of Inspector 7
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INSTRUCTOR NOTES
SUGGESTED CONTENTS
Overhead 2-D
Confidential Business
Information
By law and regulation, EPA must inform companies of their
right to claim information requested by the Agency as
confidential. This includes information collected on an
inspection. Forms and/or other procedures have been
developed in each program for doing so.
Inspectors cannot refuse a CBI claim. If an inspector does
not beleive specific information is legitimately CBI, the
Office of Regional Counsel should be consulted.
Generally, procedures for handling CBI include the
following:
• Only authorized persons can see the data.
• An access log is maintained showing everyone who has
had access.
• There may be limits on making copies of the data.
• It is important to remember that any reports, case files.
laboratory reports, etc.. that are generated from
confidential data are also confidential data and must be
handled accordingly.
Inspectors must have special training and certification to
handle CBI, usually including training in procedures used in
the office and on the road for handling CBI. Contact the
following for details:
(insert contact here; give handout to trainees)
Role of Inspector 8
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INSTRUCTOR NOTES SUGGESTED CONTENTS
LECTURE (15 min.) ETHICS CONSIDERATIONS FOR INSPECTORS
Integrity and professional impartiality are crucial. The
inspector must be impartial and appear to be impartial.
Enforcement actions based on the inspector's work may
represent a major commitment of Agency funds and time.
Success before an administrative law judge or U.S. Court
may hinge on the inspector's freedom from bias or even
apparent bias.
It is critical for inspectors to be familiar with and comply
with laws and regulations regarding conflict of interest and
ethics.
There is a designated Ethics Official in the Office of
General Counsel in Headquarters (Don Nantkes).
The Deputy Ethics Official for this office is:
(insert name here)
Conflict of Interest
It is against the law (18 U.S.C. Section 208(a)) to participate
in any proceeding in which the employee (or spouse, minor
child) has a financial interest, regardless of amount.
Examples of prohibitions are certain roles in nonprofit
organizations, relationships with potential employers, and
stock ownership.
Penalties are up to a $10,000 fine and two years in prison.
Role of Inspector 9
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask group for examples of
each point, and discuss both
actual misconduct and the
appearance of misconduct.
Standards of Conduct
By regulations at 40 CFR Part 3, EPA employees must
avoid any action that might result in or create the
appearance of:
• Using public office for private gain (e.g.,
recommending a contractor that employs an inspector's
son)
• Giving preferential treatment to anyone (e.g., agreeing
to return the following day for the facility's
convenience)
• Impeding Government efficiency or economy (e.g.,
staying in a fancy hotel, even at the government rate)
• Losing independence or impartiality (e.g, becoming
social friends with facility officials)
• Making a Government decision outside official channels
(e.g, telling a facility of a violation during the
inspection)
• Adversely affecting public confidence in EPA or the
Government (e.g., being convicted of an unrelated
crime).
Questions and Answers
Solicit ethics questions from the trainees. The points below
may help in responding to them; you may wish to raise
these points if specific questions do not come up.
Gifts, favors, luncheons:
• Avoid them under circumstances that might be
construed as influencing the performance of official
duties. Eat before you arrive at the facility, if possible.
• There is an exemption for inspectors in accepting food
and refreshments of nominal value in the ordinary
course of a luncheon or dinner meeting or other
meeting. Always offer to pay for the meal.
Role of Inspector 10
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 2-E
When in doubt, don't!
• Use this exemption only when absolutely essential, such
as in remote locations where there are not public eating
places.
Use of Information:
• All data collected on an inspection is for official use
only.
• Don't speak in a derogatory manner of any product,
manufacturer, or person.
• Information that has not been made available to the
general public cannot be used to further a private
interest.
Vehicles:
• Avoid renting vehicles that appear flashy or expensive.
• Motor vehicles owned, rented, or leased by the
Government cannot be used for non-official purposes.
Financial interests:
• If you have stock in a company or a member of your
family works there, recuse yourself from the inspection.
A good rule of thumb: when in doubt, don't!
WHEN IN DOUBT, DON'T! CONSULT FIRST WITH
YOUR ETHICS OFFICIAL.
Role of Inspector 11
-------
SESSION 2: ROLE OF THE INSPECTOR
Federal-State Relationship
Confidential Business Information
Ethics Considerations
Text: Chapters 4B, 5
OVERHEADS 2-A
EADS, 2-
-------
ROLE OF THE INSPECTOR
All stages/aspects of compliance
and enforcement program
Official representative
Fact finder
Enforcement case developer
Enforcement presence
Technical educator
Technical authority
OVERHEADS 2-B
-------
STATE-ERA ENFORCEMENT AGREEMENTS
Criteria and standards for EPA oversight
Criteria for direct EPA enforcement
Specify data State will report to EPA
OVERHEAD 2-C
-------
CONFIDENTIAL BUSINESS INFORMATION
Only authorized personnel can see the data
Access log maintained
Limits on copies made
Any report generated from CBI is also CBI
OVERHEADS 2-D.
-------
WHEN IN DOUBT, DON'T!
CONSULT WITH YOUR ETHICS OFFICIAL FIRST
OVERHEAQ^E
-------
3: Environmental Laws
-------
SESSION 3
TOPIC: ENVIRONMENTAL LAWS
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose
Provide an overview of the major EPA statutes
Discuss typical inspection activities under each statute
Key Points
While each statute is different, there are many common features.
Inspectors should be able to recognize and refer major violations of other EPA programs.
Advance Preparation
Text reference Chapter 2
Think of a recent case or two to use as illustrations to explain the types of enforcement cases that
arise out of the various laws.
Equipment
Overhead projector
List of Visuals
3-A -- Summary of Major EPA Statutes
3-B -- Selected Program Provisions of 40 CFR
Suggested Teaching Outline
Lecture: Introduction to EPA Laws 10 minutes
Lecture/Discussion: EPA Laws in a Nutshell 50 minutes
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Introduce yourself, including background, EPA experience,
and your role in the course.
LECTURE (10 min.)
INTRODUCTION TO EPA LAWS
This session is a brief
overview of EPA laws,
covering a lot of territory in a
short amount of time.
Overhead 3-A
Summary of Major EPA
Statutes
EPA administers many different laws, and each is complex.
The regulatory programs that have grown out of these laws
are also complex.
Each law is covered in great detail in Chapter 2 of your
text, and of course, learning the laws and regulations for
your particular program is a major part of your program-
specific training.
In the brief period that we have here today, I want to ••
highlight some of the common features of our
environmental laws and discuss their major provisions.
This overview should help you understand the scope of the
Agency's responsibilities and how the program you work
for fits in.
We also hope that you will learn some key ways in which
other statutes can be violated so you can recognize them in
the field and refer them to the appropriate office for
investigation.
Historical Perspective
There is no comprehensive environmental law. Rather, we
have a series of laws that were enacted to address particular
environmental issues.
FIFRA — 1946
CAA, CWA — 1960s
SDWA, TSCA, RCRA — 1970s
CERCLA — 1980
Laws 2
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INSTRUCTOR NOTES SUGGESTED CONTENTS
EPA was formed by Presidential order in 1970. Before
then, environmental responsibilities were scattered among
many agencies. Interior, Corps of Engineers, Agriculture,
and some other Federal agencies still retain some
environmental responsibilities, but they cooperate with EPA
under a variety of agreements. For example, EPA and the
Corps of Engineers jointly administer the CWA Section 404
program.
Common Features of EPA Laws
While each law is somewhat different, several features are
common:
• They provide national standards regulating the handling,
emission, discharge, and disposal of harmful substances.
• Standards are applied through general EPA or State
rules, through permits, or both.
• EPA is given authority to enter and inspect and has
other authority for information requests or demands,
monitoring, testing, and reporting.
• EPA is generally given authority to issue notices of
violation and administrative compliance orders.
• EPA is generally given authority to seek injunctive
relief through civil courts and/or to impose it
administratively.
• EPA can usually seek administrative penalties and civil
or criminal remedies. This authority generally allows
the Agency to eliminate, through penalty assessment,
any economic advantage gained by a non-complying
source as a result of its non-compliance.
• EPA usually has emergency authority to address such
situations.
• EPA may give States authority to administer and
enforce programs; however, EPA retains independent
enforcement authority.
Laws 3
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 3-B
Selected Program Provisions
of 40 CFR
• Federal facilities are generally required to comply with
substantive provisions of EPA statutes, although
enforcement raises other issues.
• EPA implements these laws through regulations,
assembled in Title 40 of the Code of Federal
Regulations (CFR) Parts 1-799.
LECTURE/DISCUSSION
(50 min.)
EPA LAWS IN A NUTSHELL
After you summarize each
statute, ask the trainees for
ideas about what the
inspector looks for on an
inspection of that program.
Because of the limited time,
this should be in the style of
"rapid-fire brainstorming," a
few ideas are listed for each
program under the Suggested
Content column.
In the remaining portion of this session, I hope to convey to
you a general understanding of what each of the major laws
EPA administers is about, and give you an idea of some of
the ways these laws can be violated.
Each of you does or will do inspections for one or more
programs. When we get to a program you know, please
help me out by providing examples of things you look for
on inspections.
Pesticides -- FIFRA
All pesticides must be registered by EPA.
Many toxicity and environmental fate tests are required. If
the product's risks do not outweigh its benefits, it is
registered.
If registered, the label states how it must be used -- in
essence, the label serves as the "regulation" governing the
pesticide's use.
The principal components of the enforcement program are:
• Assuring that manufacturers and producers of pesticides
comply with registration, testing, labeling requirements.
• Assuring that pesticide users are using the pesticides in
accordance with label directions.
Laws 4
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INSTRUCTOR NOTES
SUGGESTED CONTENTS
At this point, ask the group
to tell what a pesticide
inspector looks for. A few
suggestions are included in
the Suggested Content
column.
Ask the group for ideas of
what a TSCA inspector does.
Some ideas are included in
the Suggested Content
column.
Can anyone tell us what an inspector might typically look
for on a pesticides inspection?
• See if the EPA registration number and correct label are
on pesticide packages (at manufacturers and in
marketplace).
• Audit laboratory to see if it is using good laboratory
practices and following test protocols.
• Investigate a farmworker complaint that he was sprayed
while working in a field.
• Observe mixing and loading practices of a commercial
aerial applicator.
Toxic Substances (TSCA)
Under TSCA, EPA can regulate the manufacture,
distribution in commerce, and use of toxic substances.
Makers of new chemicals must notify EPA in advance of
manufacture.
For both new and existing chemicals, EPA can require
testing and additional information. Based on risk-benefit
analysis, EPA can prohibit or limit the chemical's
manufacture and use.
Chemical control rules are in place for PCBs, asbestos, and
CFCs.
Let's open the discussion now. What might a TSCA
inspector do?
• Check for leaks or drips on or around a PCB
transformer or capacitor. Make sure they are marked
with a PCB label.
• Visit a school where asbestos abatement is taking place
to make sure it is being done properly.
Laws 5
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INSTRUCTOR NOTES SUGGESTED CONTENT
• Check a chemical company's records to make sure it has
not begun to manufacture a product that EPA has
denied or delayed approving under the PMN program.
• Audit a laboratory conducting toxicity testing under
TSCA test rules.
Clean Air Act
The CAA addresses air pollution from stationary sources
(factories, utilities) and mobile sources (cars, trucks).
EPA sets national air quality standards for various
pollutants. Each State has a plan for meeting these
standards, called SIPs. SIPs detail emission limitations and
schedules and timetables for stationary sources to come into
compliance. They focus on major facilities or major
modifications to existing facilities.
Control requirements for individual facilities are generally
greater in areas that do not now meet air quality standards,
but significant deterioration of air quality in areas meeting
the standards is not allowed.
Both performance standards and technology requirements
are included in the program.
Regulation of volatile organic chemicals and hazardous air
pollutants will greatly expand the size of the regulated
universe, but many of the individual sources are very small.
The mobile source program regulates emissions from motor
vehicles. EPA tests new classes and models of vehicles to
make sure they are designed to meet emissions standards.
EPA can also regulate fuel and fuel additives if resulting
emissions would contribute to air quality problems.
Laws 6
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Open the discussion for ideas
about air inspections. Use
suggestions if needed.
What does a stationary source inspector do on an
inspection?
• "Read" visible emissions from smokestacks to see if they
are within acceptable boundaries.
• Check to see that required equipment has been installed.
• Check operation and maintenance of control equipment.
What might a mobile source inspector do?
• Audit vehicles during production to see if they meet
emissions standards.
• Investigate tampering (removing catalytic converters)
and fuel switching problems.
Clean Water Act (CWA)
EPA establishes national water quality goals under the
CWA.
Water pollution from industrial and municipal facilities is
controlled primarily through permits limiting discharges.
Permit limits are based on effluent guidelines for specific
pollutants, performance requirements for new sources,
and/or water quality limits. Permits also set schedules and
timetables for construction and installation of needed
equipment.
Sources which discharge indirectly to a municipal treatment
plant are subject to pretreatment standards.
Other key provisions of the CWA require permits for
discharge of dredged and fill materials into waters
(including wetlands) and requirements for reporting and
cleaning up spills of oil or hazardous material.
Nonpoint sources of water pollution, such as runoff from
agricultural fields, are addressed through programs to
implement Best Management Practices.
Laws 7
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask for ideas about water
inspections, using suggestions
as needed to stimulate the
group.
Use suggestions for drinking
water program inspections as
needed.
What are some of the things a water inspector might be
looking for on an inspection?
• Make sure that a source discharging to water has
obtained the required permit.
• Check self-monitoring reports of discharges against data
in the source's files and logs.
• Interview operators to find out how equipment is
maintained.
• Sample effluent to see if it exceeds permit limits.
Drinking Water (SDWA)
EPA sets standards for the quality of water that can be
served by public water systems, known as MCLs, or
Maximum Contaminant Levels.
Public systems must sample their water periodically and
report findings to the State (or EPA, if not a primacy State).
They must notify consumers if they do not meet the
standards or have failed to monitor or report.
EPA is on a statutory schedule for promulgating a large
number of new MCLs.
Underground injection of materials is regulated under
another provision of the SDWA which prohibits the
movement of fluids from injection wells into an
underground source of drinking water. Technical
requirements are placed on well operators through
regulations and operating permits.
What do public water system and UIC inspectors do on
compliance inspections?
• Verify public water system records of monitoring and
reports of exceeding MCLs.
• Interview water system personnel to identify potential
operations and maintenance problems.
Laws 8
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INSTRUCTOR NOTES SUGGESTED CONTENT
• Observe mechanical integrity testing at UIC wells.
• Check to make sure that only the wastes and quantities
specified by permit are being injected into Class I wells.
Hazardous Waste (RCRA)
RCRA provides "cradle to grave" management of hazardous
waste, management of solid wastes, and regulation of
underground storage tanks containing chemical and
petroleum products.
Under Subtitle C, wastes listed as hazardous waste are
subject to controls on generation, transportation, storage,
and disposal. A manifest system tracks shipment of
hazardous waste from the generator until ultimate disposal.
The control program is implemented through regulations
and permits for various types of facilities handling
hazardous waste.
Treatment, storage, and disposal facilities (TSDF) for
hazardous waste are subject to technical requirements for
facility design and operation. They are required to take
corrective action if releases occur, and must show financial
responsibility to handle cleanups if ever needed.
Non-hazardous solid wastes are addressed in Subtitle D.
EPA develops guidelines and criteria for managing solid
waste and provides financial assistance to State and local
governments to develop solid waste plans.
Underground storage tanks are subject to regulation under
Subtitle I. Regulations require phasing out of tanks not
meeting the technical standards and installation of leak
detection systems. Tank owners must take corrective action
if leaks occur.
Laws 9
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask for ideas and use
suggestions as needed to
stimulate discussion.
What are some of the things an inspector might look for on
a hazardous waste inspection at a TSDF?
• Visually inspect facility grounds for evidence of leaks
or spills (e.g., stained ground, dead vegetation,
discolored waterway).
• Inspect stored drums and containers for condition,
leaks, labels.
• Check manifests to see if facility is receiving only
wastes it is allowed to receive.
• Review groundwater monitoring data.
What might be done on an underground storage tank
inspection?
• Check to see if leak detection system is in place and
operating (or pressure test has been performed).
• Check for certification of proper installation of new
tanks.
Superfund (CERCLA)
The Superfund law authorizes EPA to clean up hazardous
substances at closed and abandoned waste sites and to
recover the cost of cleanup and associated damages from the
responsible parties. EPA can also take enforcement action
against responsible parties to compel them to clean up sites.
Other provisions of CERCLA require releases over a
specified amount ("reportable quantities") of hazardous
substances to be reported.
Since CERCLA is mostly an after-the-fact cleanup
program, there are no compliance monitoring inspections as
in other programs. Sites are visited and environmental and
other data are gathered for evaluation and assessment
purposes, as well as to identify potential responsible parties.
This information may ultimately be used in enforcement
actions to recover the costs of cleanup or to compel cleanup
by responsible parties.
Laws 10
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INSTRUCTOR NOTES
SUGGESTED CONTENTS
Ask the group for ideas about
what might be signs of an
abandoned toxic dump site or
other Superfund-type
problem.
As a new program, there is
not likely to be much
experience by trainees. The
future may include some
cross-program compliance
activities, however, since
Title III has implications for
all EPA programs.
Inspectors from all EPA programs should be alert to signs
of potential abandoned dump sites or other Superfund-type
situations while they are out in the field.
• Rusting drums and containers, evidence of spills,
discolored vegetation, discolored water, foul-smelling
lagoons.
• Statements by facility personnel about how they handle
wastes.
Emergency Planning and Community Right-to-Know
Title III of SARA (1986) was enacted to help increase the
public's knowledge of and access to information on the
presence of hazardous chemicals in their communities and
releases of these chemicals into the environment. It also is
designed to aid State and local governments in preparing for
response to chemical release emergencies.
Under Section 313, facilities which make routine releases of
toxic chemicals to the environment must report them for
inclusion on an inventory to be published by EPA. This
will include releases to air and water, for example, that are
allowed via permits issued by EPA and/or the State.
EPA inspections associated with Section 313 might include:
• Making sure that all who should report have reported
• Verifying the accuracy of the information submitted
• Cross-checking permit discharges against reported
information
This has been a whirlwind tour of EPA's laws, and of the
types of violations inspectors look for. We hope it has
given you a sense of the enormity and complexity of EPA's
mission and where the program(s) you work for fit in.
Chapter 2 of the manual presents a more detailed
discussion.
Laws 11
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SUMMARY OF MAJOR EPA STATUTES
Environmental Problem
Statute
Original Enactment
Pesticides
Air Pollution
Water Pollution
Drinking Water
Toxic Chemicals
Solid and Hazardous Waste
Ocean Dumping
Abandoned Toxic Dumps
FIFRA
CAA
CWA
SDWA
TSCA
RCRA
MPRSA
CERCLA
1946
1960s
1960s
1970s
1970s
1970s
1970s
1980s
OVERHEADS 3-A
-------
SELECTED PROGRAM PROVISIONS OF
40CFR
Part Topic
1 General information on and organization of EPA.
2 Freedom of Information Act Requests; Confidential Business Information; Testimony by Employees and Production of
Documents in Civil Legal Proceedings Where the United States is not a Party.
3 Employee Ethical Standards.
22 Rules of Practice of Administrative Assessment of Civil Penalties and the Revocation or Suspension of Permits.
30 General Regulations for Assistance Programs.
32 Debarment and Suspension Under EPA Assistance Programs.
OVERHEADS 3-B
-------
SELECTED PROGRAM PROVISIONS
OF 40 CFR (CONTINUED)
Part Topic
33 Procurement Under Assistance Programs.
50-87 Air Programs (Including Mobile Sources).
100-140 NPDES Program.
141-147 Drinking Water Program.
152-180 Pesticides Program.
220-233 Ocean Dumping.
240-272 Solid and Hazardous Wastes.
280 Underground Storage Tanks.
300-355 Superfund.
400-471 Effluent Guidelines and Standards for CWA.
702-799 Toxic Substances.
OVERHEADS 3-B(Conl)
-------
4: Overview of Enforcement
-------
SESSION 4
TOPIC: OVERVIEW OF ENFORCEMENT
INSTRUCTOR'S OVERVIEW
Time: 75 minutes
Purpose
Provide the context for work of inspectors
Explain the role of inspectors in each aspect of an enforcement case
Provide an overview of civil litigation
Introduce inspectors to criminal enforcement and how to recognize potential criminal violations
Key Points
Knowledge of program compliance and enforcement strategies aids inspectors in making appropriate
field decisions.
Inspectors are involved in every aspect of an enforcement case.
Inspectors should recognize and refer potential criminal violations for investigation.
Advance Preparation
Text reference Chapters 3 and 6.
Bring an example of a compliance monitoring strategy and an enforcement response policy (or other
documents from an enforcement/compliance policy compendium).
Optional: Bring a chronology of an actual administrative enforcement case to use in explaining the
stages of litigation.
Optional: Prepare to describe an EPA criminal case that was successfully prosecuted in your Region.
Equipment
Overhead projector
Enforcement 1
-------
List of Visuals
4-A -- Topic Summary
4-B -- Compliance and Enforcement Program Includes
4-C -- Laws and Regulations
4-D -- Compliance and Enforcement Strategies
4-E -- Compliance Monitoring
4-F -- Enforcement Response
4-G -- Follow-Up to Enforcement Response
4-H -- Steps in an Enforcement Action
4-1 -- What Can We Get from an Enforcement Action?
4-J -- Types of Legal Cases
4-K. -- Principal Elements of Civil Litigation
4-L -- Stages of Civil Litigation
4-M -- Summary of EPA Criminal Enforcement
4-N -- Principal Differences Between Civil and Criminal Enforcement
4-O -- "Red Flags" Indicating Possible Criminal Activity
Suggested Teaching Outline
Lecture: Overview of a Compliance Program 15 minutes
Discussion: Relevance of National Strategies 5 minutes
Lecture: Role of an Inspector in Enforcement Actions 15 minutes
Discussion: Participation of Inspectors in Enforcement Cases 5 minutes
Lecture: Civil Litigation 10 minutes
Lecture: Criminal Enforcement in EPA 10 minutes
Discussion: Recognizing Potentially Criminal Violations 15 minutes
Enforcement 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
DISCUSSION (5 min.)
RELEVANCE OF NATIONAL STRATEGIES TO
INDIVIDUAL INSPECTORS
Suggested question to discuss
with the group are shown in
the next column.
A point to be raised in the
discussion is that knowledge
of program enforcement
response strategies and
policies can help the inspector
make decisions in the field,
e.g., deciding which
violations to document most
vigorously when choices must
be made.
• Why should inspectors be familiar with the programs'
compliance and enforcement strategy?
• How do compliance monitoring strategies relate to
inspections (frequency and substance)?
• How can an inspector's knowledge of the program's
enforcement response and penalty policies be used in
the field?
LECTURE (15 min.)
ROLE OF AN INSPECTOR IN ENFORCEMENT
ACTIONS
Overhead 4-H
Steps in an Enforcement
Action
An inspector should be aware that any inspection can lead
to an enforcement action. The attorney-client relationship
between the inspector and the case development
staff/enforcement attorneys begins as soon as a facility is
selected for inspection. Inspectors are involved at virtually
every stage of an enforcement case. Following are the basic
steps in an enforcement action, with the potential role of
the inspector highlighted:
• The inspection: The inspector identifies and documents
the facts surrounding potential violations, writes the
inspection report, and prepares a file with all pertinent
documents. (The inspector makes no independent
decision that a facility or site is in violation.)
Enforcement 5
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INSTRUCTOR NOTES
SUGGESTED CONTENT
• Enforcement response decision: The inspector may
make formal recommendations to enforcement personnel
regarding enforcement response; at a minimum, an
inspector is likely to be consulted. The quality of the
inspector's work in conducting an inspection and
documenting violations may affect decisions on the level
of action.
• Enforcement document drafting: The inspector may be
responsible for drafting all or a portion of a notice of
non-compliance or a formal complaint or compliance
order.
• Settlement negotiations: The inspector may serve as a
member of the team negotiating with the violator to
develop a settlement agreement; at a minimum, the
inspector is likely to be consulted.
• Hearing or trial: If the case is litigated, the inspector is
likely to be involved in developing the case, may find
his or her notes and other documents subject to
discovery, and ultimately may be called upon to serve as
a government witness.
DISCUSSION (5 min.)
PARTICIPATION OF INSPECTORS IN ENFORCEMENT
CASES
Suggested questions to
stimulate discussion are
shown in the next column.
• Are there obstacles to closer and more frequent
coordination between inspectors and enforcement
attorneys?
• How would enforcement efforts be improved if these
obstacles were removed?
Enforcement 6
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE (10 min.)
CIVIL LITIGATION
Overhead 4-1
What Can We Get From an
Enforcement Action?
Overhead 4-J
Types of Legal Cases
Overhead 4-K
Principal Elements of Civil
Litigation
EPA has authority to pursue both administrative and
judicial civil litigation. We will discuss criminal cases later
in this session.
• Under most of EPA's statutes, through civil litigation,
EPA can require a violator to (1) take steps to stop
violations, to correct the violation, and to remedy any
damages, and/or (2) pay a civil penalty. It is EPA's
policy that the penalty amount we seek should remove
any economic benefit that the violator accrued as a
result of the violating condition, as well as an amount
based on the gravity of the violation.
• The principal difference between administrative and
judicial litigation is the setting in which they occur.
Administrative cases are heard by EPA's administrative
law judges, while civil cases are tried in the United
States court system. DOJ represents EPA in judicial
actions, but EPA is heavily involved.
• The bulk of EPA's enforcement cases are
administrative; such actions are generally less resource-
intensive for the Agency and result in swifter action.
Judicial litigation is generally used for more serious
violations, such as when other enforcement actions have
stalled or have failed to bring a violator into
compliance.
Following are the principal elements of civil litigation:
• Theory of the case: Consists of three ingredients:
(1) facts of violation, (2) the law or legal duty, and (3)
some breach of duty resulting in harm to a person or
thing. Ideally, the theory of the case can be stated in 25
words or less.
Enforcement 7
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Use an actual case to
illustrate these stages
Overhead 4-L
Stages of Civil Litigation
• Burden of proof: Essentially, which side has to
persuade or prove something. Which side has the
burden depends on the issue.
• Standards of proof: How well each side must meet its
burden on any given issue. In order of increasing
difficulty, the four basic standards of proof are:
(1) credible evidence; (2) preponderance of evidence;
(3) clear, cogent, and convincing evidence; and
(4) evidence beyond a reasonable doubt.
Following are the stages of civil litigation:
• Conception and preparation: Begins when the
inspection begins; legal and factual investigation and
research merge and the theory of the case begins to
form.
• Pleadings: "Letters to the judge," are the first legal
documents and include such items as the parties
involved, and the allegations and claims. In a civil case,
the government's first pleading is the "complaint."
Inspectors are sometimes involved in drafting the
complaint.
• Discovery: During this phase, both sides work to gain
more facts and try to glean the theory of the case of the
other side. The information is obtained through:
(1) interrogatories, written questions to which written
answers must be provided; (2) requests for production
of documents and samples; and (3) depositions, live
testimony taken under oath. Notes and other documents
prepared by inspectors are generally subject to
discovery; inspectors also often give depositions.
• Motion practice: Motions are attempts by both sides to
narrow the case to the real issue(s), used also to get
leverage to try to force settlement. Motions range from
attempts to exclude certain factual evidence to deciding
whole issues of law or fact.
The inspector plays an important role during motion
practice and may be faced with multiple affidavits.
Enforcement 8
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Trial: The time when the two sides present the facts (as
they see them) to the trier-of-fact.
Most litigation work is done before trial, and most cases
are settled before trial is reached. The inspector's work
is what makes bringing the other side to settlement
possible.
Post-trial and appeal: All sides have post-trial and
appeal rights. The facts have been decided; only
matters of law are at issue.
LECTURE (10 min.)
CRIMINAL ENFORCEMENT IN EPA
Overhead 4-M
Summary of EPA Criminal
Enforcement
Overview of Criminal Enforcement
Criminal investigations are always led bv EPA's criminal
investigative staff. Part of the National Enforcement
Investigations Center (NEIC) in Denver, there are special
agents in each Regional office and Headquarters.
Regular EPA inspectors (and other staff such as scientists)
who are involved in criminal investigations are given special
training at the Federal Law Enforcement Training Center
(FLETC) in Glynco, Ga.
The Office of Criminal Enforcement in Headquarters works
with the criminal investigators and the Department of
Justice in actual prosecution of criminal cases.
Because of the special legal issues associated with criminal
investigations and the rights of the accused, inspectors who
become involved in criminal investigations should always
follow the direction of the Special-Agent-in-Charge (SAIC)
and/or Resident-Agent-in-Charge (RAIC).
Enforcement 9
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 4-N
Principal Differences
Between Civil and Criminal
Enforcement
The principal differences between civil and criminal
enforcement are that in criminal cases:
• Searches of property can only occur with consent or
with a warrant obtained based on sworn testimony that
there is "probable cause" to believe a crime has been
committed.
• Other constitutional guarantees for the defendant.
• Government-held information is not subject to
discovery by the other side, except for information that
would tend to show the innocence of the accused.
• The burden of proof is higher than for civil cases:
"beyond a reasonable doubt."
• The penalties are more severe: imprisonment and/or a
fine. (Some statutes allow felony sanctions -
corporations and individual officers are potential
defendants.)
How EPA Conducts a Criminal Investigation
All "initial leads" of potentially criminal activity are
referred to the SAIC or RAIC.
Depending on the reliability of the lead, a preliminary
inquiry or assessment may be made to determine whether a
complete investigation is warranted.
The SAIC or RAIC notifies the Office of Regional Counsel
and brings in needed technical staff from the program
office(s).
The Special Agent manages the investigations. He/she:
• Determines the basic investigative approach
• Leads the conduct of interviews, assembling and review
of records
• Plans and executes surveillances
Enforcement 10
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INSTRUCTOR NOTES SUGGESTED CONTENT
• Coordinates with the U.S. Attorney's office and other
Federal, State, and local law enforcement agencies
• Contacts other witnesses
• Completes all required reports
Inspectors assigned to assist in an investigation work under
the direction of the Special Agent.
Agency policy is to neither confirm nor deny the existence
of a criminal investigation. Any requests for information
must be referred to the Special Agent.
The Agency must comply with the Jencks Act. This law is
designed to allow the defendant to have all relevant
information of a governmental witness so that they can
attempt to impeach.
• If the defendant's ability to cross-examine is hindered
because the government lost information -- whether on
purpose or inadvertently -- the Court may decide to not
allow the witness to testify at all or to strike the witness'
entire testimony.
• Agency policy is to turn over all relevant notes, records,
and reports to the defense if requested through the
Court -- after direct examination.
• For inspectors, the principal effect of the Jencks Act is:
keep accurate and complete notes, records, and reports;
they should be factual, containing no opinions or biases.
Finally, throw nothing away -- not even scraps of
paper.
All material associated with a criminal investigation must be
kept according to security procedures.
Enforcement 11
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
DISCUSSION (15 min.)
RECOGNIZING POTENTIALLY CRIMINAL
VIOLATIONS
Ask the group for ways to
recognize violations. Points
to cover if not raised by the
group are shown in the other
column and on the overhead.
Overhead 4-O
"Red Flags" Indicating
Possible Criminal Activity
Inspectors are not expected to be able to determine whether
there has been criminal behavior at a facility. They should,
however, be able to recognize the types of activities that
warrant referral to the criminal investigation staff.
Generally, criminal behavior falls into one of these
categories:
• Knowing or willful violation of the law (all statutes)
• Negligent actions (CWA)
• Fraudulent reporting (all statutes).
Evidence of criminal wrongdoing is usually subtle. If
inspectors observe anything suggesting criminal behavior,
consult with the criminal investigation unit.
Some red flags suggesting the potential for criminal action
follow. If one or more is found, consult with the criminal
investigation unit.
• Conflicting data: two sets of books, inconsistent .
monitoring reports on the same incident.
• Conflicting stories: when an inspector is led to believe
one thing and sees something different in records or
through observations.
• Unsubstantiated data; monitoring or other
recordkeeping and reporting which lacks any
substantiating information.
• Deliberate actions: when an employee says he was told
to do something the inspector knows is illegal.
Enforcement 12
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Some suggested questions to
stimulate discussion are
shown in next column.
Claims of ignorance about requirements; copies
displaying knowledge are discovered in the records, or
other statements during interviews show knowledge.
What other types of indicators are there that there may
be a criminal violation? How far should the EPA
inspector investigate before referring the situation to
the criminal investigation staff?
Have any of you been involved in a criminal
investigation? How was it different from routine
inspection work? What did you find most difficult?
Was there sufficient coordination between offices?
Enforcement 13
-------
SESSION 4: OVERVIEW OF
ENFORCEMENT
Components of a Compliance Program
Role of Inspector in Enforcement Actions
Civil Litigation
Criminal Enforcement in EPA
Text: Chapters 3, 6
-------
COMPLIANCE AND ENFORCEMENT
PROGRAM INCLUDES:
Laws and regulations
Compliance and enforcement strategies
Compliance monitoring
Enforcement response
Follow-up to enforcement actions
OVERHEADS 4-B
-------
LAWS AND REGULATIONS
Should be written clearly so easy to discern:
- Who is subject to them
- What is and is not a violation
-------
COMPLIANCE AND ENFORCEMENT
STRATEGIES
Compliance monitoring plans
Enforcement response policies
Other policy and guidance documents
OVERHEADS 4-D
-------
COMPLIANCE MONITORING
Source self-monitoring and reports
Inspections
-------
ENFORCEMENT RESPONSE
Graduates with severity of violation:
- Informal administrative response
- Formal administrative response
- Civil judicial response
- Criminal judicial response
OVERHEADS 4-F
-------
FOLLOW-UP TO ENFORCEMENT
RESPONSE
Reports/certifications of compliance by source
Follow-up inspections
More severe enforcement reponse if still in violation
-------
STEPS IN AN ENFORCEMENT ACTION
1. Violation found and documented
2. Decision on level/type of enforcement response
3. Enforcement documents drafted and filed
4. Settlement negotiations
5. Hearing or trial
OVERHEADS 4-H
-------
WHAT CAN WE GET FROM AN
ENFORCEMENT ACTION?
Depending on law, violation, and circumstances:
Civil Criminal
- Compliance with requirement - Monetary fine
- Monetary penalty - Prison sentence
- Cleanup of contamination
OVERHEADS 4-1
-------
TYPES OF LEGAL CASES
CIVIL
CRIMINAL
(EPA Internal)
ADMINISTRATIVE
ALJs or Hearing Officer
(through DOJ)
JUDICIAL
U.S. Court System
OVERHEADS
-------
PRINCIPAL ELEMENTS OF
CIVIL LITIGATION
Theory of the case
Burden of proof
Standards of proof
OVERHE
-------
STAGES OF CIVIL LITIGATION
Conception and preparation
Pleadings
Discovery
Motion practice
Trial
Post-trial and appeal
OVERHEADS 4-L
-------
SUMMARY OF EPA CRIMINAL
ENFORCEMENT
1983-1988*
Total Indictments:
Pleas/Convictions:
Fines Imposed:
Jail Terms:
Actual Time Served:
456
322
$12,896,113
Over 209 years
Nearly 64 years
Individuals 334
Corporations 122
Individuals 228
Corporations 94
'Source: U.S. Department of Justice, 9/88
OVEflHE
-------
PRINCIPAL DIFFERENCES BETWEEN CIVIL
AND CRIMINAL ENFORCEMENT
Warrants based on "probable cause"
Other Constitutional guarantees
Burden of proof: "beyond a reasonable doubt"
Penalties more severe: imprisonment and/or fine
OVERHEADS «-N
-------
if
RED FLAGS" INDICATING POSSIBLE
CRIMINAL ACTIVITY
Conflicting data
Conflicting stories
Unsubstantiated data
Deliberate action
Claims of ignorance about requirements
OVERHE
-------
5: Entry
-------
SESSION 5
TOPIC: ENTRY
INSTRUCTOR'S OVERVIEW
Time: 75 minutes
Purpose
Explain the extent and limits of EPA's authority to enter and inspect facilities
Explain EPA policy and practice regarding consensual entry
Explain procedures for proper, lawful entry
Provide guidance on how to handle sensitive entry-related situations
Discuss the role of the inspector in securing and inspecting with a warrant
Note: The role play is crucial in this session to illustrate the key points that have been made.
Key Points
EPA policy is to obtain a warrant when owner consent to enter has been denied.
Advance Preparation
Text reference Chapter 7.
Review Handouts 5-2 and 5-3 and prepare for role play. Ask two or three experienced inspectors
to play the roles. Give them the handouts in advance to allow preparation time. If possible, have
others play roles so you can observe carefully.
Locate an inspection file for which a warrant was obtained. Make transparencies of the warrant
documents or sufficient copies for handouts.
Equipment
Overhead projector
List of Visuals
5-A -- Topic Summary
5-B -- Bases for Entry
Entry 1
-------
Handouts
5-1 Summary of Federal Environmental Acts Regarding Right of Entry
5-2 Entry Scenario (inspector)
5-3 Entry Scenario (plant official)
Suggested Teaching Outline
Lecture: EPA's Entry Authority, Policy, and Practice 20 minutes
Role Play: Consensual Entry 20 minutes
Question and Answer Session: Entry 20 minutes
Lecture: Warrants 10 minutes
Lecture: Other Information-Gathering Tools 5 minutes
Entry 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Overhead 5-A
Summary of Topics
Introduce yourself, including background, EPA experience,
your role in the course. In this session, we will cover the
legal basis of EPA's inspection authority, have a role play
exercise on consensual entry, and discuss warrants and other
tools for gathering information.
LECTURE (20 min.)
EPA'S ENTRY AUTHORITY, POLICY, AND PRACTICE
Distribute Handout 5-1
Summary of Federal
Environmental Acts
Regarding Right of Entry
Legal Bases for Entry
EPA, through provisions of the various statutes the Agency
administers, has the legal authority to enter and inspect
private facilities.
There are variations in the inspection provisions among the
EPA statutes such as who may enter, at what time they may
enter, the scope of inspection activities, and required
presentation of a notice of inspection.
Provisions of the Constitution reinforce the Agency's
authority to enter provided by Congress in the individual
environmental statutes.
• Article III empowers the courts to issue orders
confirming entry powers granted by the legislature.
This is the source of power for the courts to issue
warrants.
• The 4th Amendment does not prohibit searches, it only
prohibits unreasonable searches.
Over the years, there have been many court cases regarding
authorized entry and the protection of individual
Constitutional rights.
A case that has most directly affected EPA's policy and
practice" with regard to entry is Marshall v. Barlow's (1978).
• In this case, an OSHA inspector was not given consent
to enter a workplace. The company challenged the
Constitutionality of the law giving OSHA the authority
to enter.
Entry 3
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
• The Supreme Court ruled that OSHA's entry authority is
Constitutional, but held that an OSHA inspector is not
entitled to enter the non-public portions of a worksite
without either the owner's consent or a warrant.
• The court established two bases for issuing a civil
administrative warrant: (1) reasonable cause to believe
that a violation had occurred or was occurring at the
facility, or (2) the facility was selected for inspection
based on a pre-existing administrative plan or scheme
for entries. The scheme itself need not be neutral or
random, but the basis for the plan must be neutral.
Essentially, the Court's message was that the government
(through its field agents or otherwise) cannot "pick on"
people with subtle harassing techniques or through exercise
of entry, search, inspection, investigation, information
gathering, or correctional rights or powers.
EPA's entry authorities under the various statutes are
somewhat different from OSHA's and have not been
successfully challenged on Constitutional grounds.
Consequently, it is uncertain whether EPA is required to
follow the rules announced in the Barlow's case. Rather
than risk having to litigate the issue under each EPA law,
EPA practice and policy is to conduct its affairs as if
Barlow's applies.
• EPA policy is to obtain a warrant when owner consent to
enter has been denied.
When consent is lacking, EPA obtains a warrant to
"validate," "confirm," or "credentialize" its statutory right to
enter.
The Agency's "right to a warrant" was upheld in Bunker
Hill Co. v. EPA (9th Cir., 1981). The Court held that
EPA's statutorily expressed right of entry was sufficient
basis for EPA using, and a magistrate issuing, an
administrative warrant.
Entry 4
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 5-B
Bases for Entry
Despite the Barlow's decision, there are some areas where a
right of warrantless entry still exists:
• Emergency situations, such as potential imminent
hazard situations or where there is potential destruction
or disappearance of evidence.
As a practical matter, if entry is refused during an
emergency, the Agency would need the assistance of a
U.S. Marshal to gain entry. During this time, a warrant
could probably be obtained and would be prudent.
• Pervasively regulated industries that have been subject
to a longstanding and pervasive history of government
regulation.
• "Open fields" and "in plain view" situations where the
inspector can observe things in plain view of anyone in
a lawful position or place to see them, such as inspector
observations from a public area of a facility.
Proper Entry Procedures
Inspectors should follow proper procedures when entering a
facility so that no questions or challenges can be raised
regarding the legality of the inspection.
• Arrive at the facility or site during normal working
hours (this meets statutory language regarding entry at a
"reasonable time"). Note arrival time in the field
logbook.
• Enter the facility or site through the main gate unless
the facility has specified another location.
• Locate the owner or agent-in-charge as soon as you
arrive. Ask who is in charge; do not rely on
individuals' titles.
• Government credentials must be presented whether or
not identification is requested. Even when presentation
of credentials is not required by statute, EPA policy is
to present them to authenticate that the inspector is a
Federal official with authority to conduct inspections.
Entry 5
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
-- A note in the field logbook that credentials were
presented and to whom may prove useful later.
-- Keep your credentials in sight at all times. Do not
allow facility staff to take them from your presence.
Business cards can serve as an introduction.
— Present a written Notice of Inspection as required by
law if inspecting under FIFRA, SDWA, or TSCA
authority.
The Notice should be dated and the time of
inspection entered as proof that entry was
requested at a reasonable hour.
Make a note in the field logbook about
presentation of the Notice and keep a copy as
part of the inspection file.
At certain Federal facilities, a security
clearance may be required before entry is
allowed.
Consensual Entry
EPA policy is to obtain access to a facility or site by
consent.
What does consent mean? Consent is the intentional
foregoing of right to privacy that has not resulted from
fear, ignorance, or trickery.
Express consent is not necessary; absence of express denial
constitutes consent.
What to do if entry is denied:
• Be sure that entry and arrival were conducted according
to proper procedures.
• Tactfully discuss the reason for denial; try to obtain
consent by reason and logic.
• Carefully record observations in your field logbook.
Entry 6
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
• Avoid threatening or inflammatory statements. Never
say that you will "get" a warrant. You may say that you
will "seek" a warrant.
• Leave the premises and contact your supervisor.
• Follow directions of your supervisor and/or the
Regional Counsel regarding next steps.
We will be discussing how to obtain and inspect with a
warrant later in this session.
ROLE PLAY (20 rain.)
CONSENSUAL ENTRY
Introduce the scenario to the
entire group.
Conduct the role-play. End
the role-play when the action
begins to fail or becomes far-
fetched.
Open discussion on the
exercise. During the
discussion, be sure to ask for
positive as well as negative
feedback.
The inspector, Mr./Ms. A. Greer, is inspecting a small
business that has only recently become subject to EPA
authority because of new regulations. This is the first
inspection this facility has had. When,he/she arrives, the
secretary greets him/her.
Questions that can be used to stimulate a critique and
discussion of what happened (or didn't happen) during the
role play:
• Would it have been acceptable to conduct the inspection
if the plant owner had not arrived? How do you know
if an on-site person has the authority to give consent?
• Was the inspector adequately prepared to deal with the
plant owner's concerns?
• What techniques used by the inspector seemed to be
most effective in convincing the plant owner to give
consent?
• What other techniques might the inspector have used?
Entry 7
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
• Did the inspector step over any boundaries regarding
gaining consent (e.g., use any threatening language)?
• Should the inspector have left the premises?
• Did the inspector make any agreements about the scope
or content of the inspection that were inappropriate?
QUESTION AND ANSWER
SESSION (20 min.)
ENTRY
Invite trainees to ask any
questions they have
concerning entry.
This question and answer period is intended to provide an
opportunity for inspectors to get advice from the
instructor(s) and each other on how to handle a variety of
entry situations.
Answers to frequently-asked questions include:
• Any effort on the part of facility officials to restrict the
inspector's activities is considered a denial of consent
and should be handled as such. This includes:
Demanding that inspectors sign confidentiality
agreements
Limiting picture-taking or copying of documents
Prohibiting use of tape recorders or other recording
devices
Requiring the inspector to sign passes, logs with
restrictive language, waivers, indemnity agreements,
releases.
• The inspector can begin the inspection even if consent
to take photographs has been denied. Frequently, this
can be discussed during the inspection with the
individual in charge and consent can then be obtained.
• If entry is made with consent, but during the inspection
facility personnel attempt to place restrictions, it should
be considered as revocation of consent and handled
accordingly. Keep all samples taken prior to revocation.
Entrv 8
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
It is acceptable for the inspector to agree to reasonable
requests such as the wearing of an identification badge
or hard hat.
EPA inspectors are encouraged to use the same safety
gear that is actually used by facility employees.
However, EPA employees are not required to go
through the facility's safety training program. Any
requirement that they do so should be considered a
denial of consent. You may submit to a short briefing
on safety equipment and procedures at the facility.
Inspectors should never use threatening language or
behave in any manner that might suggest coercion.
Inspectors should not state that the Agency will get a
warrant, nor suggest that there are any penalties for
failing to allow entry.
LECTURE (10 min.)
Warrants
A warrant is a judicial authorization for an appropriate
official (e.g., EPA inspector) to enter a specifically
described location and perform specifically described
inspection functions.
EPA can obtain an administrative warrant:
o In advance of an inspection,
o When facility officials have denied entry, or
o If consent is withdrawn during an inspection.
The decision to seek a warrant is made by the Regional
Program Office, in consultation with Regional enforcement
attorneys and Headquarters.
Inspectors and attorneys must work together as a team in
drafting warrant documents.
Entry 9
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
The inspector plays several important roles in the process of
obtaining a warrant. His or her knowledge and experience
regarding the circumstances are crucial to the drafting of
warrant documents. The inspector is responsible for:
• Obtaining the information that will permit very specific
descriptions of the premises to be inspected.
• Providing specificity regarding the items to be searched
and/or seized.
• Helping to determine what laws/regulations/require-
ments apply or may have been violated.
• Providing the information amounting to "reasonable"
cause or, alternatively, supplying the pre-determined
inspection schedule.
To obtain a warrant in the field, inspectors can call the
Office of Regional Counsel or go to the closest U.S.
attorney's office.
Once a warrant has been issued, the inspector may proceed
to the facility to begin or continue the inspection. The
warrant should be executed promptly and within the stated
number of days.
If there is a probability that entry will still be refused or
there may be threats of violence, the inspector should
follow the direction of the Marshal. Local Marshals can be
contacted at the courthouse, through the U.S. attorney, or
referral by a police officer.
The inspection must be conducted in strict accordance with
the warrant.
• Follow all procedures carefully, including presentation
of receipts for samples. Carefully observe any statutory
language with respect to split samples, chain of custody,
etc.
• Provide receipts for all samples and documents that are
removed from the premises.
Copies of model warrant documents have been included in
the manual.
Entry 10
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE (5 rain.)
OTHER INFORMATION-GATHERING TOOLS
In addition to inspection authorities, the Agency has other
investigative tools that can be used to gain compliance
information.
They include administrative investigative subpoenas (AIS),
warrants, orders, and requests.
• An AIS can be used to compel the production of
tangible information (e.g., records or documents) or the
appearance of a person for the purpose of obtaining oral
information.
• Warrants can be used to obtain tangible objects, records,
and documents, and are most useful when there is
concern that records might be destroyed.
• Information-gathering orders under some EPA statutes
can be used to require the production of information,
including requiring that monitoring and sampling be
undertaken and reported.
• A request authorized by statute is comparable to an AIS.
Entry 11
-------
Handout 5-1
3
rr
i-t
SUMMARY OF FEDERAL ENVIRONMENTAL ACTS
REGARDING RIGHT OF ENTRY, INSPECTIONS, SAMPLING, TESTING, ETC.
Act/Section
tMa!£f
Act/308(a)
t!£RA/8(b>
(Rooks &
Records)
°»a> (Inspections
of
establishments)
Clean Air Act/
lUIn)
RCRA/:>007(a)
•W05U)
SPWA/l44S(b)
TSCA/IKa.b)
Designated Presentation
Representative Credentials
Yes. authorized
by Administrator
Yes, designated
by Administrator
Yes, designated
by Administrator
Yes. authorized
by Administrator
Yes. designated
by Administrator
Yes, designated
by Administrator
Yes, designated
by Administrator
Required
Required
Required
Required
Not required
Required
Required
Notice of
Inspection
Not required
Written notice
required with
reason and sus-
pected violation
note
Written notice
required with
reasons Tor in-
spection
Not required
except notify
Slate for SIP
sources
Not required
Written notice
required, must
also notify Stale
with reasons for
entry if Slate
has primary en-
forcement re-
sponsibility
Written notice
required
Sampling Inspection
Permitted of Records
Yes (effluents Yes
which the
owner is
required to
sample)
No Yes
Yes See 8
Yes Yes
Yes Yes
Yes Yes
(The Act does Yes
not mention
samples or sam-
pling in this
section. It
does state an
inspection shall
eitend to all
things within
the premise of
conveyance.)
Receipt Knum of
Sample for Agency's Analytical
Splits Samples Result
Not required Not required Not required
N/A N/A N/A
Required, if Required Required,
requested promptly
Not required Not required Not required
Required, if Required Required
requested promptly
Not required Not required Not required
N/A N/A N/A
CERCLA/104 Yes. designated Not required
by President
Not required Yes
Yes
Required, if Required
requested
Required
promptly
3
CL
O
C
IT-
-------
HANDOUT 5-2
ENTRY SCENARIO
Instructions for inspector:
Before you go out to do the inspection, you learn that you will be inspecting a small business that
has only recently become subject to EPA authority because of new regulations.
Your role play should last approximately 10 minutes. The instructor will be the timekeeper.
Entry (Handout) 2
-------
HANDOUT 5-3
ENTRY SCENARIO
(Secretary and Plant Owner can be played by the same or different people.)
Instructions for secretary:
The facility is a small business that has never before been inspected by EPA.
As secretary, you are wary of the inspector. The owner is out of the office and can't be reached by
telephone, but the plant foreman is in the building. You attempt to take the inspector's credentials
to give to the plant foreman. Before you return, the plant owner arrives.
Instructions for plant owner:
As plant owner, you are unsure whether the inspector has the right to enter, and you are generally
resentful of Government regulation. You have the perception that no one from the Government can
enter private property without a warrant. You are aware that you are subject to some new EPA
requirements, but have had difficulty understanding them and aren't quite sure whether you are in
compliance. You fear that if EPA finds out you are in violation, you could be put out of business.
During the scenario, you should:
• At first refuse somewhat strongly to let the inspector into the plant.
• Call your lawyer. Ask the inspector to talk to him/her. (You then take on the role of the
lawyer too.)
• Say you need more information about the new regulations.
• Ask if there are any penalties for refusing to let the inspector in.
• Ask about penalties for violating the law.
If the inspector does a credible job of convincing you, you reluctantly give consent. However, you
try to place conditions on where and what the inspector can look at; you also tell the inspector that
you don't want him/her taking any photographs because there are some trade secrets in your plant.
Your role play should last approximately 10 minutes. The instructor will be the timekeeper.
Entry (Handout ) 3
-------
SESSIONS: ENTRY
Legal Bases for Entry
Consensual Entry
Warrants
Other Information-Gathering Tools
Text: Chapter?
OVERHEADS 5-A
-------
BASES FOR ENTRY
Consent
Warrant
Emergency
"In plain view"
-------
6: Evidence
-------
SESSION 6
TOPIC: EVIDENCE
INSTRUCTOR'S OVERVIEW
Time: 75 minutes
Purpose
Introduce the rules of evidence and their relevance to inspectors' activities
Provide guidance on documenting evidence to help assure its admissibility in a court proceeding
Key Points
Many of the procedures being taught in this course are based on evidence considerations; they are
designed to assure the admissibility of information collected during an inspection and to enable the
inspector to provide credible testimony in a court proceeding.
Advance Preparation
Text reference Chapter 8.
From your experience, develop examples of problems and/or successes in getting evidence admitted
that you can use to illustrate evidence concepts.
List of Visuals
6-A -- Topic Summary
6-B -- FRE 901: Authentication and Identification
6-C -- FRE 401: Definition of "Relevant Evidence"
6-D -- FRE 602: Lack of Personal Knowledge
6-E -- Who cares if what you are holding is contaminated gunk?
6-F -- Collection Conditions and Surroundings
6-G -- General Identity or Sameness
6-H -- Precautions to Assure Identity
6-1 -- Present Conditions Which Vary
6-J -- Representativeness of Item
6-K. -- Connecting Up -- The Chain of Custody
6-L -- FRE 612: Writing Used to Refresh Memory
6-M -- FRE 803 (5): Recorded Recollection
6-N -- FRE 803 (6): Records of Regularly Conducted Activity
6-O -- Evidence is in custody if ...
6-P -- Basic Chain of Custody Procedures
6-Q -- FRE 406: Habit; Routine Practice
Evidence 1
-------
Suggested Teaching Outline
Lecture: Introduction to Evidence 20 minutes
Discussion: Illustration of Evidence Concepts 15 minutes
Lecture: Documenting Evidence 30 minutes
Discussion: Evidence Issues 10 minutes
Evidence 2
-------
INSTRUCTOR NOTES
SUGGESTED CONENT
Introduction
Overhead 6-A
Topic Summary
Introduce yourself, including your background and EPA
experience.
In this session, we will discuss evidence - what it is, what is
necessary for it to be admissible, and how it should be
documented.
LECTURE (20 min.)
INTRODUCTION TO EVIDENCE
Collecting and documenting evidence is a core inspection
activity used to support case development and help an
inspector prepare for testimony.
Understanding rules of admissibility of evidence and kinds
of testimony an inspector might need to provide helps
explain the need to adhere to proper procedures for
collecting and handling evidence as a routine matter.
What is Evidence?
Evidence is what we use to prove our case. It is any
information or proof that helps establish the truth of a fact
or point.
Not all evidence is admissible -- but it still may be useful
to EPA. Remember, most cases are settled before a trial
and all of your evidence may be helpful during
negotiations.
Types of Evidence
• Testimonial — inspector's testimony to what he or she
saw, smelled, heard, felt
• Real -- objects, such as contaminated dirt
• Documentary -- reports, logs, accounting ledgers,
computer printouts
• Demonstrative — something prepared to illustrate or
clarify a point, such as photographs, maps, schematics
• Judicially noticed -- scientifically accepted testing
devices, geographic location
Evidence 3
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 6-B
FRE 901: Authentication
and Identification
Overhead 6-C
FRE 401: Definition of
"Relevant Evidence"
Overhead 6-D
FRE 602: Lack of Personal
Knowledge
Federal Rules of Evidence
Used in Federal, civil, and criminal judicial proceedings,
Federal Rules of Evidence are "QA/QC procedures for
truth."
Principal tests for admission of evidence:
• Authenticity or identification -- evidence must be
demonstrated to be what it is claimed to be.
• Relevance -- evidence must pertain to the fact in
question and tend to make it more or less probable; the
inspector should record everything --do not make
judgments on relevance in the field.
• Foundation -- preliminary evidence has been presented
to demonstrate that the additional evidence is what the
proponent says it is.
Also important concerning admissibility are:
• Competence -- person presenting evidence is capable of
speaking authoritatively as an expert or based upon
observation and experience.
• Credibility, reliability of witness.
Hearsay Evidence
Hearsay is any out-of-court statement (verbal, written,
gesture) that is offered to prove the truth; it is not based on
the witness' first-hand knowledge.
Hearsay statements are not generally admissible. However,
there are exceptions, many of which are very valuable to
EPA in getting information entered as evidence. We will
discuss a few of these as we go along.
Evidence 4
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
DISCUSSION (15 min.)
ILLUSTRATION OF EVIDENCE CONCEPTS
Ask the group to provide
suggestions for how EPA,
through inspector and other
testimony, would go about
answering the question. (See
more detailed explanation in
Chapter 8.)
Overhead 6-E
"Who cares if what you...
After about five minutes of
discussion, use the illustration
to describe authentication.
Overheads should be shown
after each bullet point is
covered.
Overhead 6-F
Collection Conditions and
Surroundings
Overhead 6-G
General Identity and
Sameness
Overhead 6-H
Precautions to Assure
Identity
"Who cares if what you are holding is contaminated "gunk"
unless you can show that particular "gunk" came from the
particular site involved in this case and not from somewhere
else?"
In this hypothetical situation, what points must EPA be able
to make in order to have this "gunk" and the sample results
from it entered into evidence?
(Group makes suggestions for how evidence could be
authenticated.)
Collection conditions and surroundings
Inspector testifies that sample was collected at relevant
date, site, 50 paces SW of office door; has photograph
taken at time. Says "gunk" was oozing from a
transformer he also has photo of.
General identity and sameness
Inspector testifies initials and date on sample bottle are
his; color and consistency of material in bottle are same
as he remembers; but less "gunk" in bottle than he put in
there.
Precautions to assure identity
Inspector testifies he initiated chain of custody, carried
and protected the sample until he delivered sample to
lab person later that day; did not see sample again until
just before the hearing.
Evidence 5
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 6-1
Present Conditions
Which Vary
Overhead 6-J
Representativeness of Item
Overhead 6-K
Connecting Up -- The
Chain of Custody
• Present conditions or features which vary
Inspector testifies the exhibit seems to be the same
container, but there is presently less "gunk" than what
he put in the container.
• Representativeness of item
Inspector testifies there were 88 other transformers at
same site on relevant date also oozing "gunk" of same
color, viscosity, odor. He took same amount of "gunk"
from each using same identifying, marking procedures.
Connecting Up -- The Chain of Custody
Lab person testifies she received sample from inspector,
used all EPA approved and other authoritative techniques to
analyze the missing portion of the "gunk." Describes how
she took raw data notes, printout from the various machines
used, all initialed, and locked them in her safe along with
the "gunk"-filled container. Only she has a key to the safe.
Because connection of the "gunk" to the site has already
been established, her testimony and documents regarding
test results are relevant and admissible as well.
LECTURE (30 min.)
DOCUMENTING EVIDENCE
FRE treats all evidence (except for "real" evidence, e.g., the
"gunk") as statements:
Verbal -- inspector testimony
Written -- documents, reports, sample tags, etc.
As noted earlier, hearsay statements are not admissible,
unless one of the exceptions applies. These exceptions help
the inspector tell his or her story through testimony and
documented evidence.
Inspector's Written Documentation
To ensure admissibility, it must be created routinely and
contemporaneously with events being described.
Evidence 6
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 6-L
FRE 612: Writing Used to
Refresh Memory
• Field Logbook
Core documentation. Preferably in bound notebook,
should have notes on every aspect of inspection,
correlated to all evidence collected such as physical
samples, interviews, photographs, copies of documents.
Notes can be concise, but enough to refresh memory for
writing narrative to prepare for testimony. Facts only,
no legal conclusions; subject to discovery.
• Inspection Report
The narrative report expands on notes in the logbook
and adds other relevant and important details the
inspector remembers.
Should be written as soon as possible after the
inspection and be as thorough as possible.
Should be accurate, objective, relevant, and cover all
major items. Other documents of the inspection (e.g.,
photos, chain of custody forms, notices, receipts) should
be referenced.
Information should be first-hand, or specifically who or
what is source noted.
The logbook and inspection report are subject to disclosure
to opposing side because they will be reviewed to refresh
the inspector's memory in preparation for testimony.
Inspector can be cross-examined about contents without
necessarily being shown the document beforehand. Keep
this in mind when preparing such documents.
If inspector is expected to make recommendations or
conclusions regarding compliance status this should be set
forth on a separate page and addressed to the Office of
Regional Counsel or inspector's supervisor; can then invoke
attorney-client or deliberative process privileges to shield
from disclosure.
Evidence 7
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 6-M
FRE 803 (5): Recorded
Recollection
Overhead 6-N
FRE 803 (6): Records of
Regularly Conducted Activity
Overhead 6-O
Evidence is in "custody" if.
Overhead 6-P
Basic Chain of Custody
Procedures
Logbook, report can be admitted in evidence in lieu of
inspector's testimony if proper foundation is laid.
Logbook, report may be admitted as a record of regularly
conducted activity. Must have been created
contemporaneously and be kept in the regular course of
Agency activity, and be regular practice to keep them.
Chain of Custody
Purpose is to be able to trace possession of evidence from
time it was obtained until introduced as evidence.
Documenting chain of custody means keeping an accurate
written record.
Evidence is in "custody" if:
• In actual possession, control, and presence of inspector
• In his or her view
• In a place of storage where only inspector has access
• In a place of storage where only inspector and identified
others have access
Basic procedures for chain of custody:
• Establish custody: seal with seal that readily shows if
broken. Sign and date seal.
• Prepare evidence documentation: written information
describing collection, shipment, storage of the evidence.
Can include entries in logbook, seal, chain record, field
sample data forms, shipping records.
• Ensure custody during transit: Chain record should
reflect each person in custody of sample and where
stored; any special care in storage (e.g., refrigeration);
any deviation from the custodian's usual practice.
• If seal is found broken or an irregularity with
documentation, note on form and contact prior
custodians to remedy or determine if sample needs to be
re-taken.
Evidence 8
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 6-Q
FRE 406: Habit; Routine
Practice
Special considerations for shipping: Chain record must
accompany; inspector keeps a copy. Obtain bill of lading.
Include all receipts and shipping documents with chain
record.
Applicable FRE are essentially the same for sample tags,
custody forms, as for logbooks and reports.
Other Tips on Chain of Custody:
• Take only as many samples as needed.
• If a team, be sure each sample can be tied to a
particular inspector.
• If any errors in forms, make a single line crosscut, then
initial and date.
• Be sure to get the signature of the next person in the
chain before relinquishing custody.
• When receiving custody, check the seal integrity and
cross-check documents.
• Minimize the number of people in the chain.
Another FRE, Habit:
applicable.
Routine Practice, is also particularly
Allows inspector to testify about his/her habits or the
routine practice of the organization to prove that he/she or
the organization was conforming to habit without needing
an eyewitness to the inspection.
This rule is a major reason it is so important to perform
functions and create documents routinely. Even after many
intervening months, inspections, and samples collected,
inspector can testify that even though he/she can't
remember specifically, he/she followed standard procedures
or there would be a note about any deviation.
Evidence 9
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
Photographs/Other Demonstrative Evidence
Chain of custody procedures do not apply (though needed if
camera is automatically triggered and no one was present to
view the scene actually being photographed).
All inspector must say to lay information is that the
photograph "fairly and accurately" represents the scene on
the day in question.
To ensure this is possible, create entries in field logbook,
including:
• Identifying number
• What is seen
• Date and time
• Specific location on premises (schematic is helpful)
• Other descriptive information
Maps and diagrams are also admissible on the same terms:
"Does this fairly and accurately reflect what you saw at the
facility?"
Statements of Individuals as Evidence
Statements of individuals carry as much weight and are as
persuasive (or more so) than samples and documents
gathered during an inspection.
The FRE define "admissions by party-opponents as not
hearsay, this means almost anything said by anyone
associated with the facility being inspected is admissible
evidence against the facility or individual.
Even if not used as evidence, oral statements are extremely
useful in developing leads and making cases. In sum, ask
questions!
Evidence 10
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
Documenting Facility Records
Records include documents, reports, receipts, messages,
notes, phone logs, printed manuals, accounting ledgers,
computer printouts, tape recordings, photographs, etc. All
of these are considered "statements" and are admissible as
such.
As statements, they are admissible under the same FRE as
those we have just discussed. Also, they may be admissible
under the business record exemption (FRE 803 (6)).
The absence of records -- frequently what may be most
important -- is admissible under FRE 803 (7).
To authenticate records, the inspector must be able to show,
at a minimum, they were gathered during the particular
inspection and demonstrate the records' authorship,
location, and distribution.
Ideally, the inspector will also be able to show the records
were safeguarded between collection and enforcement
proceeding.
Documentation procedures: Date and initial, make notes in
field logbook about exact source/location of records, assign
an identifying number.
Exercising Judgment in the Field
Time, resource, and logistical constraints make it impossible
to fully inspect for and document every potential violation;
the inspection plan and field judgments determine what
actually happens.
Inspectors may find more potential violations than it is
possible to fully document on one visit. In these situations,
inspectors should use their knowledge of program priorities
and hierarchy of violations, and fully document the
violations which are most serious. Other violations should
be documented to the extent possible as a second priority.
The more thoroughly an inspector understands
environmental statutes and regulations, the better judgments
he or she will make in the field.
Evidence 11
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
DISCUSSION (10 min.) EVIDENCE ISSUES
The topic of evidence is (Questions from the trainees.)
perhaps the most complex and
misunderstood. Be sure to
allow 10 minutes at the end to
provide an opportunity for
questions and answers.
This material is covered more thoroughly in Chapter 8 of
the text.
Evidence 12
-------
SESSIONS: EVIDENCE
What Is Evidence
Documenting Evidence
Ensuring Admissibility
Text: Chapter 8
OVl.HHLAOS 6 A
-------
FEDERAL RULES OF EVIDENCE
RULE 901
AUTHENTICATION AND IDENTIFICATION
"... a condition precedent to admissibility is satisfied by
evidence sufficient to support a finding that the matter
in question is what its proponent claims."
OVtHIU A[J3_6.
-------
FEDERAL RULES OF EVIDENCE
RULE 401
DEFINITION OF "RELEVANT EVIDENCE"
"... evidence having any tendency to make the
existence of any fact that is of consequence to the
determination of the action more probable or less
probable than it would be without the evidence."
OVLHHEAIJS 6-C
-------
FEDERAL RULES OF EVIDENCE
RULE 602
LACK OF PERSONAL KNOWLEDGE
"A witness may not testify to a matter unless evidence is
introduced sufficient to support a finding that the witness
has personal knowledge of the matter. Evidence to prove
personal knowledge may, but need not, consist of the
witness' own testimony..."
OVI ItlU ADS 6-D
-------
Who cares If what you are holding Is contaminated "gunk" unless you can
show that particular "gunk" came from the particular site involved in this
case and not from somewhere else?
.OVIHHLAUb 6-E
-------
COLLECTION CONDITIONS AND
SURROUNDINGS
Activities performed at site
Why the sample was taken
How the item was discovered
Appearances of physical items in the immediate vicinity
Aids: Notations in field logbook
Photographs of area and exact location of sample
OVERHEADS 6-F
-------
GENERAL IDENTITY OR SAMENESS
Item has the same characteristics as the item collected by the
inspector
Aids: Routine documentation procedures
Sample tags with inspector signature and date
Notations in logbook regarding color, consistency,
other sensory perceptions
OVERHEADS 6-G
-------
PRECAUTIONS TO ASSURE IDENTITY
Other precautions taken to ensure later identification
Aids: Assignment of sample number
Initiation of chain-of-custody procedures
OVERHEADS 6-H
-------
PRESENT CONDITIONS WHICH VARY
Any features or conditions about the item being offered
in evidence that vary from what was collected.
Aids: Full description in logbook
OVEHHtADS 6-1
-------
REPRESENTATIVENESS
OF ITEM
Establishes the relationship of the item offered as
evidence to other items.
Aids: Notations in logbook on sampling
strategy used to select the
particular sample
Sampling plan
OVERHEADS
-------
CONNECTING UP —
CHAIN-OF-CUSTODY
The meticulous process of showing the succession of
persons who handled and/or had access to the exhibit.
Aids: Chain-of-custody forms
Testimony regarding adherence to
routine security measures
OVERHEADS 6-K
-------
FEDERAL RULES OF EVIDENCE
RULE 612
WRITING USED TO REFRESH MEMORY
"... if a witness uses a writing to refresh memory for the
purpose of testifying, either —
(1) while testifying, or
(2) before testifying ...
an adverse party is entitled to have the writing produced at the
hearing, to inspect it, to cross-examine the witness thereon,
and to introduce in evidence those portions which relate to the
testimony of the witness..."
OVERHEADS 6-L
-------
FEDERAL RULES OF EVIDENCE
RULE 803 — HEARSAY EXCEPTIONS
803(5) RECORDED RECOLLECTION
"A memorandum or record concerning a matter about which a
witness once had knowledge but now has insufficient recollection to
enable the witness to testify fully and accurately, shown to have
been made or adopted by the witness when the matter was fresh in
the witness' memory and to reflect that knowledge correctly..."
CM. HUE ADS 6-M
-------
FEDERAL RULES OF EVIDENCE
RULE 803 — HEARSAY EXCEPTIONS
803(6) RECORDS OF REGULARLY CONDUCTED
ACTIVITY
" A memorandum, report, record, or data compilation, in any form,
of acts, events, conditions, opinions, or diagnoses, made at or near
the time by, or from information transmitted by, a person with
knowledge, if kept in the course of regularly conducted business
activity, and if it was the regular practice of that business activity to
make the memorandum, report, record, or data compilation..."
OVERHEADS 6-N
-------
Evidence is in custody if...
It is in actual possession, control, and presence of
the inspector
It is in his or her view
It is in a place of storage where only the inspector
has access
OR
It is in a place of storage where only the inspector
and identified others have access
OVERHEADS 6-O
-------
BASIC CHAIN-OF-CUSTODY
PROCEDURES
1. Establish custody
2. Prepare documentation
4. Ensure custody during transit
OVERHEADS 6-P
-------
FEDERAL RULES OF EVIDENCE
RULE 406
HABIT; ROUTINE PRACTICE
"Evidence of the habit of a person or of the routine practice of an organization,
whether corroborated or not and regardless of the presence of eyewitnesses, is
relevant to prove that the conduct of the person or organization on a particular
occasion was in conformity with the habit or routine practice."
OVERHEADS 6-Q
-------
7: Elements of an Inspection
-------
SESSION 7
TOPIC: ELEMENTS OF AN INSPECTION
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose
Summarize all aspects of the actual inspection
Focus on opening and closing conference and overview of data collection
Explain how field logbook serves as core documentation
Key Points
An inspection includes all activities associated with the inspection prior to, during, and after an
on-site visit.
Record reviews, physical sampling, interviews, and observations are all types of data collection.
Inspectors should never make statements to facility officials that could compromise the government's
ability to pursue an enforcement action later.
Advance Preparation
Overview material from several text chapters; specific text references are Chapters 11, ISA, and 16.
Bring an example of a field logbook to show.
Equipment
Overhead projector
List of Visuals
7-A -- Topic Summary
7-B -- Elements of an Inspection
7-C -- Pre-Inspection Activities
7-D -- On-Site Activities
7-E -- Post-Inspection Activities
7-F -- Field Logbook
7_G -- Never Say --
Elements 1
-------
Suggested Teaching Outline
Lecture: Elements of an Inspection 15 minutes
Lecture: Opening Conference 10 minutes
Lecture: Data Collection 10 minutes
Lecture: Field Notes/Logbook as Core Documentation 10 minutes
Lecture: Closing Conference 15 minutes
Elements 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Introduce yourself, including background, EPA experience,
your role in the course.
LECTURE (10 min.)
ELEMENTS OF AN INSPECTION
The purpose of this session is
to give a brief overview of
the more detailed sessions
that will follow on the
various elements of an
inspection. The session will
also cover key issues and
procedures related to the
inspection process.
Overhead 7-A
Session Topics
Overhead 7-B
Elements of an Inspection
For the first day of training, we have tried to provide you
with an overall understanding of:
• The importance of inspections and inspectors to the
Agency's mission,
• How inspections and inspectors fit into the whole
compliance and enforcement process, and
• The legal underpinnings of our inspection authorities
and the procedures we use to ensure that our inspections
result in lawfully obtained, readily admissible evidence.
Now we will begin to focus in depth on the inspection
itself. In this session, we will give you an overview of the
elements of an inspection and rough chronology of likely
events in planning for, conducting, and following up an
inspection. We will also cover some concepts, principles,
and procedures governing all inspections.
This session will set the stage for the rest of the training
course, in which we will be covering in detail the specific
activities and techniques involved in conducting inspections.
The chronology of an inspection provides a useful frame-
work for discussion of the many activities associated with
inspections.
It is important to realize that an inspection is more than just
the actual time spent at a facility, or what we have termed
"On-Site Activities." An inspection also includes everything
that is done in advance to prepare for the inspection --
"Pre-Inspection Activities" and all the steps taken after the
inspection until the file on that inspection is closed --
"Post-Inspection Activities."
Elements 3
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
The notes next to each bullet
item in the Suggested Content
column are activities
associated with each activity
category. This section of the
session should be very brief;
use only a few of these (or
your own) examples since
these topics will be covered
in detail in later sessions.
Overhead 7-C
Pre-Inspection Activities
Overhead 7-D
On-Site Activities
• Pre-Inspection Activities
Careful advance preparation is needed to assure that an
inspection is efficiently and effectively executed. While no
necessarily an exhaustive list, this slide shows some of the
key components of pre-inspection activities.
-- Selection of Inspection Site -- which specific facility is
to be inspected; how will it be/was it selected for
inspection and why
— Review of Agency Records -- what do we already
know about this facility (e.g., permit and/or regulatory
requirements that apply, types of processes and
operations, self-monitoring data, compliance history)
-- Inspection Plan -- Specific objectives of the inspection,
the questions that the inspection should answer, the
inspection techniques that will be used to answer them,
the protocols or SOPs to be followed; quality assurance
project plan if sample collection is involved
-- Coordination -- as needed between program office,
ESD, lawyers, States; also within inspection team
-- Administrative Planning -- planning and paperwork for
travel, pay administration, procurement aspects of the
inspection
• On-Site Activities
-- Entry/Opening Conference -- getting into the facility,
opening meeting with facility managers to get "lay of
the land"
— Data Collection -- the heart of the inspection is
collecting the data that will answer the compliance
questions that have been posed. There are four basic
data collection techniques:
Records Review
Physical Sampling
Observations/Illustrations (Photos)
Interviewing
-- Closing Conference -- what can and cannot be said to
facility managers, receipts.
Elements 4
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 7-E
Post-Inspection Activities
Post-Inspection Activities
Inspection Report -- The Agency's record of what
happened on the inspection; reports the facts; is basis
for Agency's action
Official Files -- includes all pertinent documents,
forms, photos, receipts, custody records, etc.
Laboratory Analysis --if samples were collected, lab
analysis is part of the inspection; lab results are often
critical substantiating evidence
Enforcement Action -- based on inspection report,
inspector recommendations, Agency policy, a decision is
made whether and what type of enforcement action
should be taken
Settlement Negotiations -- 98% of cases are settled;
inspector has important role in government's side of
negotiations
Hearing/Trial -- if case not settled, goes to trial;
inspector is key witness
Many of the activities will be covered in depth during the
remaining sessions of the training course. We will address a
few critical issues and procedures now.
Elements 5
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE (10 min.)
OPENING CONFERENCE
Option would be to ask the
group to give suggestions for
what should and should not
be discussed at the opening
conference.
The purpose of the opening conference is to:
• Explain the purpose and scope of the inspection, in
general terms, without detailing the precise focus
• Provide the inspector with a fuller understanding of
facility operation
The opening conference sets the tone for the remainder of
the inspection. It also provides an opportunity for the
inspector to function as a public relations liaison and
educator for EPA. This topic is covered in Chapter 11B.
Key areas to address in understanding facility operation
include:
• The nature of the operations.
• The major facility environmental programs.
• The applicability of environmental regulations.
• Key responsibilities, authorities, and accountabilities.
In addition, the following logistical items should be
discussed:
• Accompaniment
• Safety requirements
• Inspection timetable
• List of records to be reviewed (unless such advance
warning might jeopardize access to accurate
information)
• Right to duplicate samples (e.g., CERCLA, FIFRA,
RCRA)
Elements 6
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INSTRUCTOR NOTES
SUGGESTED CONTENT
The information obtained during the opening conference
may lead to adjustments in the inspection plan only if:
• Resources are available
• Equipment is available
• Expertise is available
• Time is available
LECTURE (10 min.)
DATA COLLECTION
Data collection forms the heart of the inspection.
Everything that the inspector sees, hears, smells, and
touches (tasting is not recommended) is data that can be
used to assess and confirm the compliance status of a
facility.
For environmental compliance inspections, four basic data
collection techniques are employed.
• Records Inspection
• Interviews
• Physical Sampling
• Observations/Illustrations
Each of these will be discussed in more detail later in the
course.
The combination of techniques that are expected to be
employed at an inspection site should be planned in advance
based on the nature and scope of the inspection.
• Records inspection: Important investigative skill, but
difficult due to variety and complexity of records
requirements, types of recordkeeping systems, and ways
which records can be used to identify and document
compliance problems.
Elements 7
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INSTRUCTOR NOTES SUGGESTED CONTENT
• Interviews: Highly valued, but often underutilized
means of gathering information in an inspection; good
evidence that is usually admissible. Can develop facts
that might otherwise be missed.
• Physical sampling: Confirms the presence,
concentration, and/or extent of a contamination
problem; confirms whether permit limits being met or
exceeded. Often the pivotal evidence.
• Observations/Illustrations: Inspector notes; photographs;
drawings and schematics. Photographs especially
valuable evidence. Inspector field logbook as core
documentation to be discussed later in this session.
General Principles for Data Collection
Following are some general principles to apply to data
collection on inspections.
• Know how the information will be used.
Like any data collection effort, it is essential to
understand clearly how the information to be collected
on an inspection will ultimately be used. Knowing this
will drive how much data to collect and the level of
quality that is needed to support the ultimate use.
On compliance inspections, the data's ultimate purpose
is, of course, to help the Agency assess the compliance
of a facility and be of sufficient quality to support any
enforcement actions that are pursued.
• Generally, the more certainty that is required, the more
data is needed.
By certainty, we mean how sure we are that the data
represents actual conditions at the facility. There are
degrees of certainty for all types of data collection.
-- For example, a verbal statement by a facility
manager admitting to a violative activity is pretty
sure. It is even more sure if the person is willing to
make a signed statement.
Elements 8
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INSTRUCTOR NOTES SUGGESTED CONTENT
-- The many variables involved and practical
limitations on such issues as precision and accuracy
in the field and laboratory and representative
sampling considerations make certainty a more
complex problem for physical sampling. For this
reason, SOPs for the various media often set out
specific methods and procedures to assure that
sample collection efforts meet data quality
objectives.
Depending on the circumstances, more data can
mean additional data of the same kind (more
physical samples) or corroborating data (samples
corroborated by statements by facility operators).
For compliance inspections, more certainty is
generally desirable to substantiate the more serious
violations, for which there is greater likelihood that
a formal enforcement action will be pursued (e.g.,
administrative or judicial civil action including civil
penalties). Strong data makes a strong case,
increasing the likelihood of a settlement favorable to
the government and successful prosecution if the
case goes to a hearing or a trial.
• In general, borderline situations need more data.
For example, in gross contamination situations, all
samples would easily be above the action level (and
level of detection); confidence levels in the data are
automatically high and challenges from the facility are
unlikely. In the opposite situation, where contamination
levels are anticipated to be at or close to the level of
detection/action level, compliance will be difficult to
determine conclusively and defend against challenge
unless there is extensive data.
Elements 9
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INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE (10 min.)
FIELD NOTES/LOGBOOK AS CORE DOCUMENTATION
Overhead 7-F
Field Logbook
The logbook should contain accurate and inclusive
documentation of all inspection activities. It is the basis for
report preparation, and for refreshing an inspector's
memory regarding sample collection and other procedures if
testimony is required. This material is covered in Chapter
ISA of your text.
All samples, documents, and other evidence collected should
be fully documented in the logbook so that they can be
traced to a particular date, location, purpose, inspector, etc.
Language in the logbook should be objective, factual, and
free of personal feelings and conclusion of law. It is
subject to discovery and can be seen by the opposing side.
The logbook should be bound with consecutively numbered
pages. This helps to prove that pages were not removed.
Each inspector can develop his or her own shorthand or
codes for notetaking. For example, the inspector might
want to develop a code to note that certain routine
procedures were followed, such as presentation of
credentials.
Entries to logbooks should include:
• General information about the facility
• Notes on entry activities
• Identification numbers for samples, photos, and records
• Sampling procedures
• Interview notes
• Observations of general conditions and practices
• Unusual conditions or problems
Elements 10
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INSTRUCTOR NOTES SUGGESTED CONTENT
• Other observations
• General procedures, any changes to SOPs and the
reasons
• Administrative data.
Inspectors should avoid entering confidential data into the
logbook. This is particularly true for TSCA-CBI. Copy
confidential data on separate, loose pages. There are
procedures for excising confidential data from field
logbooks, but they are cumbersome.
Experienced inspectors offer the following tips about the
field logbook:
• Use a new logbook for each inspection. It can go right
in the file for that inspection, and there is never a
danger that information from another inspection would
ever be subject to discovery by the opposing side.
• Use a logbook that will fit in your pocket. There is a
government-issue small black notebook that meets the
requirements of being bound with consecutively
numbered pages.
• Make sure the ink you use in your logbook is
waterproof. Not all inks that say they are waterproof
really are.
• Tape any business cards you receive, such as at an
opening or closing conference, into the front of your
logbook. This helps later in writing the inspection
report: you have all the names, titles, addresses and
phone numbers in one place.
• If two or more inspectors are present during an
interview, only one should take notes. There are bound
to be apparent "contradictions" in notes taken by
different people; both would be subject to discover and
the differences could hurt the government's credibility.
Elements 11
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INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE (15 min.)
CLOSING CONFERENCE
Overhead 7-F
Never say...
The purpose of a final meeting with facility officials is to
provide receipts, answer questions, and fill any remaining
information gaps. This material is covered in Chapter 16A
of your text.
Did you find any violations?
Facility officials are, needless to say, quite interested in
what the inspector has found. Handling questions at the
end of the inspection is one of the more delicate and
difficult aspects of the job.
Different offices and inspectors have somewhat different
approaches as to what can be said.
However, under no circumstances should the inspector say
anything that could potentially compromise the
government's ability to later determine whether a violation
occurred and whether and what type of enforcement action
to pursue.
• An inspector should never say "everything checks" or
"there are no violations."
• An inspector should never sav what equipment a facility
should put in place or other actions a facility should
take to come into compliance.
• The inspector can sav that there are some items the
facility might want to re-check for compliance
purposes. An example would be: "You might want to
check regulation x with regard to label requirements."
• The inspector can sav that he/she thinks he/she did not
discover matters that he/she personally felt were
violations of law or regulations, except certain items
about which an "institutional" EPA decision has not yet
been made.
Elements 12
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INSTRUCTOR NOTES SUGGESTED CONTENT
• Some programs are now experimenting with the idea of
having inspectors issue citations for minor violations
while at the facility (or shortly thereafter). This may
sound like it is counter to the admonition here of not
telling the facility right away. However, these citations
are very carefully worded so that future Agency action
is never precluded or compromised by them.
There are several reasons for the Agency's policy of not
telling facility managers right away if any violations were
(or were not) found. It is for the protection of both the
inspector and any potential government case.
• If the inspector tells facility officials that there were no
violations, and later the government decides that a
violation did exist, the company will use the inspector's
statement against the government.
• If an inspector tells a company there is a violation, the
company might spend money on new equipment to try
to get into compliance. They might try to hold the
inspector liable for the costs if it turns out later that
there really wasn't a violation.
• The inspector has not had time to reflect on everything
that was observed.
• Results of laboratory analysis from the samples collected
on the inspection will not be available for some time.
• The intricacies of EPA laws and regulations do not lend
themselves to "off the cuff" answers.
• Inspection findings may represent only one portion of
an enforcement case.
Can I see (or copy) your notes?
Facility officials know that you have been taking notes.
Sometimes they ask to see or copy them.
Agency policy is to not let facilities see notes in the absence
of a FOIA request. (The request may often be complied
with, but the Agency has a 10 day period to decide and
respond.) Do not let them see notes on site.
Elements 13
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INSTRUCTOR NOTES SUGGESTED CONTENT
Receipts
Some statutes require EPA to issue receipts for samples;
documents and other evidence may also be included on the
receipt. The receipt should include:
• A description of all physical samples taken.
• A description of all records, photographs, or other
property taken. This is especially critical when
inspecting with a warrant.
The detailed receipt protects the Agency by showing that
facility officials know exactly what was taken; it also
facilitates making confidentially claims.
When the statute provides for confidentially claims, the
closing conference — and the receipts -- provide an
opportunity for facility officials to make such claims.
Use these questions to The following questions can help stimulate discussion:
stimulate discussion.
• Are there any circumstances when an inspector should
tell a company that it definitely has a violation?
• Do any of the offices/programs in your Region issue
"deficiency notices" ("tickets") while still on-site?
Immediately upon return to the office? What are the
advantages and disadvantages?
Elements 14
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SESSION?: ELEMENTS OF AN
INSPECTION
Elements of an Inspection
Recap on Entry
Opening Conference
Data Collection
Field Logbook
Closing Conference
Text: Chapters 11,15A, 16A
OVERHEADS 7-A
-------
ELEMENTS OF AN INSPECTION
Pre-lnspection Activities
On-Site Activities
Post-Inspection Activities
-------
PRE-INSPECTION ACTIVITIES
Selection of Inspection Site
Review of Agency Records
Inspection Plan Preparation
Coordination
Administrative Planning
OVERHEADS 7-C
-------
ON-SITE ACTIVITIES
Entry/Opening Conference
Data Collection
Records Review
Physical Sampling
Interviewing
Observations/Illustrations
Closing Conference
OVERHEADS 7-D
-------
I
POST-INSPECTION ACTIVITIES
Inspection Report
Official Files
Laboratory Analysis
Enforcement Action
Settlement Negotiations
Hearing/Trial
OVEHHEADS7-E
-------
FIELD LOGBOOK
In ink
Factual; no opinions
Full record of the inspection
-------
NEVER SAY...
"Everything checks"
or
"There are no violations"
OVERHEADS 7-G
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8: Inspection Planning
-------
SESSION 8
TOPIC: INSPECTION PLANNING
INSTRUCTOR'S OVERVIEW
Time: 120 minutes
Purpose
Stress the importance of planning and advance preparation
Present information on key planning activities
Key Points
Planning in advance what to look for, how to look, and what documentation to collect saves time
and money.
Advance Preparation
Text reference Chapter 9.
Identify one or two examples of failure to adequately prepare for an inspection, including
consequences and steps taken to solve the problem.
Photocopy sufficient copies of handouts; three-hole punch for insertion in text.
Equipment
Overhead projector
List of Visuals
8-A — Topic Summary
8-B -- Goal of Inspection Planning
8-C -- Know What to Look For
8-D -- Know How to Find It
8-E -- Know How to Collect/Document/Preserve Evidence
8-F -- Be Safe and Efficient in the Field
8-G -- Define Scope and Objectives
8-H -- Hypothetical Case #1
8-1 -- Hypothetical Case #2
List of Handouts
8-1 -- Hypothetical Case
8-2 -- "Generic" Elements of an Inspection Plan
Planning 1
-------
Suggested Teaching Outline
Discussion: When Plans Went Awry
Lecture: Importance of Planning/Preparation
Discussion: Key Planning Activities
Lecture: Defining Scope and Objectives
Problem-Solving: Planning a Hypothetical Inspection
Discussion: "Generic" Inspection Checklist
Lecture: Reviewing Agency Records
15 minutes
10 minutes
20 minutes
5 minutes
50 minutes
10 minutes
10 minutes
Planning 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 8-A
Topic Summary
Introduce yourself, including background, EPA experience,
and your role in the course. Explain how the session is
organized.
DISCUSSION (15 min.)
WHEN PLANS WENT AWRY
From your own experience
and/or the anecdotes
described in the Suggested
Content column, tell the
group some horror stories that
resulted from inadequate
planning. Then ask the group
to discuss examples in which
they were unprepared and
what were the results,
including how they handled
the situation.
Remember that "Murphy's Law" applies to inspections as
well as everything else:
"If something can go wrong, it will."
Lack of Planning Horror Stories:
• A PCS inspector entered a facility to conduct a
"routine" inspection. Once inside, he came upon some
smashed capacitors in a puddle on the ground. The
inspector had his sampling equipment with him, but had
left his camera in his car. He went out to get it in order
to document the spill, but when he re-entered the
facility, the capacitors had been swept up and the
puddle gone.
• An NPDES inspector failed to put his container away on
a windy day and it blew down the open manhole cover
into the sewer system. When he tried to retake the
sample, he discovered that he had not taken any extra
containers with him.
• The new inspector was going into the field with his
supervisor for the first time. Eager to impress his boss,
he had "done his homework" and knew everything about
the facility, its compliance history, and the regulations
it was subject to. During the inspection, the supervisor
noticed a potential violation and told the new inspector
to record it. He took out his inspection "checklist" and
reached into his pocket to discover he forgot to bring a
pen or pencil!
Planning 3
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask the group for additional
examples of plans that went
awry.
• An inspector was denied entry to a facility because he
did not have a "hard hat" or a copy of his credentials.
• An NPDES inspector set up an automatic sampler only
to discover the battery was dead. He looked in the case
and discovered he didn't have any extra batteries with
him.
This may be funny (when it happens to someone else) but it
is embarrassing (when it happens to you) and can prevent
you from conducting a successful inspection.
Murphy's Law may still occur, but we can try to minimize
it through careful pre-inspection planning...
LECTURE (10 rain.)
IMPORTANCE OF PLANNING/PREPARATION
Overhead 8-B
Goal of Inspection Planning
Planning and preparation are important to:
• Focus the inspection on key issues
• Make the most efficient and effective use of the time
spent on site
• Ensure that equipment, transportation, etc. will be
available when needed
• Ensure that proper procedures are followed.
Planning 4
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
DISCUSSION (20 rain.)
KEY PLANNING ACTIVITIES
Ask the group to suggest
important planning or
preparation activities prior to
going on-site for an
inspection, and to briefly
discuss the importance of
each activity. List on chart
paper. At the conclusion of
the discussion, the list should
include at least the points
shown in the Suggested
Content column.
Use Overheads 8-C to 8-F
and summarize key planning
activities.
What are the most important planning activities?
• Understand the objectives of the inspection and the
specific areas to be investigated
• Arrange logistics, including travel to and from the site,
any special travel needs, and hotel accommodations
• Identify any special monitoring or analytical equipment
needed and arrange to procure it
• Review available records to become familiar with the
facility
• Assemble materials and equipment
• Prepare QA/QC plan and safety plan
• Coordinate with supervisors, attorneys, States, others as
appropriate.
LECTURE (5 min.)
DEFINING SCOPE AND OBJECTIVES
Overhead 8-G
Define Scope and Objectives
A first step in planning is understanding why the inspection
is to be performed:
• Reason: routine, for cause, case development support,
follow-up
• Scope: specific regulations
• Depth: walk-through, records review, sampling,
observation
Planning 5
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INSTRUCTOR NOTES
SUGGESTED CONTENT
• Topics: specific control and treatment systems, records,
self-monitoring, contingency plans/emergency plans,
employee training, etc.
While not always necessary, it may be useful to consult with
the appropriate attorney to ensure complete understanding
and an effective plan of action.
PROBLEM-SOLVING
(50 min.)
PLANNING A HYPOTHETICAL INSPECTION
There are two hypothetical
cases to discuss. The first is
to be discussed in small
groups (Case #1, Handout 8-
1). The second, which is a
more complex situation, is to
be discussed by the full group
(Case #2, Overhead 8-1).
Break the group into smaller
groups by either (1) program
or (2) years of experience.
Distribute Handout 8-1.
Allow 15 minutes for small
group discussion. Note that
trainees can plan the inspec-
tion around the program area
with which they are most
familiar (e.g., air, water,
toxics, hazardous waste).
During the small group dis-
cussions, circulate to provide
guidance as needed.
To be a good inspector, one must "think like an
investigator." Each inspection will present somewhat
different issues, and there is never a single right way to
approach an inspection.
To help us sharpen our investigative planning skills, I am
going to pose two hypothetical situations, each presenting a
unique kind of inspection problem yet representative of
common inspection situations.
For each hypothetical inspection, we will develop a strategy
including the focus of the inspection, information to be
gathered, and methods to be used to gather the information.
After we discuss each one, I will tell you how a group of
senior program experts thought they would approach the
inspection to see how they compare with our ideas.
You have about 15 minutes to plan an inspection for the
case your group has been assigned.
Planning 6
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 8-H - Case #1
Reconvene group and go
through questions. Have each
group discuss how they
approached the question.
Material in the Suggested
Content column should be
added if not contributed by
the groups. This discussion
will give trainees an idea of
what other programs do in
addition to what they do in
their own program.
Allow 15 minutes for this
discussion.
Discussion of Hypothetical Case #1
1. What would the inspector do first?
Determine the focus and objectives of the inspection.
What activities would be appropriate for a Compliance
Evaluation Inspection (CEI):
• Walk-through (broad brush)?
• Records review?
• Sampling?
2. What sources would the inspector use to help define the
focus/objectives and to decide how much attention
should be given to specific areas?
• Conduct file review to develop a "snapshot" of the
facility:
a. size
b. industrial processes
c. permit requirements (deadlines, limits, waivers)
d. compliance and monitoring requirements
e. past enforcement history (State and Federal)
• Check with compliance and enforcement personnel
to help determine potential priorities or major types
of violations.
This will help an inspector decide how broad or focused an
inspection to conduct and what to look for. It will also help
an inspector decide whether it will be necessary to take
samples, which are not always SOP for "routine" inspections.
(EXAMPLE: Waste sampling is generally not
performed during a routine RCRA compliance
inspection. However, sampling may be necessary to
verify the identity of wastes managed at the facility,
especially if the inspector thinks there may be a
discrepancy between the waste reported at a facility and
the wastes normally generated or managed in that
industry.)
Planning 7
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask the class how much
emphasis would be given to
each of these components,
and why.
Overhead 8-1 - Case #2
Go through this case as a total
group. Focus on how this
case differs from the routine
case. Allow about 20 minutes
for this discussion.
Emphasize the need to
coordinate with other players
as necessary.
3. What would be included in the inspection?
• Required recordkeeping (e.g., DMRs, lab records
for NPDES; manifests, waste analysis plans, closure
and post-closure plans for RCRA).
• Employee protection or training requirements (e.g.,
training plan, hazards prevention plan, contingency
plan for RCRA).
• Technical requirements and practices: pollution
control, treatment and monitoring systems (e.g.,
waste storage areas, marking, groundwater
monitoring, operations and maintenance for RCRA;
flow measurement, sludge disposal, O&M for
NPDES; correct calibration of continuous
monitoring equipment for Air).
4. For this type of inspection, would an "announced" or
"unannounced" inspection be more likely? Why?
5. Decision on necessary equipment for safety/sampling.
Be conservative, if there is any possibility that you
might need to take samples, bring the equipment along.
Discussion of Hypothetical Case #2
An allegation has been made that a company is dumping a
hazardous chemical into a nearby stream or river.
Planning 8
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
1. What would the inspector do first?
Try to verify the likelihood or credibility of the
allegation.
Sources:
• State or local officials with knowledge of facility.
• EPA records on compliance history (prior AOs, civil
action, citizen suits on file with the Regional
Counsel, etc.). Since a dumping allegation.
especially consider checking RCRA files or
conferring with RCRA inspectors.
• Citizens living along body of water adjacent to
facility.
• Any other possible contacts inspectors can think of?
2. If an inspector decides an allegation is credible, what
next?
Need to know:
• What chemical/chemicals are being dumped?
• Is dumping coming from discharge from plant or
being transported off-site to water?
• Is dumping continuous, periodic, or a one-time
occurrence?
Planning 9
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
3. How would a inspector try to get the information?
• Check permit (or permit application):
What facility makes
What kind of treatment processes it has
Kind and quantity of hazardous chemicals that
can be used and legally discharged.
• Possible clues in facility's production records?
• Possible clues in facility's DMR (self-monitoring
report)?
• Fruitful to talk to plant employees? (Would they
likely talk to you?)
• Any information from State/local government about
discolorations/plumes/fumes at particular points at
particular times (e.g., after heavy rains)?
• Aerial maps, physical assessment of site/water give
clues to dumping location?
4. Based on information you get (and strength of it), what
are your options for the type of inspection to conduct?
(There is no "right" or "wrong" answer, but class
discussion can discuss pros and cons of each):
A. A Compliance Evaluation Inspection (CEI) and
review normal treatment processes and production
records
• Consider bringing a RCRA inspector along?
Planning 10
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
B. A "For Cause" Inspection and confront the plant
managers with the allegation.
• Consider bringing a criminal investigator along?
(Or at this point would the class consider the option of
referring the allegation to a criminal investigator?)
5. Once decided how to proceed, (assuming it is not yet
referred as a criminal violation "tip") what
equipment/sampling protocols, etc., need to be
considered?
• Difficult to come up with a sampling methodology
to detect the dumping if not continuous, but discuss
what equipment the inspector might bring.
• Do production records, permits give clue to volume
of what is being dumped?
• Briefly review need for safety, QA/QC (and
mention these topics will be discussed more fully in
separate sessions).
6. Summary: No "right" answer to this hypothetical, but it
shows the importance of doing a thorough records
review and consulting with other players to develop the
focus of the inspection and how to approach it.
DISCUSSION (10 min.)
"GENERIC" INSPECTION CHECKLIST
Distribute Handout 8-2, the
"Generic" Elements of an
Inspection Plan.
Go through the questions and
relate to points raised in
discussion of Hypothetical
Cases #1 and #2.
This "Generic" Inspection Checklist asks the kinds of
questions that should be considered before any inspection.
It helps organize the planning process to ensure no steps are
left out.
Planning 11
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
LECTURE (10 min.) REVIEWING AGENCY RECORDS
Why review Agency records:
• Become familiar with the facility type, size, and
operations.
• Discover inadequacies, inconsistencies, or voids in the
information, thus determining the need to request
additional information from the facility.
• Minimize inconvenience to the facility personnel or
unnecessary use of on-site time by not requesting
information already provided to the Agency.
• Clarify technical and legal issues before entry.
• Develop an appropriate Inspection Plan that documents
this information and applies it to shaping a
methodological design for the most efficient use of
inspection time and manpower resources.
What to look for:
• Facility information
Facility information, diagrams, photos
- Special entry requirements
Process operations and production levels
- Control equipment
Recordkeeping systems
Safety requirements
Permits, permit applications, special exemptions
Planning 12
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INSTRUCTOR NOTES SUGGESTED CONTENT
Prior inspection reports, reports on enforcement
actions
- Self-monitoring reports
• Laws and regulations
• Technical reports relevant to processes and contracts.
Where to find this information:
• Facility files in EPA Office
• Computerized systems
Planning 13
-------
HANDOUT 8-1
Hypothetical Case #1
A manufacturing plant has been randomly selected for a routine inspection. No violations are
suspected or reported. A one-day inspection is planned. What would you include in your
inspection? Remember -- with only one day you cannot do everything!
1. How would you determine objectives and scope of inspection?
2. What should be included in the inspection?
3. How would you plan to spend your day at the facility and what arrangements would need
to be made?
4. What equipment and other materials would you need?
5. What other issues must be considered prior to the inspection?
Planning (Handout) 1
-------
HANDOUT 8-2
"GENERIC" ELEMENTS OF AN INSPECTION PLAN
OBJECTIVES
-- What is the purpose of the inspection?
-- What is to be accomplished?
TASKS
-- What records, files, permits, regulations will be checked?
-- What coordination with laboratories, other programs, attorneys, State or local government
is required?
-- What information must be collected?
PROCEDURES
-- What specific facility processes will be inspected?
-- What procedures will be used?
-- Will the inspection require special procedures?
-- Has a QA/QC plan been developed and understood?
-- What equipment will be required?
-- What are the responsibilities of each member of the team?
RESOURCES
-- What personnel will be required?
-- Has a safety plan been developed and understood?
SCHEDULE
-- What will be the time requirements and order of inspection activities?
-- What will be the milestones? What must get done vs. what is optional to get done.
Planning (Handout) 2
-------
SESSION 8: INSPECTION PLANNING
When Plans Went Awry
Importance of Planning
Key Planning Activities
Defining Scope and Objectives
Reviewing Agency Records
Checklist
Text: Chapter 9
OVERHEADS 8-A
-------
GOAL
Identify all activities necessary to gather information to
assess if facility is in compliance and for evidence in
possible enforcement action
HOW TO ACCOMPLISH GOAL
BE PREPARED!
OVERHEADS 8-B
-------
KEY PLANNING ACTIVITIES
KNOW WHAT TO LOOK FOR
• Identify Type of Inspection:
Compliance Evaluation
Routine
For Cause
Oversight
Define Objective of Inspection
Decide Focus of Inspection
OVERHEADS 8-C
-------
KEY PLANNING ACTIVITIES (CONT'D)
KNOW HOW TO FIND IT
Review Records, Permits
Know Compliance History
Talk with Attorneys, Other Inspectors
Contact State, Local Officials
OVERHEADS 8-D
-------
KEY PLANNING ACTIVITIES (CONTD)
KNOW HOW TO COLLECT/DOCUMENT/PRESERVE EVIDENCE
Know What Non-Technical Evidence is Needed
Identify Kind/Quantity of Physical Samples Needed
Identify Right Equipment in Good Working Condition
QA/QC Plan for Documentation, Chain-of-Custody,
Transportation
OVERHEADS B-E
-------
KEY PLANNING ACTIVITIES (CONT'D)
BE SAFE AND EFFICIENT IN THE FIELD
Develop Safety Plan
Right Safety Gear in Good Condition
Define Tasks of All Members of Inspection Team
Arrange Logistics in Advance:
Travel
Pay
Transportation
Lodging
Special Equipment
OVERHEADS 8-F
-------
DEFINE SCOPE AND OBJECTIVES
Reason
.
Scope
Depth
Topics
OVERHE,
-------
HYPOTHETICAL CASE #1
A manufacturing plant has been randomly selected for
a routine inspection. No violations are suspected or
reported. A one-day inspection is planned. What
would you include in your inspection?
OVERHEADS 8-H
-------
HYPOTHETICAL CASE #2
An allegation has been made that a company Is dumping a
hazardous chemical into a nearby stream or river. How would
you investigate?
OVERHEADS 8-1
-------
9: Administration
-------
SESSION 9
TOPIC: ADMINISTRATION
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose
Respond to questions concerning administrative procedures.
Note: This session is not long enough to cover all administrative issues -- it is essential that trainees
read Chapter 10 in the manual prior to the session.
Provide experience in planning for administrative needs
Key Points
Anticipate administrative needs in advance and obtain the proper forms, authorizations, signatures,
etc.
An inspector can be held financially liable for unauthorized purchases.
Advance Instructor Preparation
Text reference Chapter 10.
Review your office's administrative procedures.
Prepare a handout with names, phone numbers, and addresses of people/organizations that inspectors
should contact for information and/or approvals on administrative matters. (3-hole punch for
insertion into the text notebook.)
Prepare handouts as needed on other Regional or office-specific administrative procedures.
Review case study and discussion questions.
Photocopy sufficient copies of the case study handouts for the entire group.
Advance Trainee Preparation
Read Chapter 10 in Manual prior to session.
List of Visuals
9-A -- Case Study Questions
List of Handouts
9-1 -- Administration Case Study
Administration 1
-------
Suggested Teaching Outline
Question and Answer Session 30 minutes
Exercise: Administration Case Study 30 minutes
Administration 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Introduce yourself, including background, EPA experience,
and your role in this course.
QUESTION AND ANSWER
SESSION (30 rain.)
OVERVIEW OF ADMINISTRATIVE ISSUES
Inspectors must deal with a wide range of administrative
procedures, such as procurement, shipping, travel, and in
some situations, special pay. Often, inspectors must make
decisions in the field concerning these issues, so it is
important that you are familiar with correct administrative
procedures, as well as technical and legal procedures. As
most of you know, failure to comply may result in failure
to be reimbursed.
The importance of pre-inspection planning cannot be
emphasized too strongly. It is far easier to comply with
administrative procedures if needs for tickets, equipment,
sample shipping, boat rentals, etc., are anticipated in
advance. With advance planning, necessary forms can be
obtained, filled out, and signed. Any questions you may
have can be answered. Chances of errors are reduced
greatly.
Even with good advance planning, unanticipated purchases
may be needed while you are on the road. It is important
for you to know what to do if this happens, because you
may have difficulty getting reimbursed for unauthorized
purchases. You must also be familiar with procedures for
changing travel plans.
Some employees on an inspection might be entitled to
overtime pay, hazardous duty pay, or other specialized
compensation. Familiarity with pay administration can help
in planning and budgeting.
Once you arrive back at the office, it is essential to
promptly complete travel vouchers and any other unfinished
administrative paperwork associated with the trip. Failure
to submit travel vouchers within the allowed time can result
in you being prohibited from receiving future travel
advances.
Administration 3
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask the group for questions.
Go topic by topic.
Distribute Handout(s) of
Regional contacts and
Regional procedures.
Each inspection will present a unique set of travel and
procurement needs. A skilled inspector is able to anticipate
these needs as well as adapt to changes in the field, and
knows how to perform the administrative steps for smooth
processing of the required paperwork.
The Manual covers many administrative procedures that
inspectors should understand; this session will not repeat
what is covered in the text.
Discuss any questions concerning:
• Travel
Authorizations
- Diners Club Card/cash
Airline tickets
- Hotels
Vehicles
Reimbursement vouchers
• Pay Administration
• Procurement
EXERCISE (30 min.)
ADMINISTRATION CASE STUDY
Many of you are already familiar with administrative
procedures in your office. To give you some practice in
thinking about administrative matters, we have developed a
case study that requires quite a bit of administrative
planning as well as mid-course adjustments.
Administration 4
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 9-A
Case Study Questions
Hand out the case study.
Remain in the room to
answer any questions.
Acknowledge that 15 minutes
was not enough time to com-
plete the exercise. Ask the
group to discuss Question 1,
listing the administrative
items required for the trip;
the Suggested Content column
contains items to cover if not
raised by the group. Record
items on chart paper/
blackboard.
As you work through the case study:
• Identify all items that require an administrative action,
and describe what kind of action is needed. Be
prepared to discuss some of the trickier procedures.
• Determine what steps might have been taken as soon as
the problem was discovered that could have reduced the
frantic planning, rather than waiting for a final decision
on how to proceed.
You will have about 15 minutes to work on the case. You
may not be able to work through the entire case in detail,
but try to spend a little time with each of the questions. I
will notify you when you only have 5 minutes remaining.
Are there any questions?
1. Identify all items requiring administrative action.
Actions should include:
• Fly to Pocatello
prepare travel authorizations
order tickets
make hotel reservations
make vehicle reservations
obtain travel advance
• Make shipping arrangements
equipment, bottles, supplies
special analyzer
ship samples
ship equipment back to office
• Prepare procurement requests
- fluorometer lease
special dye
consultant
boat lease
helicopter lease
safety equipment for crew
Administration 5
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Complete the discussion by
asking the group how some of
the last-minute planning
might have been avoided
(Question 2).
• Pay considerations
overtime
compensatory time
hazardous duty pay
• Purchases in the field
shovels
ice
- replace instrument
repair of boat propeller
• Change in travel plans
purchase new tickets
make airline/car/hotel/motel reservations
• Submit documents, file vouchers, and seek
reimbursement
travel vouchers
Government Travel Request (GTR)
reporting field purchases
• Identify travel options
• Assess equipment needs (include helicopter, boat)
• Identify potential suppliers
• Locate analyzer and investigate transport options
• Identify consultant
Administration 6
-------
HANDOUT 9-1
ADMINISTRATION CASE STUDY
The Problem
On May 1st, the Regional Office/Idaho Operations Office heard about a potential illegal
hazardous waste discharge or dumping. This alleged incident was having an impact on water quality
in a lake in a remote area of Eastern Idaho. Little specific information about the incident was
immediately available. No action was taken until more information could be obtained and upper
management could decide whether to (1) conduct an investigation, (2) ask industry XYZ to look at
their own problem, or (3) work out a joint study with the State agency.
On May 15th, a local environment group contacted their legislative representative who in turn
notified the Regional Administrator of the urgency of this pollution problem. The Regional
Administrator requested that a source and receiving water study be conducted within the next three
days to determine the extent and nature of the problem.
Pre-Inspection Activities
Immediately, Regional/Operations Office Staff frantically began to develop a plan of study,
work out logistics problems, assemble equipment, and coordinate the State and local agencies. Two
FLSA exempt and one non-exempt employee worked one day on the weekend and two hours extra
for two regular work days to prepare for the study. The plan they developed included the following
activities:
Field staff would fly to Pocatello, rent vehicles/pickups, and drive to the site.
Equipment, bottles, and supplies would be shipped to the airport and transported to the site.
Because not all necessary equipment and supplies were available in the Region, some items
would be borrowed from other agencies or Regions, or leased commercially. Specifically,
the Region must lease a lorometer and purchase a special type of dye, since a dye study may
be required. Also, a special analyzer must be borrowed from another Region, but the
Regional Officer/Idaho Operations Office must pay freight costs. A consultant must be
hired, at an estimated $1,000.00, to operate the analyzer during the study.
Because of the remoteness of the site, a boat must be leased to conduct a receiving water
study. Because of short sample holding time, a helicopter would be needed to transport
samples to Pocatello airport in time to fly samples to the Manchester Laboratory on a daily
basis.
Staff were concerned about potential exposure to hazardous substances either in the
discharge or along the banks of the lake. Diving may be necessary or possible use of SCBAs
if samples need to be taken in the dump area.
Administration (Handout) 1
-------
On-site Inspection Activities
During the investigation, the following activities occurred:
Four days of sampling took place.
The first day total sample shipment cost from Pocatello to Sea/Tac Airport was $50.00.
The remaining three day's shipment varied from $90.00 to $300.00 per shipment.
While in the field, the investigators found it necessary to purchase two shovels, purchase
ice ($60.00), replace a $50.00 instrument, and repair a boat propeller.
No diving was needed; however, three employees did wear respirators to collect several soil
samples in a potentially contaminated area.
All employees worked 10 hours per day for four days and 11 hours on the day they traveled
to the site from the time they left Seattle to the end of the work day.
When the investigation was complete, all equipment and supplies had to be shipped back
to Sea/Tac and all employees had to return to Seattle by air. Two employees changed their
flights to travel to different approved locations than originally scheduled.
All sample results from the dump area were reported negative one month after completion
of the study.
INSTRUCTIONS
Your task is to:
1. Identify all items requiring an administrative action, and what kind. Be prepared to discuss
the trickier administrative procedures and considerations involved.
2. Determine whether there might have been steps that could have beeen taken before a final
decision on how to proceed was made that would have avoided some of the frantic last-
minute planning.
Administration (Handout) 2
-------
CASE STUDY QUESTIONS
1. Which items require an administrative action? What
kind? What are the most difficult administrative
tasks?
2. Could some of the last-minute planning have
been avoided? How?
OVERHEADS 9-A
-------
10: Physical Sampling
-------
SESSION 10
TOPIC: PHYSICAL SAMPLING
INSTRUCTOR'S OVERVIEW
Time: 120 minutes
Purpose
Explain importance of physical samples as evidence
Present considerations involved in planning for and assuring that samples meet quality
requirements
Provide overview of the sampling process from planning through disposal of contaminated
equipment
Note: This session is not intended to teach inspectors show to sample.
Key Points
Physical samples are collected to establish the presence and concentration of regulated substances
and the extent of contamination.
Sampling data helps determine whether a violation exists (e.g., exceedance of a standard) and its
gravity (e.g., for penalty assessment purposes).
Sampling objectives and data quality requirements and how they will be met should be set out
before the inspection in a quality assurance plan.
Standard collection and chain of custody procedures must be followed.
Advance Preparation
Text reference Chapter 13.
If possible, bring a few examples of typical sampling equipment to the session. Otherwise, select
several slides of sampling equipment from the ones provided to use in explaining how typical
samples are collected. See Attachment 10-1 for list of slides.
Make a handout of the Region's format for a Quality Assurance Project Plan, if one exists.
Bring examples, and/or make overheads of sample tags and seals and chain of custody forms used
in your Region.
If possible, bring packaging materials and shipping containers and labels to use in a
demonstration of how samples are packed for shipment.
Sampling 1
-------
Equipment
Slide Projector
Overhead Projector
Sampling Equipment
Packing and Shipping Supplies
List of Visuals
10-A -- Topic Summary
10-B -- General Guidelines for Sampling
— Slides of Sampling Equipment (Attachment 10-1)
10-C -- Representative Sampling Factors
10-D -- Common Sampling Errors
10-E -- Quality Control/Quality Assurance Samples
10-F -- Quality Assurance Project Plan (QAPP)
10-G -- Changes to the QAPP
10-H — Evidence is in Custody If ...
10-1 -- Chain of Custody Procedures
10-J -- Field Logbook Entry — Sampling
10-K -- Sample Tag
10-L -- Sample Seal
10-M -- Sample Holding Time
Suggested Teaching Outline
Lecture: Introduction to Physical Sampling 15 minutes
Lecture: Policy Considerations in Sampling 15 minutes
Demonstration: Sampling Equipment 10 minutes
Lecture: Technical Considerations in Sampling 15 minutes
Discussion: Common Sampling Errors 10 minutes
BREAK. 15 minutes
Lecture: Quality Assurance/Quality Control 20 minutes
Lecture: Sample Documentation/Chain of Custody 10 minutes
Lecture/Demonstration: Sample Management in the Field 10 minutes
Sampling 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE (15 min.)
INTRODUCTION TO PHYSICAL SAMPLING
Trainees are likely to vary
widely in their experience
with sampling and the extent
to which it is part of their
jobs. This discussion is
intended to tell the instructor
more about the group and to
show each trainee how this
session relates to his or her
job.
Introduce yourself, including your background, and EPA
experience.
By physical samples we mean actual samples of soil, water,
air, waste streams, or other materials.
For the next several hours, we will discuss general
principles for the collection and management of samples
that may become evidence for an enforcement action.
Many of the principles we will discuss also apply to other
field sampling activities as well as to measurements taken in
the field in association with sampling, such as
measurements of wind and other environmental conditions.
Role in Sampling
What responsibilities does each trainee have regarding
sampling (show of hands)?
• Planning and designing a sampling strategy
• Arranging for equipment
• Preparing QA/QC plan
• Collecting samples in the field
• Documenting samples
• Maintaining chain of custody
• Preserving samples
• Packing samples for transport
• Arranging transport or shipping
• Communicating with the laboratory
• Interpreting lab results
• Other - specify.
Sampling 3
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Trainees are likely to vary
widely in their experience
with sampling and the extent
to which it is part of the their
job. This discussion is
intended to show each trainee
how this session relates to his
or her duties.
Overhead 10-A
Topic Summary
Purpose of Session
This session is not designed to teach you how to sample.
Rather, the intent of this session is to provide you with a
basic understanding of the principles and procedures
involved in sampling for evidence purposes.
This understanding will be a direct aid to those of you who
do take physical samples as part of your inspection work.
You will, of course, receive more specialized training in
sampling techniques as part of the program-specific
classroom and on-the-job training.
For those of you who do not expect to personally take
samples, but who may ask for sampling support from others
(such as the Environmental Services Division or a
contractor), knowledge of what goes into planning for and
conducting a quality sampling effort will help you:
• Communicate sampling needs effectively, particularly
with regard to establishing sampling objectives and data
quality requirements; and
• Make realistic projections of the costs and time required
for carrying out sampling and obtaining results.
During the remainder of this session, we will cover these
topics:
• Policy considerations in sampling;
• Technical considerations in sampling;
• Common sampling errors;
• Quality assurance and quality control;
• Sample documentation and chain of custody; and
• Sample management in the field.
In the next session we will discuss laboratory analysis.
Sampling 4
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE (15 min.)
POLICY CONSIDERATIONS IN SAMPLING
Samples as Evidence
The physical samples taken during a compliance inspection
or investigation are often the key evidence substantiating a
violation (or demonstrating that a facility is in compliance).
Depending on the regulation involved, samples may be
needed to show:
• That a particular regulation applied to the site or
facility (e.g., that a drum contained PCBs and therefore
should have had a label)
• That a permit standard has been exceeded (e.g., that a
wastestream has a higher concentration of pollutants
than allowed by the permit)
• The extent of a contamination problem (e.g., that
contamination has seeped from the soil under a leaking
tank to the ground water)
In order for them to be readily accepted as evidence in
court, samples must be of known quality, collected
following sound technical procedures, and representative of
conditions at the location where they were collected.
Further, the Agency must be able to show that a sample
offered in evidence was in custody from time of collection
until trial -- that is, that only authorized persons had access
to the sample. Each individual who had access must be able
to be identified.
Determining When to Sample
In planning and carrying out sampling and field
measurement activities, many factors must be considered.
In this part of the session, we will discuss key aspects of the
sampling process.
Program-specific guidance in each regulatory program
provides basic direction on when to sample at a facility or
site.
Sampling 5
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 10-B
General Guidelines for
Sampling
This guidance usually includes Standard Operating
Procedures (SOPs) for how samples should be collected,
covering such topics as equipment to use, size of samples,
locations from which the samples should be drawn, assuring
representativeness, and other technical factors. Deviations
from SOPs should be avoided if possible. If such deviations
are necessary, they should be documented carefully.
Program guidance serves as the starting point for
establishing and meeting the sampling objectives for a
particular inspection.
While each program has its own specific requirements, the
general principles which follow should guide sampling
efforts:
• Take a sample whenever one is needed to prove a
violation.
For example:
-- To show that a release should have been reported to
EPA under CERCLA, there must be proof that a
substance subject to CERCLA was involved.
— To show that a transformer should have borne a
PCB label, there must be proof that it actually
contains PCBs at the regulated concentration.
-- To show that an industrial discharger is exceeding
the permit limit for a parameter, there must be
proof that the discharge actually contains the
constituent above the permitted limit.
• Sample only when there is reason to suspect a substance
is present. Your time and your ability to transport
samples is limited, and analysis is costly.
For example: Unless there is reason to believe that
drums contain hazardous waste, they would not usually
be sampled.
Sampling 6
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
• Attempt to verify the presence of a substance by a
means in addition to (or other than, in some situations)
a sample.
Examples of other means of verification are:
-- A company's self-monitoring reports show levels in
excess of the permit limit for a given constituent or
constituents.
-- A nameplate on a transformer states that it is a PCS
transformer.
-- A facility employee states that waste oil is placed in
the indicated drums.
Ideally, every potential violation observed by the inspector
should be fully documented, including collection of
physical samples where appropriate. In reality, time and
logistical constraints may make this impossible, particularly
if many potentially violative conditions are observed.
As a guideline for these situations, violations which pose
the greatest threat to human health and the environment
should receive the highest priority. Familiarity with annual
program operating guidance and guidance documents that
indicate the seriousness of various types of violations, such
as the enforcement response policy, will aid in making these
decisions.
DEMONSTRATION
(10 min.)
SAMPLING EQUIPMENT
The purpose of this section is
to give inspectors a feel for
how sampling is performed
by showing and describing
the use of typical sampling
equipment.
If you have brought actual
sampling equipment with
you, briefly describe what
each is used for.
Briefly describe the use of various types of typical sampling
equipment.
Sampling 7
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
If sampling equipment cannot
be brought to the classroom,
use the slides you have
selected from among the ones
provided to discuss various
types of sampling equipment.
See the list of slides in
Attachment 10-1.
LECTURE (15 min.)
TECHNICAL CONSIDERATIONS IN SAMPLING
Assuring Data Quality
EPA Order 5360.1 requires that all data generated or used
by EPA must be of known, defensible, and verifiable
quality. Quality assurance is an integral part of all sampling
activities.
Frequently, the procedure that yields the highest precision
and accuracy is also the most expensive and time
consuming. You must weigh the objectives of the
inspection against these factors to select a sampling plan
that will provide data of required quality within the
resources specified for a given inspection.
As we will discuss in more detail later, a principal way in
which the Agency implements this order is by requiring a
quality assurance plan for every field sampling activity.
The technical considerations involved in sampling that we
will discuss now are part of the thought process that goes
into planning for the sampling effort and ultimately into
developing and carrying out the quality assurance plan.
Standard Operating Procedures (SOPs)
As mentioned earlier, over the years most programs have
developed a series of SOPs covering sampling in a variety of
environmental media; some SOPs are even contained in
regulations.
Sampling 8
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Solicit class discussion about
what kinds of variations need
to be accommodated in devel-
oping a representative sample.
Mention the items in the
Suggested Content column if
they are not brought up
during the discussion.
SOPs should be followed carefully. Deviation from a SOP
not only weakens EPA's case, it can also undermine the
integrity of the SOP itself.
SOPs are, of course, tailored to meet the specific needs of a
particular situation.
If a deviation from a SOP is unavoidable, it is essential to
document fully what was done and why. Failure to follow
a SOP is not fatal to a potential enforcement action, but it is
essential that enforcement officials know about any flaws
that might affect the case.
Representative Sampling Points
A "representative" sample is equivalent to the total
population in composition, and physical and chemical
properties.
Selecting a sample that is truly representative of the media
or material being sampled provides the strongest foundation
for demonstrating compliance or that a violation exists.
For many types of samples and locations, there are SOPs
which detail where sampling sites should be selected. These
SOPs are the first line of guidance on representative
sampling.
Sampling objectives should determine how and where
samples should be collected. Representative sampling plans
are designed to reflect specific conditions; representative
does not necessarily mean "random." Sampling plans can be
designed to reflect likely violations, normal operating
conditions, maximum normal operating conditions, or
average conditions at a site or facility.
The key is that the design of the representative sampling
plan be clearly documented.
What factors are used to define a representative sample?
• Differences in operating conditions (such as seasonal or
off-peak conditions; normal operating conditions would
be those maintained over time with little variation).
• Differences in waste type and contaminants (materials
in drums, soils, lagoons).
Sampling 9
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 10-C
Representative Sampling
Factors
Solicit class discussion on how
they determine the number of
samples to be drawn.
• Differences in statistical conditions that affect
concentrations of contaminants (such as changes in
manufacturing schedule, peak and off-peak production,
different wastes generated at different times depending
on manufacturing cycle).
• Differences that might result in variability over time
include:
— Process changes
-- Schedule changes
'-- Manufacturing changes
-- Raw material changes
-- Management practice changes
-- System aberrations
-- Seasonal changes
• Spatial variability (in both vertical and horizontal
directions, such as uneven dispersion from a discharge
point, settling of particles on obstructions, different
"weights" of the waste constituents moving at different
speeds).
Determining Number of Samples
A variety of factors are considered when deciding how
many samples should be collected. They include:
• The variability of the waste and the degree of certainty
desired to identify the contaminants in the waste.
• Practical limitations on time and how many samples can
be safely collected, stored, packaged, and shipped given
the resources available.
• Legal considerations, such as the nature of the
regulatory requirement and the degree to which
challenge about sampling-related evidence is
anticipated.
Sampling 10
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
• Representativeness considerations, such as differences
in operating or temporal conditions or the need to
balance 7-day, 30-day, or 1-year limitations against
what is practical to do.
• Cost considerations, both in time and resources.
Sample Volume
Sample size should be sufficient to do all necessary analysis
plus an additional amount to allow for performance of
quality control steps.
Volume should be kept to a minimum, particularly if
sampling is of hazardous or toxic material. Remember that
disposal of any "leftovers" is under RCRA and/or other
regulations.
Program-specific guidance usually specifies the volume of
sample needed.
Consult with laboratory personnel for additional guidance;
they should also inform you if specific types of quality
control samples are needed from the inspection as a check
on laboratory procedures.
Preventing Cross-Contamination
Sampling procedures are generally designed to prevent
cross-contamination.
However, since some contaminants can now be detected at
the trace parts per billion or even trillion level, minuscule
amounts in a sample due to cross-contamination can ruin
the validity of samples.
Extra steps that can be taken to help prevent cross-
contamination include:
• Proceed from the least contaminated area progressively
to the most contaminated area.
• Wear a new pair of disposable gloves at each new
sampling location.
Sampling 11
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
• Place samples suspected of being highly contaminated in
separate plastic bags.
• Use different teams to collect ambient samples and
source samples, if possible.
• Have one person do all the sample collection and the
other take all the notes, fill out tags, etc.
Special Considerations for Split Samples
Split samples are samples that have been divided into two
portions for analysis by separate laboratories.
In some cases, facility officials will request splits of all
samples that are collected during an inspection. They have
the right to splits under some EPA statutes.
Address this issue during the opening conference. Reach
agreement over the logistics of split samples, especially over
who will supply the additional collection equipment and
containers.
There are risks involved with split samples. They include:
non-representative samples, cross-contamination, and
sample destruction.
Equipment Decontamination and Waste Disposal
Decontamination of equipment and sampling devices in the
field may produce a rinsate that is subject to RCRA.
Contaminated sampling devices and protective clothing may
also be subject to disposal regulations.
Generally, EPA inspectors should properly package
contaminated equipment and clothing and take it back to
the EPA Regional Office (or laboratory) for disposal in
accordance with regulations.
Some laboratories are now requesting that EPA inspectors
arrange with the facility, before sampling, to return excess
samples to the site for disposal. Sometimes a laboratory will
refuse to do an analysis because it has no way to dispose of
the material.
Sampling 12
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
DISCUSSION (15 min.)
COMMON SAMPLING ERRORS
Ask the class to suggest
sampling errors that could
affect sample validity,
integrity, and/or value as
evidence. As suggestions are
made, ask them to describe
what they think the impact of
an error would be.
Use the list in the Suggested
Content column of common
sampling errors to point out
items if not raised by the
class.
Overhead 10-D
Common Sampling Errors
The most common errors related to sampling are:
• Failure to calibrate instruments, (such as the pH meter,
Do meter, etc.)
• Lack of maintenance on equipment
• Forgetting equipment or supplies
• Misreading instruments
• Miscalculations
• Mislabeling
• Transportation of data in the field logbook
• Poor field notes
• Sample loss or leakage during shipping and transport
BREAK (15 min.)
TAKE A BREAK
LECTURE (20 min.)
QUALITY ASSURANCE/QUALITY CONTROL
As we mentioned earlier, planning for quality assurance and
quality control is one way to integrate the many policy and
technical factors involved in a quality sampling effort.
Quality assurance/Quality control (QA/QC) is part of every
field sampling and laboratory analysis activity. While we
will focus on the inspector's role in QA/QC, it should be
understood that it is also linked to what happens in the
laboratory.
Sampling 13
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 10-E
Quality Control/Quality
Assurance Samples
• Quality Control (PC)
Quality control is a series of methods built in to be sure
that the data collected are the data that are desired.
It includes all of the technical controls used, such as
sampling and analytical methods; use of blanks and
replicate samples; inclusion of performance or standard
samples; and standard curves and statistics.
• Quality Assurance (OA)
Quality assurance refers to the procedures used by
management to assure that quality control plans are
what are required and that the plans are being followed.
QA is essentially an overview and monitoring function.
It includes establishing data quality objectives,
instituting procedures for approving planning
documents in advance of field data collection, and using
audits to identify quality control problems.
• Quality Control Samples
As part of the Region's quality assurance program,
inspectors may be asked to take an additional volume of
a sample or perform special steps with regard to a
sample as a check on the sampling itself and/or on the
laboratory.
Types of samples used for QA/QC purposes include:
• Replicate Samples. These are separate samples taken
from the same source at the same time.
• Split Samples. This is a sample that has been divided
into two containers for analysis by separate laboratories.
• Spiked Sample. This is a sample to which a known
quantity of some substance has been added.
• Preservative Blanks. This is a sample of distilled water
to which a known quantity of a preservative has been
added.
Sampling 14
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Use the name that is
employed in your region.
Substitute that term for
QAPP throughout the session.
What do QA and QC seek to control? They seek to control
data quality. What are the basic elements of data quality
that QA and QC are seeking?
• Precision -- the reproductibility of the data.
• Accuracy -- the closeness of a measured value to the
true value.
• Representativeness — the extent to which the data
characterize the environmental condition of the site or
operation in question.
• Comparability -- the equivalency of the data sets.
• Completeness — the measurement of the confidence
with which the data resulting from a collection activity
meets the sampling objectives.
Quality Assurance Project Plan (QAPP)
Agency policy mandates that every inspection involving
sampling must have a quality assurance plan.
In several Regions and programs, this plan is called the
Quality Assurance Project Plan (QAPP). While it may have
another name in other offices, a comparable document must
exist for every sampling effort. In this Region, it is called
a .
Generally, the QAPP is prepared in advance of the
inspection. However, if a decision to sample is made while
the inspector is in the field, the inspector should record the
information that would be in a QAPP in his or her field
logbook.
The purpose of preparing a QAPP is to assure that the
sampling plan reflects a careful thinking through of
sampling objectives and what must be done to be sure they
are met.
Sampling 15
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 10-F
Quality Assurance Project
Plan
Modify this list of elements
to include the elements of
your Region's QAPP or
equivalent.
Make a handout that lists the
elements or distribute your
Region's QAPP format, if one
exists.
In many cases, the QAPP will be rather short, referencing
the SOPs for the inspection type. Such routine QAPPs still
will usually require some modification to the particular
situation to which the SOPs are being applied.
For non-routine situations, a more complex and lengthy
SOP may be necessary.
Elements of a Quality Assurance Plan
While the name and format of a quality assurance plan
varies by Region and office, the content will generally
include roughly the same items. Of course, the SOPs may
have already addressed some of them and so can be
incorporated by reference. Some of the information may be
in a document other than a QAPP plan or equivalent, but
are nonetheless part of the thought process for sampling.
We will go through some of the key items here briefly to
give you a sense of what goes into quality assurance
planning.
• Project Description and Site Location. The what,
where, and why. Includes history and justification;
physical aspects defining project area, space,
environmental concerns.
• Project Measurement Objectives. Information
requirements of the project. Defined by regulation or
specific investigation needs.
• Sample Rationale and Network Design. Describes the
process used to select specific sampling points. The
rationale is site specific, using applied statistics,
regulatory requirements, enforcement needs, and
common sense.
Sampling 16
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INSTRUCTOR NOTES SUGGESTED CONTENT
• Analyses Rationale. Initiates the paper trail of physical
accountability of the project.
-- Data Quality Objectives. Lists what elements,
compounds, classes of compounds, and/or physical
data are needed; methods selected to get the data;
and usually the detection limit. Helps to define
precision and accuracy for the project and/or
specified analyses.
-- Sample Procedures to be Used.
-- Sample Custody and Documentation. Core of the
paper trail; should be sufficient to allow the sampler
to testify years later.
-- Calibration Procedures and Frequency. Generally
for physical measurements in the field and
laboratory, usually addressed through SOPs which
define standard calibration procedures.
-- Preventive Maintenance. Generally concerned with
instruments; usually addressed by SOPs listing
manufacturer's operational and maintenance
recommendations.
-- Laboratory Data Reduction/OA Review. Planner
can designate here what degree of QA effort a
project needs.
-- System and Performance Audits. May be a request
for an audit by the project planner and/or as part of
the office's overall quality assurance program.
— PA Report to Management. If there was an audit,
the results. If corrective action was needed, what
steps were taken to solve the problem.
-- Corrective Action. Based on professional judgment,
the sampler may make changes to the plan while in
the field as long as they are justifiable; all changes
must be documented.
Sampling 17
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 10-G
Changes to the QAPP
-- Sample Alterations. If changes in the actual
measuring or analyzing protocols had to occur in the
field or laboratory, they must be justifiable and
documented.
-- Safety Plan. Technically a part of the QA plan, but
usually cites an already approved plan. Deviations
from the plan must be approved by a Safety Officer.
Modifying a Quality Assurance Plan
When faced with an unexpected or unanticipated
situation, the inspector may need to modify the QAPP
in the field.
The plan cannot be modified so much, though, as to
compromise the original sampling objectives. Questions
to ask are:
-- Can the original objectives still be met?
-- Can the sampling be satisfactorily done with the
existing equipment?
-- Is it safe to sample?
All changes must be documented, including their
rationale.
LECTURE (10 min.)
SAMPLE DOCUMENTATION/CHAIN OF CUSTODY
In order for the results of sampling to be usable as
evidence, the Agency must be able to demonstrate that the
samples were collected and analyzed in a technically sound
manner; explain the precision, accuracy, and
representativeness of the sample; and show that the sample
was in custody from the time of collection until trial, such
that tampering was not possible.
Sampling 18
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INSTRUCTOR NOTES SUGGESTED CONTENT
Documentation of Precision and Accuracy
• Field Measurements and Sampling Process
Procedures used for collecting and handling samples
should be written in the field logbook.
The procedures cited or described should be detailed
enough that it would be possible to determine:
-- Exact sample collection location
-- Types of sample containers used
— Sample container preparation process
-- Sample collection process
-- Sample preservation and handling
-- Calibration and maintenance of equipment
For the actual collection procedures, a citation to the
appropriate SOP that was followed will generally be
adequate. Any deviation from the SOP must, however,
be fully explained and documented.
• Laboratory Analytical Methodology
Similarly, the laboratory methods used to analyze the
sample must be documented. They would include such
items as data analytic methods employed; receiving and
handling procedures; reduction and reporting.
procedures; equipment/instrument calibration; and all
other records pertaining to the sample including
conclusions derived and reliability of the data.
Chain of Custody Documentation
In order to have the results of a sample accepted as
evidence, we must be able to show that the sample is what
we say it is: that it came from a particular location at a
particular time. The sample's unique identifying number
along with the other information in field notes are the
principal ways that this can be established.
Sampling 19
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 10-H
Evidence is in Custody If...
Overhead 10-1
Chain of Custody Procedures
We also must be able to show that the sample has not been
tampered with or contaminated during collection, transit,
storage, or analysis. To do this, we show through written
"chain of custody" records that access to the sample was
controlled and that everyone who had handled the sample
can be identified (and if needed, could testify).
An accurate record must be maintained to trace each sample
from the moment of collection through its introduction into
evidence.
Elements of Custody
A sample is in "custody" if:
• It is in one's physical possession.
• It is in one's view.
• It was in one's possession and it was secured so it
couldn't be tampered with.
• It is kept in a secured area with access restricted to
authorized personnel only.
The concept of custody requires the maintenance of several
procedures including:
• Establishing custody, such as by sealing the sample with
an official seal.
• Preparing sample documentation describing collection,
shipment, storage of the sample.
• Coordinating sample and documentation to ensure that
sample number, date, inspector's initials appear on all
forms.
• Ensuring custody during transit through proper
documentation.
Sampling 20
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 10-J
Field Logbook Entry --
Sampling
Chain of Custody Record
The forms and procedures used for chain of custody vary
somewhat depending on the office and program.
The custody record includes information in field logbooks,
sample tags, field data sheets, and chain of custody records.
Some offices and programs have developed forms and tags
that combine information about sample collection conditions
and analytic requirements with the custody record.
The examples we will show you today are in actual use.
While the specific procedures may be a bit different in your
office, their intent will be the same.
There are several important points to keep in mind
regarding what chain of custody records must accomplish.
They must be able to:
• Link each specific sample to a specific location, date,
time, and sample taker.
• Explain the conditions surrounding the collection of
sample.
• Show what procedures were used to collect the sample.
• Show that the sample was in custody at all times and
identify all people who had access to the sample.
Field Logbook Entry
The inspector's entry in the field logbook is the principal
reference for the sample. Each entry should include:
• Sample identification number
• Unique identifying remarks (if any)
• Date and time of collection
• Specific location of collection
Sampling 21
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
At this point, using the
overheads and/or handouts of
the Region's sample tags,
seals, and chain of custody
records, briefly explain the
Region's chain of custody
procedures.
Overhead 10-K
Sample Tag
Overhead 10-L
Sample Seal
• Collection method
• Rationale for sampling
• Description of any deviations from standard protocols
• Indication of split samples (if applicable)
Your textbook has examples of sample tags, seals, and chain
of custody records in Chapter 13D. I am now distributing
(going to show you) some of the forms we use in our
Region for chain of custody.
LECTURE/DEMONSTRA-
TION (10 min.)
SAMPLE MANAGEMENT IN THE FIELD
Overhead 10-M
Sample Holding Time
Samples should always be handled in accordance with safety
procedures that relate to the specific substance. Two other
considerations are:
• Sampling preservation. Most analyses require that a
chemical preservative be added to the sample
immediately upon its collection. Consult program- and
media-specific guidance for sample preservation
requirements, or ask laboratory personnel.
• Sample holding time. Prompt analysis is the best way to
ensure that no error occurs due to deterioration of the
sample. Again, sample holding times are specified in
program- and media-specific guidance.
Arranging for analytic support in advance of the inspection
helps avoid delays that could affect the quality of the
analysis.
Sampling 22
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
The purpose of this portion
of the session is to explain the
general DOT shipping
requirements for hazardous
samples and to demonstrate
how to properly pack a
hazardous sample for
shipment.
Insert name of Regional
contact here
Packing and Shipping Samples
Because of the potential hazards (and time delays)
associated with shipping samples, the best method is for the
inspector to deliver them personally. When this is not
feasible, samples are shipped by common carrier.
DOT Hazard Classification
It is the inspector's responsibility to pack and ship samples
in accordance with DOT requirements for the particular
DOT hazard class. The inspector can be held liable if
proper procedures were not followed and a sample leaks.
The inspector determines the appropriate hazard
classification, using professional judgment.
Each EPA office has designated an individual who is
responsible for compliance with the DOT regulations.
Inspectors can consult with this person when unsure of what
to do with a given sample.
In this Region, the person who can be consulted on DOT
regulations regarding samples is:
As a general rule: When the hazard class is unknown and
the concentration of contaminant in the sample is likely to
be high, the sample should be shipped as hazardous.
"Ambient" samples would not ordinarily be subject to
hazardous materials shipment requirements because the
contaminant concentrations are low.
Generally, samples of unknown hazard are shipped as
"flammable liquid."
Sampling 23
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
Advance Planning
Sample shipping needs should be identified and planned for
in advance of the inspection as part of the inspection
planning process. Be sure to obtain any needed sample
shipping containers, completed and signed forms, and
hazard labels.
Using the appropriate Packing a Hazardous Sample
containers, packing materials,
and hazard labels, Explain packaging steps as they are being performed.
demonstrate how hazardous
samples are packed for
shipping by common carrier.
Explain, as appropriate, how
a different hazard class would
require different procedures.
Refer trainees to the text for
specific information on
hazard classes.
Ask the class to remember
back to their sampling plan-
ning exercise. How many
thought ahead to bringing
shipping materials and labels?
Sampling 24
-------
ATTACHMENT 10-1
EQUIPMENT SLIDES
SLIDE NUMBER DESCRIPTION OF SLIDE
1 Level A protective clothing
2 Level B protective clothing
3 Level C protective clothing
4 Level D protective clothing
5 Misc. Equipment (boots, rope, cold weather gear, gloves, etc.)
6 Cooler for carrying/shipping samples
7 Cooler with bottles and sample tags
8 Cooler with custody tag and official seal
9 Labels, official seal, chain of custody tag
10 Sample containers
11 Oxygen meter for DO and conductivity bridge
12 pH meter
13 Automatic sampler for water samples
14 Sediment sampling equipment
15 Van Dorn sampler and water sampling tubes
16 EPA van
17 EPA trailer
18 EPA boat
19 Automatic sampler in insulated box
20 Flow meters
21 Sample preservatives
22 Teflon bailer
23 Misc. field equipment (map, compass, notebook, camera, film,
flashlight, etc.)
24 Flame retardent protective clothing
25 Records
26 Vacuum filter
27 Sample container with packing material
28 Water sampling equipment
Sampling (Attachment) 1
-------
SESSION 10: PHYSICAL SAMPLING
Policy Considerations in Sampling
Technical Considerations in Sampling
Common Sampling Errors
Quality Assurance/Quality Control
Sample Documentation/Chain of Custody
Sample Management in the Field
Text: Chapter 13
OVERHEADS 10-A
-------
GENERAL GUIDELINES FOR SAMPLING
Take a sample when one is needed to prove a violation
Sample only when there is reason to suspect the substance is
present
Always attempt to verify the presence of the substance by a
means in addition to sampling
OVERHEADS 10-B
-------
REPRESENTATIVE SAMPLING FACTORS
Operating conditions
Types of waste
Statistical considerations
Temporal considerations
Spatial considerations
OVERHEADS 10-C
-------
COMMON SAMPLING ERRORS
Calibration
Maintenance
Forget
Sample loss
Misreading
Miscalculations
Data Transposition
Mislabelling
Poor field notes
OVERHEADS 10-D
-------
QUALITY CONTROL/QUALITY ASSURANCE
SAMPLES
Replicate
Split
Spiked
Preservative Blanks
OVERHEADS 10-E
-------
QUALITY ASSURANCE PROJECT PLAN
(QAPP)
Must be prepared for every sampling inspection
Two types:
Routine
Non-routine
OVERHEADS W-F
-------
CHANGES TO THE QAPP
Can the original objectives still be met?
Can the sampling still be done with the existing equipment?
Is it safe to sample?
OVERHEADS K>-G
-------
Evidence is in custody if...
It is in actual possession, control, and presence of
the inspector
It is in his or her view
It is in a place of storage where only the inspector
has access
OR
It is in a place of storage where only the inspector
and identified others have access
OVERHEADS 10-H
-------
1
CHAIN-OF-CUSTODY PROCEDURES
1. Establishing custody
2. Preparing documentation
3. Coordinating sample and documentation
4. Ensuring custody during transit
OVERHEADS KM
-------
FIELD LOGBOOK ENTRY -- SAMPLING
ftver
info.
Overheads 10-J
-------
Example of Sample Tag
O
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ANALYSES
BOO Antons
SoMifrSSlflPSKSSl
COO.TOC.Nmrtente
Qf>nfcN>
OlwdC
Pitortv
Remarks:
No.
FRONT
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
Envta
REGION 4
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Cotagt Station Road
A 30613
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BACK
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Overheads 10-K
-------
Example of Sample Seal
UNITED STATES
ENVIRONMENTAL PROTECTION AGENCY
INSPECTOR'S SEAL
3
Sample No.
1
Oa»
2
Signature
4
Print Nan* and Titte
5
6
>
6
(1) Insert sample number
(2) Insert date sealed
(3) Print location of collector's station
(4) Signature of persons sealing the sample
(5) Print name (same as signature) and title of sealer
(6) When a seal is broken for any purpose, initial here and enter the date-
broken. Submit broken seal with sample records
Overheads 10-L
-------
SAMPLE HOLDING TIME
Prompt analysis is the most positive assurance
against error from sample deterioration
OVERHEADS to-M
-------
11: Laboratory Analysis
-------
SESSION 11
TOPIC: LABORATORY ANALYSIS
INSTRUCTOR'S OVERVIEW
Time: 45 minutes
NOTE: It is highly recommended that trainees be given a tour of the Regional lab as part of the
course whenever feasible. It is helpful for the trainees to meet the people who receive
and analyze their samples and to see how some of the analysis is conducted.
Such a lab tour would substitute for this classroom session.
Purpose
To provide a basic understanding of the functions of a laboratory and the relationship between the
laboratory and the inspector.
Key Points
Inspectors should be aware of the capabilities and limitations of the laboratory.
Laboratory personnel can be a valuable source of technical expertise.
Advance planning for laboratory work helps assure prompt analysis of samples.
Advance Preparation
Text reference Chapter 18.
Prepare a brief, non-technical presentation on the capabilities of the EPA lab in your Region,
including key equipment and analyses that can be performed.
Prepare a handout showing formats of analytical reports from your laboratory and be prepared to
explain how to read them.
Equipment Needed
Overhead Projector
Calculator
List of Visuals
11-A -- Topic Summary
Laboratory Analysis 1
-------
List of Handouts
Regional laboratory analytical reports
Suggested Teaching Outline
Lecture: Laboratory Operations 15 minutes
Lecture/Discussion: Laboratory Capabilities 15 minutes
Discussion: Interpreting Analytical Results 15 minutes
Laboratory Analysis 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE (15 min.)
LABORATORY OPERATIONS
The purpose of this session is
to give a brief overview of
the laboratory and how it
functions, and particularly
why the inspector should
consult with laboratory
personnel on technical
matters.
Overhead 11-A
Topic Summary
Introduce yourself, your experience in EPA, and your role
in the course.
An inspection is not complete until the samples that were
taken have been analyzed and the results have been
reported and interpreted. Often, it cannot be determined
whether a suspected violation actually occurred until the
results of analysis are in.
In this session, we are going to give you a brief overview of
what happens in the laboratory and some of the factors
involved in performing sample analysis. We will then
discuss what to consider when interpreting the results you
receive from the lab.
In the short time we have today, I can only provide you
with some highlights of how the EPA laboratories function
(contractor laboratories carry out similar functions). I know
that some of you may not take samples, but it is important
for you to understand sample analysis because virtually
everyone will at one time or another need to at least review
analytical results or will request others to perform sample
analysis.
I hope that when I am through you will have an
appreciation for what the lab does and why it is important
to consult with the laboratory on technical questions related
to sampling and sample analysis.
EPA's laboratories carry out many functions related to all
environmental monitoring projects, including compliance
monitoring. Sample analysis involves several activities:
• Preparing the samples
• Conducting specific analyses
• Calculating and verifying the data
• Preparing reports.
Laboratory Analysis 3
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Explain your Region's
procedures for scheduling
analytical work, noting in
particular the normal lead
time required. Explain what
can be done in the event that
there is an emergency need
for sample analysis.
The amount of time and complexity of a single analysis
generally depends on the number of answers that can be
gleaned from it.
Other related functions that the lab performs include:
• Maintaining quality assurance and quality control
• Maintaining effective chain of custody
• Storing samples
• Disposing of samples and waste
• Keeping up with maintenance requirements on
equipment and supplies.
Advance Scheduling
EPA labs respond to demands from multiple EPA programs.
The lab has limited time, personnel, and equipment, so
advance scheduling is essential to get samples analyzed
promptly.
Explain your Region's procedures for scheduling analytical
work.
Relationship with Laboratory Personnel
Lab personnel are technical experts. They can assist
inspectors on such matters as:
• Developing sample plans
• Determining the types of samples that will provide the
most useful data
• Interpreting analytical data.
Laboratory Analysis 4
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
Sample Analysis Time and Costs
When planning an inspection, inspectors should factor in
both the costs of analyzing samples and the time it will take
to receive results.
Cost estimates will help budget the inspection, and may
result in changes in the number of samples collected or the
scope of the inspection.
Understanding how long it will take to get results will help
the inspector make more realistic projections of when
results can be expected from the lab.
Exhibit 18-1 in your text (pages 18-10 through 18-11) show
average times and fees for analyzing typical samples. These
can help in making projections when no other information
is available.
Data Quality Objectives
The lab is responsible for providing data at the level of
quality specified in the data quality objectives of the QAPP.
The program office, in conjunction with the lab, will select
the analytical methods, instruments, parameter detection
limits, and other analytic requirements which are capable of
producing data that will meet the quality required by the
data quality objectives.
Chain of Custody in the Lab
Each EPA laboratory has procedures to assure that the
chain of custody that was established in the field is
continued in the lab. Generally, this includes a new (or
continued) sample numbering system for samples in the
laboratory and controlled access to the samples, including
logbooks showing who has had custody of the samples.
Laboratory Analysis 5
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE/DISCUSSION
(15 min.)
LABORATORY CAPABILITIES
In this portion, present a
brief, non-technical
discussion of some of the key
types of analyses that can be
performed by the laboratory
and the kinds of equipment
used.
Provide about 5 minutes at
the end for inspectors to ask
specific questions about the
laboratory or laboratory
procedures.
Explain some of the key equipment and analyses that can be
performed at the EPA laboratory.
Solicit questions from the group related to sample analysis.
DISCUSSION (15 min.)
INTERPRETING ANALYTICAL RESULTS
Distribute the handout you
have prepared showing one or
more formats for reporting
analytical results from the
Regional lab. Explain how to
read them.
Inspectors should be able to read and interpret analytical
results and to incorporate them meaningfully into an
inspector report.
Each laboratory has its own format(s) for reporting
analytical results. I am distributing some sample reports
from our lab.
Explain how to read the reports.
Data Evaluation
The data from sample analysis must be evaluated before any
conclusions can be drawn. This is usually done through
statistical analysis.
There are a variety of statistical methods that can be used,
but inspectors are cautioned that each will produce
different and sometimes contradictory results.
Laboratory Analysis 6
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
Use the example on pages Your text on pages 18-14 through 18-15 contains a good
18-14 through 18-15 of the illustration of what happens with different types of
text to illustrate how statistical analysis. Read it for a few minutes, and then
different methods result in we'll walk through it.
different conclusions. Give
the trainees about five Walk through the example, answering questions as needed.
minutes to read the text, and Remember, decide what limits or standards are going to be
then walk through the applied before evaluating data.
example, answering questions
as needed.
Laboratory Analysis 7
-------
SESSION 11: LABORATORY ANALYSIS
Laboratory Operations
Laboratory Capabilities
Interpreting Analytical Results
Text: Chapter 18
OVERHEADS 11-A
-------
12: Records Inspection
-------
SESSION 12
TOPIC: RECORDS INSPECTION
INSTRUCTOR'S OVERVIEW
Time: 90 minutes
Purpose
Present key elements of reviewing records
Key Points
Ability to follow the paper trail is a key inspector skill.
Advance Preparation
Text reference Chapter 12.
Prepare problems as handouts if to be discussed by small groups.
Equipment
Overhead projector
List of Visuals
12-A -- Topic Summary
12-B -- Problem A
12-C -- Problem B
12-D -- Problem C
12-E -- Problem D
12-F -- Overview of Records Sampling Steps
12-G -- Sampling Techniques
List of Handouts
12-1 -- Sample Manifests
12-2 -- Sampling Strategy Problems
Suggested Teaching Outline
Lecture: Conduct of Records Reviews 20 minutes
Exercise/Discussion: Records Review Problems 30 minutes
Lecture: Records Sampling Techniques 20 minutes
Exercise: Sampling Strategy Problems 20 minutes
Records 1
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Overhead 12-A
Topic Summary
Introduce yourself, including your background and EPA
experience. This session will cover records review -- the
purposes and some techniques.
LECTURE (20 min.)
CONDUCT OF RECORDS REVIEWS
Purpose of Record Reviews
Inspecting records for compliance purposes is an art; these
investigative skills are largely developed through
experience.
Purposes of records reviews are:
• To determine whether records required by statute or
regulation are being maintained
• To substantiate compliance or non-compliance
Plan what types of recourds should be reviewed before you
go on-site. Types of records that might be reviewed
include:
• Annual reports
• Production records
• Shipping records/manifests
• Inventory records
• Sales records (invoices, receiving records, etc.)
• Process records
• Quality control records
• Disposal records
• Labels and literature
• Permits -- State, local, and Federal
Records 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Distribute manifests (Handout
12-1). Let group review the
manifests until someone
identifies the problem.
• Correspondence
• Exemptions
• Personnel records
• Self-monitoring records
• Operation and maintenance records
• Real property records
During a records review the inspector should:
• Compare current with past reports for possible
discrepancies or false reports
• Check for completeness and accuracy of required records
and reports
• Ascertain compliance with record retention requirements
• Compare information contained in the records with first-
hand observations; compare information in computer
files or printouts with other written documents.
What do these records show?
If no one is able to spot the problem right away, note that
RCRA allows waste haulers to hold shipments for no longer
than 10 days. Dates indicate that material was held too
long.
Manifest No. Date Shipped
MIO649382 1/7/87
MIO649386 2/11/87
MIO649387 2/27/87
Date Delivered
1/29/87
3/3/87
3/12/87
It is crucial that the inspector know what records the
facility is required to keep.
Records 3
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Documentation of Records Copied
Ability to positively identify particular records copied or
taken is essential -- each inspector should use a system that
enables him/her to easily verify their validity.
Each record copy should be identified with:
• Inspector's initials or code, and date.
• Unique document identification number.
Document copies obtained during the inspection should
then be entered in the field logbook by a logging or coding
system based on the two above elements. The logbook
entry should also include:
• Reason for obtaining document
• Source of document
• Physical location of original document
EXERCISE/DISCUSSION
(30 min.)
RECORDS REVIEW PROBLEMS
Ask the group to discuss how
they would approach these
problems.
Deciding what records to review and how is an art. There
are no right or wrong answers.
Following are some typical compliance questions an
inspector might need to answer, at least in part through
records review.
Records 4
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 12-B
Problem A
Overhead 12-C
Problem B
Overhead 12-D
Problem C
Overhead 12-E
Problem D
Problem A
• A company has not submitted any reports of exceeding
its discharge permit limits. Your inspection of the
facility indicates poor operation and maintenance of
pollution control equipment, leading you to suspect that
it may have failed. You want to determine whether
there were any excursions that should have been reported
to EPA. What records would you look at? What would
you be looking for? What evidence would you need to
collect?
Problem B
• The Agency has a tip that a company has begun
manufacturing and distributing a new chemical (di-
benzo-horrible) before completing the required
premanufacture review process (e.g., TSCA or FIFRA).
What kinds of records and documents would you look
for? What other evidence might there be? How would
you approach an inspection to see whether a company
was making a new product if the Agency had no tip?
Problem C
• A company's records regarding storage of hazardous
waste are sloppy and incomplete. You can easily
document the violation of recordkeeping requirements,
but you suspect they are storing for much longer than
the allowed period. What records might help to confirm
or refute this suspicion -- by their presence or absence?
What could you collect for evidence?
Problem D
• A citizen has notified the Agency that a dredging
company has alledgedly disposed of dredged material
into wetlands owned by the town of Clarksville. What
records might help to confirm this allegation? What
evidence would you need to collect?
Records 5
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE (20 min.)
RECORDS SAMPLING TECHNIQUES
Overhead 12-F
Overview of Records
Sampling Steps
When there are too many items (e.g., records, documents,
individual data entries, pieces of equipment) to be
reviewed, sampling techniques are used to select a portion
of them that will allow reasonable conclusions about the
facility's compliance to be drawn. We are focusing here on
statistical methods as an auditing technique, not as a method
for assuring statistical reliability.
The advantages of sampling, as against complete coverage,
are: (i) sampling saves money; (ii) sampling saves labor; and
(iii) sampling saves time.
Our focus in this session will be on records review,
although the principles and methods can apply to selecting
samples from a population of any kind.
Overview of Sampling Steps
The basic steps in drawing a sample of records are:
1. Determine objective for the records review
2. Identify total population - all relevant records
3. Select sampling method
4. Determine the sample size
5. Conduct sampling
6. Document the sampling methodology.
Records 6
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
Each of the basic steps is discussed in more detail below.
1. Determine the objective for this particular review --
e.g., compliance with required hazardous waste training
for employees.
2. Identify the total population subject to review, that is,
all relevant records, people, equipment (e.g., all
employees who should have received hazardous waste
training). Identify whether there are groups within the
population that are of particular interest (e.g., new hires,
temporary employees, employees, on different shifts).
3. Select the sampling method. The key point in selecting a
sampling method is to think systematically.
• If the inspector suspects a problem, the records
review should focus on documenting that problem.
Records should be selected that are most likely to
illustrate the problem or contain the information
needed to document the problem. Sampling is
directed to the segments of the population where
probelms or deficiencies are likely to exist. For
example, the inspector may have learned during the
opening conference that in the previous three months
there had been a turnover of personnel responsible for
maintaining air pollution control and monitoring
equipment. Based on this information, the inspector
might decide to focus sampling activities on those
three months. This sampling method is based on the
inspector's judgment and hunches.
• If no problem is suspected or the nature of the
problem is unknown, the inspector's judgment is not
helpful in selecting records for review. In this case,
the inspector needs to choose a method for selecting
records that is most likely to detect any problems that
exist. Therefore, he or she wants to look at records
that represent all (or a majority) of the remainder of
the materials that cannot all be reviewed.
Records 7
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
Overhead 12-G Sampling Techniques
Sampling Techniques
These techniques are discussed in the manual on pages
12-10 through 12-18.
• Random Samples - Each item in the population has an
equal chance of being included in the sample; items
are picked without bias.
The basic type of random sampling, simple random
sampling, is obtained through a process similar to
putting everyone's name on a slip of paper, and, while
blindfolded, drawing only a specified number of slips
(names) from the hat.
One of the principle advantages of the simple random
sample is that you may stop at any point in the
selection of the sample with the assurance that the
sample is as representative as possible for a sample of
that size. A small sample may be drawn and, if it
proves to be too small to obtain the amount of
accuracy needed, it may be enlarged one item at a
time until the needed amount of accuracy is reached.
In other types of sampling, it is necessary to decide in
advance the exact size of sample needed; and during
the process of selection the sample does not become
truly representative until all sample elements have
been drawn.
• Systematic or Interval Sampling is a variation of
simple random sampling that does not require using a
table of random numbers. Every fifth, tenth, or
fiftieth item is selected based on a random starting
point.
To generate a systematic or interval sample, the
inspector must first decide on sample size. Divide the
desired sample size (e.g., 50) into the total number of
items (e.g., 500) to determine the sampling interval
(e.g., 50/500 = 1/10); thus the interval will be to
select every tenth item.
Records 8
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
• Stratified Sampling involves breaking the population
in subgroups or categories based on relevant
characteristics. Then, the random or interval
techniques are applied to these subgroups. More
records can then be sampled from subgroups believed
to be potential problems.
• Block Sampling is used to select groups of records.
For example, instead of examining all waste sample
analysis reports, select only reports produced on a
given day or date of the week (e.g., all analyses
performed on Wednesdays) over a period of time.
• Judgmental Sampling is frequently used when the
inspector has reason to suspect that a violation or
violations may occur. The inspector focuses review of
records around the suspected problem.
4. Determine the Sample Size based upon the inspector's
judgment, time, and resource constraints. A suggested
approach for determining minimum sample size is in the
manual, Chapter 12.
5. Conduct Sampling based upon the selected approach and
determined sample size.
6. Document the Sampling Methodology used in the field
logbook, including:
• The population, subject, or topic under review, and
why that population was selected
• Sampling method employed and why that sampling
method was used
• Any potential bias in the sample selected
• The sample size and reasons for selecting that sample
size
• How the sample was actually selected
• The results of the sampling (unless physical samples
that require laboratory analysis) at a period at a time.
Records 9
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
EXERCISE (20 min.)
SAMPLING STRATEGY PROBLEMS
This exercise is designed to
stimulate discussion of
various ways a large
population of items can be
approached based on the
amount of time available and
purpose of the review.
Distribute Handout 12-2.
You may either assign
problems to small groups of
trainees or discuss each
problem as a group. If small
group problem-solving is
chosen, reconvene the class
after 10 minutes and have
someone from each group
explain the logic of the
group's approach.
If the full class is to discuss
each problem, allow about 3
minutes for them to read the
problem before discussing.
Some points you may wish to
raise if not brought out by
the group are shown in the
Suggested Content column.
Note: During the discussion,
trainees might suggest
methods other than or in
addition to records inspection
to investigate. This is a
desired outcome; it signifies
they are thinking like
investigators.
Inspectors are often confronted with more items than they
can actually review or inspect in the time available.
The problems I am distributing to you simulate inspections
for which the use of sampling methods as an auditing
approach might be useful.
We are not looking for statistical reliability here; rather, we
are looking for a sampling strategy that will give us a
reasonable conclusion about compliance.
Points to raise if not brought out by discussion:
1. Dumpstump Inc.
Are all employees in the files (e.g., part-time, new hires,
day and night shift)?
Are there some groups more likely to not have been
trained (e.g., new hires, old employees, night shift, part-
time)?
No sampling method is most ideal:
Interval sampling useful as random method; block
sampling not so useful but could, for example, pick all
files in a letter of the alphabet.
Judgmental sample based on length of employment,
shift, etc., could focus on more likely violations
(categories selected should be able to be identified
without looking at individual files or the purpose is
defeated; e.g., length of employment on a separate
company roster).
Records 10
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
2. The Spewforth Company
Extensive amount of log entries:
3 samples twice a week = 6 per week
6 x 104 weeks = 624 entries
Possible sampling strategies:
Block method -- check all entries in a sample of weeks
or sample of months.
Interval method — review every nth entry.
Combine block with interval — check every nth entry in
a sample of months or weeks (e.g., all entries in second
week of the month).
Judgmental -- attempt to learn more about neighbors'
complaints (e.g., did they occur in a particular time of
year) and focus there, or determine when production
output is highest.
Records 11
-------
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-------
HANDOUT 12-2
SAMPLING STRATEGY PROBLEMS
1. Regulations require that ajl employees of Dumpstump, Inc., complete a training course --
within two months of being hired --on how to handle hazardous material safely. Your task
is to find out whether the company has complied with these regulations. Agency records
indicate that the company employs 525 people. You plan to review records and then conduct
follow-up interviews with several employees to verify the records. You have approximately
one hour to complete the records review portion of this task.
Dumpstump officials tell you that each employee's personnel file has a record in it showing that
the required training has been completed. Company officials show you a file cabinet that they
say contains all of the personnel files, organized in alphabetical order by employee name. There
are 389 files.
What factors would be important to supporting a reasonable conclusion about compliance at the
firm? What are the potential biases in the files? How might the discrepancies between the
number of personnel files and the Agency's records regarding the number of employees be
explained? Is there a particular category(ies) of employee that you want to focus on? Is there
any category of employee that you want to exclude? Which sampling method or methods could
you use to select specific records for review? How would you select the individuals to be
interviewed?
2. The Spewforth Company is required to submit a written report to the Agency if it has had a
minor discharge exceeding its permit limit; these reports must be submitted within five working
days of the end of the month. Major discharges must be filed within five days of their
occurrence. Spewforth's permit requires them to take and analyze discharge samples from three
locations twice a week, and to maintain records of the sampling and results for Agency review
upon request.
In the past 24 months, the Agency has received only one monthly report about a minor
exceedance; no major discharge was reported. The last inspection of the facility took place
more than two years ago. Although the Agency has no direct knowledge that discharge
exceedances have occurred, neighbors have complained that orange-colored, smelly liquid comes
out of the pipe once in awhile — but no dates were given.
The company keeps logs of its sampling activities and analytic results. Your period of interest
is the previous two years. Since three samples are (supposed to be) taken each week, the logs
are far too extensive to allow for review of all entries. How could you go about selecting log
entries for review?
Records (Handout) 4
-------
SESSION 12: RECORDS
INSPECTION
Conduct of Record Reviews
Records Sampling Techniques
Text: Chapter 12
12-A
-------
PROBLEM A
A company has not submitted any reports of exceeding its discharge permit
limits. Your inspection of the facility indicates poor operation and
maintenance of pollution control equipment, leading you to suspect that it
may have failed. You want to determine whether there were any
excursions that should have been reported to EPA.
What records would you look at?
What would you be looking for?
What evidence would you need to collect?
OVERHEADS
-------
PROBLEM B
The Agency has a tip that a company has begun manufacturing and
distributing a new chemical (dibenzo-horrible) before completing the
required premanufacture review proces (e.g., TSCAor FIFRA).
What kinds of records and documents would you look for?
What other evidence might there be?
How would you approach an inspection to see whether a
company was making a new product if the Agency had no tip?
OVERHEADS 12-C
-------
PROBLEM C
A company's records regarding storage of hazardous waste are sloppy and
incomplete. You can easily document the violation of record-keeping
requirements, but you suspect they are storing for much longer than the
allowed period.
What records might help to confirm or refute this suspicion —
by their presence or absence?
What could you collect for evidence?
OVERHEADS 12-O
-------
PROBLEM D
A citizen has notified the Agency that a dredging company has allegedly
disposed of dredged material into wetlands owned by the town of Clarksville.
What records might help to confirm this allegation?
What evidence would you need to collect?
OVERHEADS 12-E
-------
OVERVIEW OF RECORDS SAMPLING
1. Determine objectives for sample
2. Identify total population
3 Select sampling method
4. Determine sample size
5. Conduct sampling
6. Document the sampling methodology
OVERHEADS 12-F
-------
SAMPLING TECHNIQUES
• Judgmental Samples
• Random Samples
• Systematic or Interval Sampling
Stratified Sampling
Block Sampling
OVERHEADS 12-G
-------
13: Interviewing
-------
SESSION 13
TOPIC: INTERVIEWING
INSTRUCTOR'S OVERVIEW
Time: 75 minutes
Purpose
Present basics of planning, conducting, and documenting interviews
Demonstrate interview techniques through role play (note: this role play is crucial to the session)
Improve trainee interviewing skills through discussion of techniques and practice
Key Points
The person you are interviewing knows more than he or she thinks.
Advance Preparation
Review text Chapter 14.
Select experienced inspectors to play the roles in the scenario. Give them Handouts 13-1 and
13-2 and allow them time to prepare for the presentation.
Equipment
Overhead projector
List of Visuals
13-A — Topic Summary
13-B -- What is wrong with these questions?
List of Handouts
13-1 -- Interview Scenario Instructions (Mr./Ms. Functionary)
13-2 — Interview Scenario Instructions (Mr./Mrs. Candoo)
Suggested Teaching Outline
Lecture/Discussion: Conducting Interviews • 40 minutes
Role Play Exercise 20 minutes
Discussion of Exercise 15 minutes
Interview 1
-------
INTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Overhead 13-A
Topic Summary
Introduce yourself, including background, EPA experience
and your role in the course. After discussing the steps in
planning and conducting an interview and tips for
improving interview skills, we will have a demonstration to
show what you can learn from an interview.
DISCUSSION (40 min.)
CONDUCTING INTERVIEWS
Try to encourage participa-
tion throughout this session.
Demonstrate techniques for
eliciting information through
your questioning of the
group.
Purpose and Products of Interviews
Interviews can provide valuable information to develop
leads, provide evidence, or assist in cross-examination.
Oral or written statements are generally admissible in court.
The results of interviews can be an affidavit, verbatim
record, unsworn statement, or informal notes.
The most productive interviews are those in which the
interviewee feels comfortable and respected. The
atmosphere should not be adversarial. Some tips for
improving the "climate" for the interview are:
• Attitude: Be courteous and open-minded; avoid
comments that could be taken as threatening.
• Setting: Conduct the interview in a setting where the
interviewee feels comfortable and make sure that there
is sufficient privacy.
• Non-verbal cues: Shake hands, maintain eye contact,
and keep adequate distance.
• Pace: Give the interviewee time to think about his/her
responses; don't be afraid of short silences.
• Questioning: Avoid leading questions or use of gestures
or words that indicate positive or negative response to a
statement by the interviewee.
Interview 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask the group to suggest
specific tecniques for getting
the most out of an inter-
viewee. Try to encourage the
group to suggest responses to
these questions.
Planning, Conducting, Documenting the Interview
What are key steps in planning interviews?
• Identify interviewees based on their responsibilities.
• Schedule interviews at times convenient for
interviewees.
• Set objectives for each interview and identify
information sought from each interviewee.
What are key steps in conducting interviews?
• Establish a positive climate and rapport with the
interviewee.
• Ask the interviewee to describe his/her responsibilities,
particularly in reference to the topics being reviewed in
the inspection.
• Gather detailed information about specific topics.
• Verify information with the interviewee.
How can the interview be documented?
• Formal affidavit or written statement
• Written notes
• Tape recording (although this is less desirable).
Techniques for Improving Interviewing Skills
The types of questions to be asked include:
• What happened?
• When did it happen?
• Where did it happen?
• Why did it happen?
• How did it happen?
• Who was involved?
Interview 3
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask the group to critique the
following hypothetical
questions.
Overhead 13-B
What is wrong with these
questions?
What are key elements in formulating questions?
• Be precise
• Be clear and as simple as possible
• Encourage a narrative answer, not a yes or no
• Avoid leading questions
• Avoid double negatives and other complex phrases
• Limit the question to one subject.
What is wrong with these questions?
• Didn't you see the unmarked drums on the loading
dock? (leading; yes/no response)
• What did you do when you discovered the unmarked
drums on the loading dock? (leading)
• Why were you on the loading dock and what did you do
when you left? (too many points in a single question)
• Are most drums around the facility generally marked
correctly? (imprecise, does not yield useful information)
Key elements in sequencing include:
• Work from the general to the specific
• Work backward in time (and what did you do before
that?)
• Work from the known to the unknown (Ql: What means
of transportation did you use? A1: A car. Q2: Who
drove? A2: I did.)
Interview 4
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Useful tools in helping the interviewee to estimate
quantities more accurately include:
• Use simple reference points (one-half mile downstream
from City Hall)
• Relate to commonly observed quantities (a truckload, a
given number of barrels)
• Compare to similar items (further than from here to that
wall, more than that group of drums over there)
Questioning methods include:
• Free narrative, an account given by the interviewee
with little or no prompting or questioning
• Systematic questioning, designed to elicit information in
a particular sequence.
ROLE PLAY EXERCISE
(20 min.)
INTERVIEW SCENARIO
Select experienced instructors
to play roles and allow them
time to prepare.
Give all trainees a copy of
Handout 13-2 so they will
know what the inspector is
looking for.
Conduct the scenario.
Interview 5
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
DISCUSSION (15 min.)
ROLE PLAY DISCUSSION
After the role-play, discuss
the interview's strengths and
weaknesses. Among the
questions you might wish to
pose are:
Role Play Discussion
• Overall, what went well? What did not?
• How well did the inspector open the interview? Did
he/she try to make the employee feel more
comfortable? What worked or didn't work?
• What techniques did the inspector use to probe for
answers?
• Did the inspector over-use or under-use any particular
type of question?
• Was the inspector's note-taking obtrusive?
Interview 6
-------
HANDOUT 13-1
INTERVIEW SCENARIO
Instructions for Mr./Ms. Functionary:
You work at a hazardous waste facility that is allowed to accept only certain types of wastes. You
are a low-level employee. It is your responsibility to stop trucks when they arrive, be sure that their
manifest paperwork is in order, and log in the shipments. After they are finished with you, you send
the trucks on to Mr. Zyleen, who works in a different building. You don't know what happens
after that.
You have never been interviewed by a government official before, and you are afraid that you might
have done something wrong. Further, you're afraid you'll get fired if you say something that will
get the company in trouble.
You should let important pieces of information slip out "unintentionally" such as, your post is
unattended if you go to the restroom or to get a snack. Demonstrate to the group that important
information can be obtained by a good interviewer who listens carefully.
Interview (Handout) 1
-------
HANDOUT 13-2
INTERVIEW SCENARIO
Instructions for Mr./Mrs. Candoo:
This is a small, commercial hazardous waste facility with a permit to dispose of only certain types
of wastes. The facility has a history of record-keeping violations, and the Agency has reason to
suspect that unpermitted wastes are being disposed of there. You are going to interview Mr./Mrs.
Functionary, having been told that this is the first employee to have contact with waste trucks when
they arrive and "keeps the records."
You are looking for clues to where the company's system might be breaking down. You want to
know, for example:
• Whether it is possible for a truck to get past Mr./Ms. Functionary without stopping. (What if
he/she takes a break to go to the restroom?)
• How the company's logging system works, where the facility's copy of the manifest goes, and
who (if anyone) reviews the logging and filing system.
• Who is responsible for making sure that the wastes listed on the manifest are allowed to be
accepted by the facility.
• What kind of training Mr./Mrs. Functionary has had.
• Where the trucks go after they see Mr./Mrs. Functionary.
As the inspector, you will need to take notes during the interview so that you can reconstruct later.
Interview (Handout)2
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SESSION 13: INTERVIEWING
Planning and Conducting an Interview
Techniques for Improving Interview Skills
Interview Scenario
Text: Chapter 14
OVERHEADS 13-A
-------
WHAT IS WRONG WITH THESE
QUESTIONS?
Didn't you see the unmarked drums on the loading
dock?
What did you do when you discovered the umarked
drums on the loading dock?
Why were you on the loading dock and what did you do
when you left?
Are most drums around the facility generally marked
correctly?
OVERHEADS 13-B
-------
14: Observations/Photographs
-------
SESSION 14
TOPIC: OBSERVATIONS/PHOTOGRAPHS
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose
Present procedures concerning recording and documenting observations
Present tips for improving techniques
Key Points
Photographs are excellent evidence.
Advance Preparation
Text reference Chapter 15.
While a set of photographic slides and drawings is provided, experience has shown that this session
works best if the instructor is personally familiar with the visual illustrations and what they
represent. For this reason, it is recommended that the instructor prepare his or her own visuals to
augment or substitute for the ones that are provided. Ideally, they should include photographs and
other visuals that were good for evidence purposes and those that illustrate a particular problem in
technique.
The instructor should be prepared to answer questions regarding what cameras are typically used for
inspections in the Region.
Equipment
Overhead projector
Slide projector
List of Visuals
Photographic slides
14-A -- Topic Summary
14-B through 14-G -- Overheads of drawings and illustrations
Suggested Teaching Outline
Lecture: Introduction 5 minutes
Lecture: Tips on Photographs 20 minutes
Discussion of Slides 20 minutes
Lecture: Tips on Other Techniques 15 minutes
Observations 1
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE (5 min.)
INTRODUCTION
Introduction
Overhead 14-A
Topic Summary
Introduce yourself, including background, EPA experience,
and your role in the course.
As we discussed yesterday, the notes you take in your field
logbook are the core documentation of every inspection.
You should write down what you see, hear, feel, or touch.
In addition to your notes in the field logbook, there are
several other ways to record your visual observations during
the inspection:
• Photographs
• Drawings
• Maps
• Schematics
• Diagrams
Of course, when you use these techniques, make notes in
the field logbook so that they can be properly identified.
In this session, we will discuss the importance of this type
of documentation, and will present some tips for improving
your skills.
Why are these techniques for recording visual observations,
especially photographs, important?
• They show a person who was not at the site what was
there (such as your supervisor, the attorney on the case,
the judge).
• They support other evidence and enhance credibility.
• They can be evidence in and of themselves.
• They can help in jogging the inspector's memory.
Take as many photos as you can -- you can never have too
many!
Observations 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE (20 min.)
TIPS ON PHOTOGRAPHS
Photographs are excellent physical evidence. To be
admissible, they must "fairly and accurately represent" what
the inspector saw on-site. The inspector does not need to
have taken the photos himself.
Inspectors have a right to photograph anything. If the
facility restricts the inspector's ability to photograph, it is
considered a denial of consent.
There may be sensitivity about confidential information
that is not relevant to the inspection in a picture. Although
you have the right to take it, you may want to shield it
before taking the picture.
The inspector should be comfortable with his/her camera,
and should not attempt to use a camera that is beyond
his/her capabilities. Single lens reflex and instamatic
cameras are generally the simplest. In general, the best film
for inspections is high-speed color print film.
Documentation
Photographs should be documented in the field logbook.
Some inspectors use a separate photo log to record this
information. If an instant camera is used, some
documentation can be written on the back of the photo
itself.
At a minimum, documentation should include information
indicating:
• The location where the picture was taken (facility name,
exactly where at the site the picture was taken);
• Date and time the photograph was taken; and
• An identifying number or other means for matching the
photo with the particular inspection and particular
location and activity at the site.
Observations 3
-------
INSTRUCTOR NOTE SUGGESTED CONTENT
If relevant or necessary to explain the picture, notes can
also include:
• Lighting and weather conditions;
• A brief description of the scene;
• The number(s) of any related physical samples; and
• Any special filters or lenses that were used.
If the inspector is not using a standard camera and film, it
can be useful to also record a description of the film used,
type of camera and attachments, focal length of the lens,
F-stop, and shutter speed.
(Additional documentation may be needed for some
programs such as stationary air. Consult program-specific
guidance.)
Each inspector should develop a system that is quick and
easy for recording this information. Do not allow a
cumbersome system to discourage you from taking
photographs.
"Tips" on taking photographic documentation:
• Place a common item next to the item of interest to
indicate size and scale.
• Photograph all sides of an object if necessary to
document violation.
• Taking several photographs of an item using different
settings for shutter speed and depth of field if lighting
conditions are poor.
Videotape equipment is not readily available for inspectors
but may become more widely used. Similar instructions
would apply.
Observations 4
-------
INSTRUCTOR NOTE
SUGGESTED CONTENT
DISCUSSION OF SLIDES
(20 min.)
WHAT'S WRONG WITH THIS PICTURE?
Use the nine slides of photos
from EPA inspection reports
or select from among them.
The purpose is to offer tips
on taking good quality
photographs. You may use
your own slides in addition to
or in place of the slides that
are provided and are
discussed here.
Slides 1-5 are photos from a
RCRA inspection at a
hazardous waste generator.
What is in the photo:
1) Collection of waste paint
and paint thinner
2) Hazardous waste storage
area
3) Drum label waste rubber
tile
4) Hazardous waste label
5) Hazardous waste label
I am going to show you photographs from EPA RCRA and
NPDES inspection reports.
I am going to offer tips on getting good quality photos
under some of the conditions you are likely to encounter in
the field.
Comments on photos:
Use of flash with strong backlighting resulted in labels
showing clearly.
Strong natural light from left can overly affect exposure,
but proper exposure shows drums in shadows at far right.
Comparison of labels: overexposure.
Too far away, so too small to read.
Good combination of size and exposure.
Observations 5
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Slides 6-9 are photos from a
NPDES Diagnostic Inspection
at a POTW.
6) Influent and bypass
channel with weir sub-
merged (Evidence of
overflows)
7) Close-up influent and
bypass channel
8) Aerobic digester
9) POTW
Good photo. Very bright day highlights shadow and light.
Don't shoot into the sun.
Nice sequence. Shows water going over weir into bypass
channel.
Better vantage point on digester from above, rather than at
ground level.
View from above may be more advantageous.
LECTURE (15 min.)
TIPS ON OTHER TECHNIQUES
Drawings, sketches, and maps can provide useful
clarification and could include:
• Schematic drawings of equipment.
• Simplified diagrams or schematics to clarify items
photographed.
• General map of the facility.
• Map showing where photos and samples were taken.
• Map showing where potentially non-complying situations
were observed.
• Map showing layout of a particular part of the facility.
Observations 6
-------
INSTRUCTOR NOTES
SUGGESTED CONTENTS
These illustrations are from
USEPA inspection reports;
some are computer-generated,
others are handmade. You
may use other material in
addition to or in place of
these illustrations.
Overhead 14-B
Mark-up of an Architectural
Drawing
Overhead 14-C
Drawing of a river segment
showing the mile post
Overhead 14-D
General Schematic
Overhead 14-E
Specific Schematic
Overhead 14-F
Map shows relationship of
inspector to the stack and
boiler house
Overhead 14-G
Drawing of a Landfill
In some situations very detailed maps are needed. Such
maps must be prepared by technical experts.
Tips on drawings, diagrams, schematics, maps:
• Keep illustrations as simple as possible.
• If possible, draw to scale and note lengths, heights,
distances, etc. on the illustration.
• Note colors or textures if relevant.
Diagram showing water sampling locations and sample
numbers for a NPDES Compliance Monitoring Inspection at
a municipal wastewater treatment plant.
Map of a stream segment showing the sampling sites for a
study of the levels and fate of pollutants discharged from a
municipal wastewater treatment plant to a river. Water and
sediment sampling occurred at sites above and below the
plant.
Illustration of testing locations for Stack Test Observation at
a boiler house.
Illustration of the sampling location for Stack Test
Observation at a boiler house.
Sketch of the site for Visible Emissions Observations at a
boiler house.
Sketch of locations for RCRA waste sampling of a
dust/slurry mixture at a company landfill.
Observations 7
-------
SESSION 14:
OBSERVATIONS/ PHOTOGRAPHS
Photographs
Other Techniques
Text: Chapter 15
OVERHEADS 14-A
-------
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? Primary Oanlicalicn
3 npuiing, Biological Contactors
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6
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10 Fiitei Backwash Holding
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I? Eliiiiem 10 Honey C
13 Primary Sludgt
14 Secondary Sludge
IS Ae>ot)rc Oigesto inliueni
<6 Sludge lo land OM>O»*I
K.STILSON
ASSOCIATKS
OtOON »UMM«T: NIW CAM.IM.I WMTf WATMI TMAtlMM
Schematic of the New Carlisle
Wastewater Treatment Plant
o«c 3
S Jk»-» ^ »-««•><•«. Lot <*"f~iO" V
Overhead 14-B
-------
N
Attachment 2
O
-------
ID PAN
TESTING
LOCATION
ELECTROSTATIC
BOILER
ID FAN
TESTING
LOCATION
ILICTHOSTATIC
PNCCIPlTATtm
BOILER
ID PAN
TESTING
LOCATION
ELECTROSTATIC
PHBCIPITATOH
t
BOILER
WRIGHT PATTERSON AFB
FAIRBORN, OHIO
BOILER HOUSE
BUILDING NO. 77«
BOILER
BOILER 1
Overhead 14-D
-------
CYCLONE
WRIGHT PATTERSON AFB
FAIRBORN, OHIO
BOILER HOUSE
BUILDING NO. 770
BOILER
PI
21
.4- SAMPLING LOCATION
PREHEMER
VENT TO STACK
FAN
MEM 6-1-88
Overhead 14-E
-------
N
A
nd
VISIBLE EMISSIONS SITE SKETCH
HRICHT PATTERSON AFB
FMRBORN. OHIO
BOILER HOUSE
BUILDING NO. 770
5-18-88 1116-1816
M. MOLONEY
Ob««rvation Point
KAUFFMAN R0>
No Sun
Sky Overcast
to veal*
Overhead 14-F
-------
N
FIGURE I
Landfill
August 647, *1986
NO SCALE
J L
Overhead 14-G
-------
15: Inspection Reports
-------
SESSION 15
TOPIC: INSPECTION REPORT
INSTRUCTOR'S OVERVIEW
Time: 210 minutes
Purpose
Explain the importance of the inspection report
Discuss the elements of a good inspection report
Provide practical experience in report writing style
Evaluate inspection reports
Key Points
The inspection report should be factual, free of opinions and conclusions of law.
The report should explain in detail what happened on the inspection and substantiate in full any
potential violations.
Advance Preparation
Text reference Chapter 17.
Several options are given for the inspection report evaluation portion of the session. Three actual
inspection reports are provided in these materials, but you may wish to substitute inspection reports
from your Region for one or more of the examples. Another approach would have each inspector
bring a recent inspection report of his or her own for critique; if this option is selected, trainees will
need to be notified in advance.
Equipment
Flip chart and chart paper, or blackboard
Overhead projector
List of Visuals
15-A -- Topic Summary
15-B -- Write to Express
15-C -- Keep it Simple
15-D — Keep the Reader in Mind
15-E — Who?
15-F — What?
15_G -- When?
15-H -- Where?
15-1 — Why?
Report 1
-------
15-J -- How?
15-K -- Avoid the "It" Habit
15-L -- Avoid Careless Pronouns
15-M -- Be Concise
15-N -- Active Voice Problem
15-O -- Action Verb Problem
15-P — Conciseness Problem
15-Q -- Coherence Problem
15-R -- Answer to Request For Information
15-S -- Beginning a Report
15-T — Reporting Interview Results
15-U -- Reason for Inspection
List of Handouts
15-1 -- Inspection Report Evaluation Guide
15-2 -- Inspection Report Samples
Suggested Teaching Outline
Lecture/Discussion: Official Files 15 minutes
Lecture/Discussion: The Effective Inspection Report 45 minutes
Lecture: Checklists versus Narrative Reports 15 minutes
Break
Discussion: Inspection Report Evaluation Guide 30 minutes
Lecture: Tips for Writing an Inspection Report 30 minutes
Lunch Break (but make Exercise assignments before lunch)
Exercise: Critique of Inspection Reports 75 minutes
Report 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
This summary assumes that
trainees were given the
inspection reports to read last
night. If they did not, you
will need to make
adjustments to allow time for
thorough reading of the
reports rather than just
review in class.
Overhead 15-A
Topic Summary
Introduce yourself, including your background and EPA
experience.
Today, we have a long session on perhaps the most
important aspect of being an inspector -- writing the
inspection report.
We will begin with a discussion of what goes into the
official file for an inspection. Then we will discuss the
features of a good inspection report and give you some tips
on how to write reports clearly. Finally, we will critique
the inspection reports that you read last night.
LECTURE/DISCUSSION
(15 min.)
OFFICIAL FILES
The official files related to an inspection or investigation
comprise the Agency's legal documentation of its activities,
and should be treated as potentially admissible evidence in a
legal proceeding.
Components of the Official Files
Historical Records usually are contained in the official files
for the facility or site being investigated. These records
include such things as permit applications, previous
inspection plans and reports, site maps, plans, drawings,
and descriptions.
The Inspection File normally contains all of the records
associated with an inspection; the inspector is responsible
for creating this file and assuring its completeness and
accuracy. Case development personnel need a complete file
to review in deciding whether and what kind of
enforcement responses may be appropriate. All material in
official files should be factual and should not contain
opinion or other extraneous comments.
Report 3
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask the group to list the
items that should go into the
official file for the inspection
record. Record on chart
paper. Be sure to cover the
items in the Suggested
Content column if not raised
by the group.
The types of records that should be kept in the Inspection
File include:
• Investigation Requests (if issued).
• Communications such as official correspondence and
records of telephone and personal conversations.
• Notice of Inspections, if the statute requires a written
notice be presented.
• Verification of Credentials, if the statute requires
presentation of credentials to the owner, operator, etc.
• Inspection Confidentiality Notice for all TSCA
inspections.
• Declaration of Confidential Business Information, if
materials have been claimed as confidential.
• TSCA Confidentiality Clearance References.
• Receipt of Samples and Documents.
• Inspection Project Plan.
• Narrative Inspection Report.
• Inspection Report Form.
• Other Evidence.
• Custody Records.
• Laboratory Analyses, if applicable.
• Subpoena, if issued.
• Warrant, if issued.
• Field Logbook.
Report 4
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE/DISCUSSION
(45 min.)
THE EFFECTIVE INSPECTION REPORT
Proper documentation of an inspection is a key aspect of an
inspector's job. It is the way the inspector communicates
his or her findings from the inspection. If your report does
not communicate your findings well — clearly, accurately.
and convincingly -- then your time has been wasted and
the environment will suffer. If you discover evidence that
indicates serious violations but your report fails to permit
that case to be made, chances are the company will be able
to continue its violation. If, on the other hand, you prepare
a highly effective report, EPA will probably be able to take
strong action and obtain a favorable settlement or court
decree.
In other words, nothing you do is more important than your
inspection report. Government officials and attorneys who
review the report must have all the facts to make
appropriate and effective decisions.
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 objective of an inspection report is to organize all
evidence gathered in an inspection in a comprehensive,
usable manner. The central purpose is to communicate
information to the reader.
• Strive to eliminate any possibility of erroneous
conclusions, inferences or interpretations.
• Focus on the facts. An effectively prepared report saves
time for the inspector and the reviewers by assisting
those who must make the final decision and take action
on the report.
Report 5
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask the group to give reasons
why the inspection report is
important. Record answers
on chart paper or a black-
board. Be sure the points in
the Suggested Content column
are covered if not raised by
the group.
A report must be complete and provide a basis for action.
• If the report is not complete and factual, time will be
wasted in attempting to remedy the situation by making
a supplemental investigation or report, QT the violation
may be lost altogether due to inability to reconstruct the
evidentiary foundation that would allow an enforcement
action to proceed.
• A report is a written record of the results of the
investigation and provides the permanent record which
may later be used as evidence itself or to refresh a
recollection.
• The report serves as a starting point for the next
inspection. It should identify processes, problems, and
areas of particular concern. It also must fully inform
other inspectors who may become responsible for
subsequent inspections.
• The report should identify what processes or parts of the
facility were not examined, if any. This information
will provide assistance for future inspections or return
inspections; it will also make clear the extent of the
evidentiary foundation for any enforcement action that
might be based on the report.
• The report should include surrounding conditions. For
example, the inspector should include facts about a
witness' background if they reflect on the witness'
credibility; and small details that the inspector would not
ordinarily recall six months to a year after doing the
inspection or report.
• Finally, as one long-time EPA manager stated it: "The
quality of your inspection reports can make or break
your career."
Report 6
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INSTRUCTOR NOTES SUGGESTED CONTENTS
Essentials of Good Reports
• Factual. The report should contain only facts. No
opinions, particularly regarding potential violations,
should appear.
• Fair. Inspection reports must be entirely objective,
unbiased, and unemotional.
• Accurate. Be exact. Avoid exaggerations. Omit
opinions, conclusions, and inferences. 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. Avoid superlatives.
• Complete. 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. The report should answer the questions: who,
what, how, when, where, and why related to the
compliance situation. Tips on completeness include:
- The first time they are mentioned in a report, all
individuals should be identified completely by their
first, middle and last names.
- The chronology of occurrences should be stated
clearly.
- The location of the occurrences should be identified
as a definite place.
- Why a situation occurred is particularly significant
with respect to violations where intent is an element
of the offense.
• Source. Always report the source of evidence.
• Exhibits. The report should be complete in that it is one
single document.
Report 7
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Concise. Conciseness means omitting unnecessary words;
it does not mean omitting facts, detail and necessary
explanation.
Clear. Everything in the report must be relevant and
essential to the main purpose of the report. Use specific
and concrete expressions rather than general or abstract
statements.
LECTURE (15 min.)
CHECKLIST VERSUS NARRATIVE REPORTS
Some EPA offices use checklists for routine inspection
reports in lieu of narrative reports.
There are several arguments for and against the use of
checklists.
Proponents of checklists favor them for routine inspections
because:
• They remind inspectors what to look for, what SOPs to
use, etc.
• They are a bare bones record of what happened.
• They are less paperwork.
• The effort involved in preparing a narrative report for a
"squeaky clean" inspection exceeds its value since it may
never be used.
Proponents of routine preparation of narrative reports (or
checklists plus narrative reports) find them valuable for
managerial purposes and legally the safest.
Managerial purposes:
• Assures the inspector knows how to inspect and how to
report, and regularly does these things correctly.
• Provides a baseline for tracking long-term conduct of a
particular inspected entity.
Report 8
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INSTRUCTOR NOTES SUGGESTED CONTENT
• Provides the inspector with experience and practice in
narrative report writing, leading to higher personal
proficiency.
- Forces the discipline of noting or writing down
activities and observations.
- These notes are analyzed and reflected on several
times in preparing a report (first on occurrence,
second when writing down, and third when typing).
- The mental reflection involved in preparing a report
reinforces an investigative attitude in the inspector.
(Why am I writing: No leaks were found? This could
mean many things ... I didn't see anything obvious; I
looked at top, bottom, all sides and didn't see
anything. What did I really do?)
• Checklist has very sketchy information; if the inspector
should leave the Agency, the Agency has no record of
what was learned.
Legal considerations:
Legal considerations are even more crucial, affecting
whether an inspection report can be admitted as stand-alone
hearsay proof.
• A checklist has little weight or credibility. They are
hard to authenticate; cannot authenticate checkmarks
like you can handwriting.
• If there is only a checklist, there is not enough
information for it to stand on its own.
• In short: "He who uses a checklist can expect to be
cross-examined."
(On what basis did you fill in the box, who did you talk
to, who did you see, what did you observe, prove it.)
Unless the inspector has really good notes in the field
logbook, the inspector's testimony is not likely to be
credible.
Report 9
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
Since inspections are the backbone of the enforcement
effort -- the litmus test of a good or desirable inspection
report is:
What will happen in court?
• Case law regarding checklists as a bare bones record
shows there are problems in admissibility on such bases
as:
- Scarce/incomplete information
- Cavalier
- No proof of how the record was made
- What observations the record was based on.
• Conversely, case law on narrative reports show narrative
reports can be admitted as stand-alone hearsay proof
(e.g., without the testimony of the inspector).
• Several Federal Rules of Evidence regarding exceptions
to the hearsay rule apply if it is routine practice to make
narrative reports.
Conclusions:
Use of a checklist alone is very risky:
• Hindsight can never cure an inspection report that has
less in it then prudence would counsel.
• Inspector may forget important observations, statements,
or corroborating details.
• Inspector may have left the Agency by the time a case
comes to trial; a checklist is of virtually no value.
• Inspector may have little independent recollection of the
inspection, but the checklist is not admitted by the court
because it has little or no communicating language in the
inspector's own hand.
Report 10
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
It should be routine practice to develop narrative reports:
failure to prepare a narrative report should be an exception
specifically directed by the supervisor.
A combination of checklist with adequate space for
inclusion of handwritten details is preferable to a checklist
alone, but a narrative report is still better.
An acceptable alternative to writing down notes during the
inspection is to dictate the details of the inspection into a
tape recorder.
DISCUSSION (30 min.)
INSPECTION REPORT EVALUATION GUIDE
Distribute the Inspection
Report Evaluation Guide
Handout (15-1). Using the
Guide, explain the various
elements of an inspection
report and why they are
needed. Allow time for
questions and discussion as
you go along.
There are many different ways to organize an inspection
report. Sometimes events are best organized in
chronological order; other situations might be more easily
understood by some other organizational structure, e.g., by
grouping information about a particular suspected violation
together.
No matter what organization structure is used, the
inspection report should contain information to answer the
questions in the Evaluation Guide I am distributing.
Report 11
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE (30 min.)
TIPS FOR WRITING AN INSPECTION REPORT
Use the overhead slides to
illustrate the writing
principles.
Overhead 15-B
Overhead 15-C
Overhead 15-D
Overhead 15-E
Overhead 15-F
Overhead 15-G
In general, three rules apply to preparation of good
inspection reports:
• Write to express, not to impress.
• Keep it simple.
• Keep the reader in mind.
The "who" in reports.
- All individuals mentioned in a report should be
completely identified the first time the name is
mentioned; including their first, middle, and last names,
if possible.
- The individual should be identified by a brief
descriptive phrase identifying who he is (e.g., whether
plant manager, neighbor, employee, etc.).
- A complete description of the person should be given if
the name or any other identifying information is not
available.
The "what" in reports.
- What happened? It does not mean what could have
happened or might have happened. It means what, to
the inspector's knowledge, happened.
The "when" in reports.
- The when is the date and time of the observation or an
approximation if the exact time is unknown. Time is
usually not critical unless it refers to an observed event
(e.g., a process upset, a sampling procedure).
Report 12
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 15-H
Overhead 15-1
Overhead 15-J
Overhead 15-K
Overhead 15-L
Overhead 15-M
Overhead 15-N
Overhead 15-O
Overhead 15-P
The "where" in reports.
- Where is a definitive place to the exclusion of all other
places. It should be clearly identified so that there is not
confusion or misinterpretation.
The "why" in reports.
- This is the most significant with respect to violations
where intent is an element of the offense (e.g., potential
criminal violation). In such cases, the report writer's
objective is to set forth the facts that show the intent
with such clarity that there is no need for his own
conclusions or opinions to be in the report. If the
suspect or individual states why he did an act, the report
would be factual if it reported: "Jones said that he
dumped it because...."
The "how" in reports.
- Explanation of industrial processes and waste handling
procedures is important for completeness.
- Conjecture about "how" things might have occurred
should be avoided. (But possible violations should be
noted.)
Writing Tips
• Avoid the "It" problem. Careless use causes ambiguity;
"it" and "there" should not be substituted for precise
word selection.
• Avoid careless pronouns. This too causes ambiguity.
• Be concise. Conciseness does not mean omission; it is
avoidance of all that is not essential.
• Avoid passive voice.
• Use action verbs.
• Avoid wordiness. Use short, simple sentences.
Report 13
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 15-Q
Overhead 15R-15U
• Be sure your meaning is clear.
• Be clear, to the point. Note the improvements in these
examples.
• Avoid jargon. Explain abbreviations and technical
terms.
EXERCISE (75 min.)
CRITIQUE OF INSPECTION REPORTS
The purpose of this exercise
is to give inspectors
experience in critiquing
inspection reports, using the
Inspection Report Evaluation
Guide (Handout 15-1) as a
tool for doing so.
The instructor materials
contain three actual
inspection reports as a
handout (Handout 15-2).
Critical comments from
inspector supervisors on these
reports are included in the
Suggested Comment column.
(You may wish to substitute
one or more reports from
your own Region, or have
each inspector bring a recent
report of his or her own.)
Give the instructions for the
exercise and make group or
partner assignments before
breaking for lunch. This will
give those who have not read
the reports some extra time
for reading them. It will also
allow discussions to begin
over lunch for those who
have already read the reports.
Explain how this exercise will be conducted, including the
time that individual reading time (or group discussion, as
appropriate) will end.
Report 14
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INSTRUCTOR NOTES SUGGESTED CONTENT
There are several ways to
conduct this exercise. In any
approach, be sure to leave
enough time at the end for
discussion of what was
learned.
Option A. Distribute the
three inspection reports the
night before so that trainees
can read them before class.
This will limit the amount of
class time needed for reading
and will allow for each
trainee to become involved in
critiquing all three reports.
Option B. Divide the trainees
into three groups, and have
each group focus on only one
report during the class. The
instructor would meet
individually with each group
to give feedback. Then there
would be a wrap-up at the
end at which highlights from
each group would be
discussed. The advantaged of
this approach is that there
would be time for more in-
depth analysis. The
disadvantage is limited cross-
fertilization between groups.
Report 15
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Option C. Have each
inspector bring in a recent
inspection report he or she
has written. Each inspector
would be paired with another
to evaluate and then provide
feedback to each other on
their reports. The advantage
to this approach is the
personal feedback. Dis-
advantages are that some
trainees may not have
prepared an inspection report
yet; others may find this
approach threatening. This
option also requires notice to
trainees in advance of the
course.
Option D. Critique the
inspection reports that are
provided briefly, and then go
into the trainee pair
approach.
Option E. Use a combination
of features from the various
approaches.
The Suggested Content
column contains comments
from supervisors of inspectors
about two of the three
inspection reports that were
provided as handouts. They
can be used to help stimulate
group discussion, and to see
if trainees came up with the
same or different problems
with the reports.
Report A: Castings Manufacturing, Inc.
What problems did you identify with this report?
• Author not identified
• Titles of Sleuth, Tweed, and Heard not provided
• Location of landfill unclear
• Sample collection locations not always noted
• Sampling methods not always noted
Report 16
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
• No documentation of proper entry -- they may have
been trespassing
• No observations of inside of facility
• Mr. Apple and Mr. Banana not well identified (title)
• Mr. Donut not well identified (title)
• Reason for discarding one jar not specified
• Text and table are inconsistent (see SI 1)
• Poor sketch (no scale, no road name)
• Date on analysis not provided.
If you were this inspector's supervisor, what would you tell
him or her?
Report B: Gritty Wrecking
What are the good parts of this report?
• Thoroughness
• Day-by-day sequence
• Attachments were complete
• Describes neighborhood
• Lots of photographs
• Checked with relevant authorities
• Chain of custody
Report 17
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INSTRUCTOR NOTES
SUGGESTED CONTENT
If Option C or D is used,
provide time at the end for
inspectors to discuss what
they learned about their own
(not their partner's)
inspection report.
What problems are there?
• In narrative, somewhat vague on some sample
locations -- the table is clearer
• Report contains opinion and conjecture
• No diagram of facility
• Did not sample some dry material that was being
removed
§ Did not identify Mr. Lip clearly
• Did not describe proper entry or presentation of
credentials.
If you were this inspector's supervisor, what would you tell
him or her?
Report C: Vigil Corporation
(No supervisor comments available)
What are the good points of this report?
What are the weaknesses of this report?
Inspectors' Own Reports
What did you learn about your own reports? Discuss
strengths and weaknesses.
Report 18
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HANDOUT 15-1
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?
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
What are the facts about the entry (e.g., date, time, entry location, agent-in-charge)?
Is there documentation that proper entry procedures were followed?
Were all required notices and credentials presented?
Is there documentation that facility officials were 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?
Report (Handout) 1
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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.)
Report (Handout) 2
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Physical Sampling
What was the inspector's sampling plan for the facility/site?
What physical samples were collected at the site?
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?
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 and 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
Is there documentation that required receipts for samples and documents were provided?
Is there documentation that facility officials were given an opportunity to make confidentiality
claims?
Are statements the inspector made to facility officials regarding compliance status, recommending
actions to take, or other matters noted?
Report (Handout) 3
-------
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 guage
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?
Report (Handout) 4
-------
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.
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 of technology, cost of complying, time required
to correct the violation)?
What is the facility's past compliance history?
Report (Handout) 5
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HANDOUT 15-2
SAMPLE INSPECTION REPORTS
This handout contains samples of actual inspection reports; only the names have been changed.
Each of these reports is of acceptable quality, though each has its strong and its weak points.
Using the Inspection Report Evaluation Guide (begins on page 17-17 in the text), evaluate the
sample reports.
• How well does each of these reports stack up against the evaluation guide?
• What are the strengths of each report? What problems can you identify?
• Which report provides the strongest support for case development? The weakest? Why?
• If you were the supervisor of report writer A, what feedback would you provide? To
writer B? To writer C?
Report (Handout) 6
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INSPECTION REPORT A: CASTINGS MANUFACTURING INC.
RCRA SAMPLING INSPECTION
This company manufactures steel castings for the railroad industry. The manufacturing facility
occupies forty acres on the northeast side of Bigcity. The 12-1/2 acre landfill owned by the
company is located in Rural County near Bubbatown to the southeast of the intersection of 4th
and Main.
The purpose of this sampling inspection was to determine if waste generated and disposed of by
this facility at its Bubbatown landfill is RCRA hazardous waste. The main wastestream in
question is a mixture of electric arac furnace (EAF) dust and sand wash slurry. This dust/slurry
mixture is claimed to be nonhazardous by the facility. Other wastestreams of interest are from
the five other dust collectors at the facility.
On August 6, 1986, Jim Sleuth, Sam Tweed, and Mike Heard of the USEPA Regional Office and
Jean Parker of the USEPA Regional Waste Management Division, conducted an unannounced
sampling inspection at the above-mentioned company. We arrived at the company landfill on
8/6/86 at 0915 to wait for a truck to arrive from the company's manufacturing facility in Bigcity.
A truck did arrive at 0925 but it was not hauling the type of waste desired to sample during the
dump. It was later determined that this load contained dust collector fines. At 0945 another
truck arrived at the landfill but it also was not hauling the dust/slurry mixture desired to sample.
At this time, Mr. Apple and Mr. Banana of the company arrived at the landfill to inquire about
the purpose of our inspection. We informed them that we wished to sample the dust/slurry
mixture as it was being dumped into the landfill. Mr. Banana did not know if any of this
mixture would be disposed of that day and he asked us to return with him to the Bigcity facility
where he could determine when disposal of that material would occur. Before leaving for the
landfill, samples 86EF10S01 and S02 (see Table 1) were collected of the two loads that were
dumped that morning. These samples were split with the facility.
At 1115 a meeting was held with Mr. Cake, assistant works manager and Mr. Donut at the Bigcity
facility. It was determined that the sand wash system was not generating any slurry that day and
that we could not sample the EAF dust/sand slurry mixture until the following day. We then
proceeded to collect samples S03-S06.
On August 7, 1986, Mr. Sleuth, Ms. Parker, and Mr. Heard returned to the facility in Bigcity and
collected samples S07-S10 (see Table 1). It was observed that a tanker truck of sand wash slurry
was mixed with a load of EAF dust at the facility. This truck was followed to the landfill, where
it was sampled while it was dumped. Before being dumped a core of the top ten to twelve inches
of the load was taken in a 2" diameter plastic tube; eight to ten inches of this material all
appeared to be dry EAF dust. The bottom two inches was damp EAF dust (mixed with slurry).
The contents of this core was used for sample SI4. As the truck was dumping, five jars (one
quart in size) were collected of the material coming out of the truck. The first two
(chronologically) were composited and split as sample SI3, the third jar was discarded and the last
two jars were composited and split as sample SI2. At the very end of the dump a quantity of
Report (Handout) 7
-------
dry EAF dust was observed to float out on top of the discharge. A sample of this dry material
(Sll) was collected from the top of the dumped material after it was on the ground. All samples
collected except D09, SI4, and SI5 were split with the facility. The sampling results can be found
in Attachment 1. Samples D09, Sll and S14 were all found to exceed the EPA Toxicity limit of
1 ppm for cadmium and 5 ppm for lead.
Report (Handout) 8
-------
FIGURE 1
landfill
August 647, 1986
NO SCALE
N
PILL
Report (Handout) 9
-------
TABLE I
Sample Locations
August 6 ft 7. 1986
STA.
NO.
SOI
S02
S0$
S04
SOS
S06
S07
SOS
S09
S10
sn
S12
S13
S14
SIS
DATE
1986
8.6
8-6
8.6
8-6
8-6
8-6
8-7
8-7
8-7
8-7
8-7
8-7
8-7
8-7
8-7
TIME COMPOSITE
1006 X
1030 X
1327
1338
1415
142S
104S
1100
1100
1300
1420
1418 X
1414 X
1410
1700
GRAB
X
X
X
X
X
X
X
X
X
X
STJ
LOCATION
Waste pi <
Waste pil
Carrier 1
Knockout
Cabinet 1
Tumblast
Soutn Eni
Sand wasi
EAF dust
EAR dust
After dum
Last half
First hal
Core of 1
Blank
Sand wash and wet scrubber slurry
Report (Handout) 10
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ATTACHMENT 1
ANALYTICAL RESULTS OF AUGUST 6 AND 7. 1986. SAMPLING
(all results are 1n ppm)
13
O
i-(
0)
3
O-
O
C
rt
Sample
Number Ag Ba
Cd
Cr
Maximum Contaminant Level for EP Toxlclty:
5.0 100.0 1.0 5.0
86ER10
As
5.0
Se
1.0
Fluoride Phenol Cyanide
0.2
SOI
S02
S03
S04
S05
S06
S07
SOB
009
S10
Sll
S12
S13
S14
S15
< 0.006
<0.006
<0.006
<0.006
< 0.006
<0.006
< 0.006
v 0.006
< 0.006
<0.06
<0.06
<0.006
<0.006
<0.006
0.047
0.058
0.028
0.150
0.049
0.114
0.118
0.114
0.950
0.796
0.329
0.130
0.836
0.715
<0.01
<0.01
<0.01
<0.01
<0.01
-------
INSPECTION REPORT B: GRITTY WRECKING
December 2, 1987
NESHAP Asbestos Demolition Inspection -- Gritty Wrecking,
Urban, Michigan (A24535:00)
K. Eagle, Environmental Engineer
THRU: J. Medium
Engineering Section SAC
ATTN: S. Boss
This is the first in a series of inspection reports intended to provide a complete discussion of a
NESHAP inspection (asbestos removal) at the former Consolation Company ("the facility") located
at 1521 East First St. in Smallerville, MI. The inspection was conducted on October 22, 23, 26-
30, and November 2, 1987. An initial inspection of demolition occurring at the facility was
conducted on October 22 and 23, 1987. On October 26-27, additional visits were made to the site
to obtain measurements of the amount of suspected friable asbestos containing material (FACM)
still in the facility and to obtain correct information as to which buildings were involved in the
demolition project. Mr Linus Lip of the EDO was on site October 29, 30 and November 2, 1987,
to oversee the entire asbestos abatement and to observe deposition of the ACM waste after
removal.
Background information about the facility, notification, amount of asbestos present, work
practices, worker safety and equipment, and waste handling at the facility are discussed in this
report. Actual ACM removal by an asbestos abatement contractor occurred October 29, 30, and
November 2, 1987, and all discussion of work practices, worker safety and equipment, amount of
asbestos removed, waste handling at the facility and waste transport and disposal by the abatement
contractor will be forwarded in a second report by Mr. Lip. Information about samples taken,
sample analyses, and pictures of the site is provided in the attachments (Attachment 4 - Summary
of Samples Taken; Attachment 5 -- Sample Analyses from Laboratory; Attachment 6 -- Pictures
of Site).
Background
It is estimated that the facility was constructed in the early 1900s. The entire complex includes
approximately 35 buildings and encompasses 365 acres. The portion of the facility inspected
included building 2 through 8 at the west end of the complex, located at the corner of East First
and East Front Streets (Attachment 1 -- Diagram of Complex). East of the facility is an
industrial area and approximately one quarter mile to the west begins a residential neighborhood.
Downtown Smallerville is located approximately one mile west of the facility. The city of
Smallerville owns the complex and was contracting out groups of buildings for demolition.
Report (Handout) 12
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On the morning of October 22, 1987, a call was made to the EDO from a contractor who had bid
on this particular job but did not win the contract. The contractor stated that he had bid $90,000
to do the project, which would have included the asbestos removal necessary. He continued that
Gritty Wrecking of Urban, MI, has won the contract with the city with a bid of only $24,000.
He said the buildings were "full of asbestos" and that the project could not possibly be completed
properly at that low a cost. I left that afternoon to inspect the site in Smallerville for possible
noncompliance with NESHAP regulations regarding asbestos removal prior to demolition.
Notification
Attached is the building permit (Attachment 2) obtained from Michael Edifice, Director of
Building and Zoning for the city of Smallerville, stating the buildings to be demolished by Gritty
wrecking per the contract between Gritty Wrecking and the city of Smallerville (Attachment 3),
and including the terms for the handling of asbestos in the subject buildings.
No notification of demolition or intent to remove asbestos was submitted to any appropriate
Michigan agency or the federal government by Gritty Wrecking prior to beginning work.
Amount of Asbestos Present
Upon my initial inspection on October 22, 1987, I observed approximately 45-50 linear feet of
pipe lagged with dry, suspected FACM in Building 2. In addition, I observed large amounts of
dry, suspected FACM lagging and debris in the rubble below pipes in the same building. On
October 23, 1987, I returned to the site and entered Building 2 with P. Gradey, Superintendent
for Gritty Wrecking, to observe one of Gritty's employees removing asbestos. Inside I observed
approximately 25 linear feet of suspected ACM in the immediate area. Mr. Lip and I returned
on October 26, 1987, and entered what was left of buildings 2 through 7. Within these buildings
we measured an additional 230 linear feet of suspected FACM lagging. There was also an open
labeled asbestos waste bag filled with dry pipe lagging in Building 3, and dry, suspected FACM
lagging and debris on the floors, walls, and fixtures in the buildings. We also observed seven
bags of pipe lagging and three bags of a dry, suspected FACM sheet material outside against a
fence on the site. The asbestos abatement contractor (Scrub Abatement) later estimated that there
was at least 100 linear feet of lagging in those bags. When we entered the building gain on
October 28, 1987, we found an additional 8 feet of pipe lagged with suspected FACM in Building
8.
Scrub Abatement had later been contracted by Gritty Wrecking to properly remove all of the
asbestos in the buildings involved in the demolition project. Their notice of intent to remove
asbestos stated that 397 linear feet had been found which did not include the material in Building
2 noted previously since most of that building had been demolished prior to Scrub's assessment.
Inspection
Thursday. October 22. 1987
As stated previously, a call was made to the EDO on the morning of October 22, 1987, regarding
the possibility that violations of the NESHAP, specifically asbestos removal, might have been
occurring.
Report (Handout) 13
-------
Acting on the information obtained, I went to Smallerville, Michigan, to inspect the facility in
question. I arrived at the site at 1615 EOT on October 22, 1987, and found no demolition
occurring although there was a front-end loader there. I immediately observed pipes with dry,
suspected FACM lagging in the partially demolished Building 2. As I walked closer to Building
2, I observed large amounts of white, friable, suspected ACM in the rubble. I estimated that 45-
50 feet of pipe contained suspected FACM lagging in part of the Building 2 that was visible from
the outside.
Five samples were taken from the material in the rubble and still on pipes (88EH01S01-S05), and
four were analyzed as positive for asbestos (Attachment 5). Several pictures were taken of the
building nd the suspected FACM (Attachments 4, 5, and 6).
Friday. October 23. 1987
On October 23, 1987, at approximately 0915 EOT, I returned to the site to see if there was, in
fact, demolition in progress. I observed a man operating a front-end loader, knocking down
Building 2. I also observed a second man using a torch to cut pipes in the same building. As
the front-end loader was knocking down Building 2, I observed visible emissions. Sample
88EH01S06 was taken here later. Shortly after, the loader operator left Building 2 and proceeded
to begin demolition on Building 4A.
I entered the site at 1140 EOT and spoke with the loader operator. He informed me that there
was a man inside the building at that time removing asbestos from the pipes, but there was no
foreman on the site at that time and he did not know when he'd return. I looked into the open
end of Building 2 and saw a man using a torch but I did not enter at that time. I inspected the
area of Building 2 where I had seen the loader working and found much more pipe lagging in the
rubble there than on October 22, but no more lagging on the pipes above, which I had observed
on those pipes the previous afternoon. I concluded it had been knocked down during demolition.
A short time later, the man that had been inside emerged from Building 2 wearing brown
coveralls. There was no sign of a respirator. He introduced himself as Ernie McDoogle and
produced his certification paper for asbestos handling in Michigan. He informed me that he was
not removing asbestos but rather cutting down the pipes containing suspected ACM, which were
to be disposed of in sections, pipe and lagging all together. He stripped off his coveralls, coated
with white dust, hung them over the back of his truck, and prepared for lunch.
I sampled the material (88EH01S06) where I had previously seen the visible emissions; it was later
found by the Central Regional Laboratory to contain 25%-35% amosite (Attachment 5). No
foreman returned to the site and I left at 1300 EDT.
I returned to the site at approximately 1430 EDT, and spoke with Paul Gradey, Superintendent
from Gritty Wrecking. He informed me that Ernie McDoogle was inside removing asbestos. I
asked him what would be done about all of the pipe lagging laying in and around the rubble of
Building 2 and he said he did not know about that. I asked him where the bags of asbestos that
were in the back of his pickup truck were going and he said "In the river." Then he said they
would be taken to Gritty's shop in Urban until they had a full load to transport to Payne Disposal
in Oldville, MI. He asked me if I wanted to see the removal in progress inside and I followed
him into Building 2. Inside I observed Mr. McDoogle removing suspected asbestos from piles
(contrary to what he'd told me) wearing his brown coveralls, gloves, and dust mask. He had the
pipes laying on the floor. He sliced open the dry lagging with a knife, peeled the two halves off
Report (Handout) 14
-------
of the pipe, and stuffed them into a labeled asbestos waste bag. He was not wetting the material
and when I asked why, he said it was "wet enough." I observed visible emissions when he
removed the lagging from the pipe, but I did not sample the material. In that immediate area,
I observed approximately 25 feet of suspected ACM on pipes. I asked Mr. McDoogle if he had
learned about wetting the ACM, the glove bag technique, and protective equipment worn during
asbestos handling in his training course and he said yes. I left Building 2. I spoke more with Mr.
Gradey outside and a short time later I left the site.
The five samples I obtained on Thursday, October 22 and the sample obtained on October 23,
from where visible emissions were observed during demolition, were express mailed to the Central
Regional laboratory in Chicago at approximately 1630 EDT on Friday, October 23, 1987. As
indicated previously, analytical results are included in Attachment 5.
Monday. October 26. 1987
On October 26, 1987, at 1320 EST, Linus Lip of the EDO and I returned to the site. It was
apparent that a considerable amount of demolition work had occurred between Friday (October
23) evening and Monday (October 26) morning despite Mr. Edifice's order to stop, because a large
portion of Building 2 had been leveled. No one was on site but a claw was present beside the
front-end loader which was at the site on Friday.
Mr. Lip and I proceeded to enter the facility. We entered through Building 2 and there we
observed a 102-foot pipe that appeared to have recently had the suspected ACM removed. There
were thread-like pieces of white material hanging from the pipe and pieces of dry, suspected
ACM hanging on the wall and laying on the floor below the pipe. A sample was taken
(88EH01S07) and confirmed to be 25%-35% amosite and l%-5% tremolite-actinolite (Attachment
5). We soon found another 13 foot piece of pipe that matched the cut of the 102 foot pipe. We
found four feet of pipe, with lagging, laying on the floor in a small room marked "Bathroom,"
but could not discern the area from which it had fallen.
We continued into the facility, into Building 3. In Building 3, we found what appeared to be a
type of printing unit with suspected ACM-lagged pipes running from it and around it. There
were also two vessels in that area wrapped with asbestos insulation (sample 88EH01S08). An open
marked bag, containing dry, friable asbestos lagging (sample 88EH01S10A) sat near the printer.
On a catwalk that ran along the east wall of Building 3, there was an asbestos sludge (sample
88EH01S09) that apparently had slumped off of the pipes above. Mr. Lip and I measured 197
linear feet of pipe lagging in Building 3. We exited the building and observed many more areas
where suspected ACM lay in the rubble. Against the fence on the west end of the site, we
observed ten marked clear, asbestos bags; two of them were open and they were accessible to the
public. Seven of the bags contained pipe lagging and three contained chunks of dry sheet (sample
88EH01S11) about one-quarter inch thick. We did not find any more of the sheet material inside
the building, and left the site.
At 1620 Mr. Lip and I returned to the site to obtain samples of the materials described above
(Attachment 4 - Summary). We left the site at 1730 EST.
Report (Handout) 15
-------
Wednesday. October 28. 1987
On October 28, 1987, at approximately 0800 EST, Linus Lip, Joe Lawstruck of the Office of
Regional Counsel, and I returned to the site on the corner of East First and East Front Streets.
We entered the facility through Building 2 to re-measure the amount of suspected FACM
contained in all of the buildings (2-8) that Gritty Wrecking was contracted to demolish. Including
the 197 feet Mr. Lip and I previously observed, we measured 286 linear feet of suspected ACM
pipe lagging.
At 1030, Mr. Lip and I met with Mr. Lawstruck and Caroline Bernoose of the Air Compliance
Branch; Kenneth Chalk, Vice President of Operations for Gritty Wrecking and his lawyer Frank
Gradey; Mr. Edifice, Building Director for the city of Smallerville; the city of Smallerville's
lawyer, Oliver Twist; and the Assistant U.S. Attorney, Harry Marvel, at the U.S. Attorney's office
in Urban.
At the meeting, all parties discussed potential violation of the NESHAP that occurred at the
demolition site and recommendations for the immediate correction of and compliance with
NESHAP regulations governing asbestos removal as it applied to this demolition.
Mr. Chalk agreed to contact Scrub Abatement, an asbestos abatement contractor, to begin removal
the following morning (October 29, 1987) of all ACM in the buildings concerned. Mr. Lawstruck,
Mr. Lip, and I agreed under the condition that Mr. Lip or I were present throughout the ACM
removal and disposal.
At 1530 EST, Larry Lip spoke with Mr. Chalk and confirmed that Scrub Abatement would arrive
on site at 0730 on October 29 to assess the abatement job and begin removal of the ACM. Mr.
Lip agreed to be present on site for the entire ACM removal period which occurred on October
29, 30 and November 2, 1987. The waste was transported to a landfill at 1530 EST on November
2, 1987.
A subsequent report will follow from Mr. Lip describing actual amount of asbestos removed, work
practices, worker safety and equipment, waste handling at the facility , waste pickup, and waste
transport and disposal at the landfill. Also, sample analyses of samples taken during ACM
removal, and the field data collection checklists, will follow in Mr. Lip's report.
Report (Handout) 16
-------
VIVIII04/IMUMCK.
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s*»ru»c OAK
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o
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O
c
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.CONTMACTON.
-------
SUMMARY OF SAMPLES TAKEN
SAMPLE NUMBER
TIME
SAMPLE DESCRIPTION
OCTOBER 22. 1987
88EH01S01 1647 EOT On red bricks
SAMPLE ANALYSIS RESULTS
33%-40% Amosite
S02 1655 EOT On pipe
*
S03 1705 EOT On boards in rubble
S04
1730 EOT In rubble
32%-35% Amosite;
81-12% Tremolite-Actinolite
20%-25% Amosite;
51-101 Tremolite-Actinolite
35%-40% Amosite
SOS
1736 EOT Brown fluffy
Negative
OCTOBER 23. 1987
88EH01S06 1210 EOT
Where visible emissions 251-35% Amosite
observed during demolition
OCTOBER 26. 1987
88EH01S07 1330 EST
SOS
S10A
Hanging on wall and on
floor in building 2
1343 EST Large vessel
S09 1630 EST Slumped on catwalk in
building 3
25%-35% Amosite;
1%- 5% Tremolite-Actinolite
5%-10% Amosite;
10%-15% Chrysotile
25%-30% Amosite
1640 EST Open bag in building 3 15%-25% Amosite
S10R
1640 EST Open bag in building 3 Not Analyzed-Ory
Sll 1710 EST Open bag outside
sheet material
15%-20% Amosite;
1%- 5% Chrysotile
Report (Handout) 18
-------
SUMMARY OF PICTURES TAKEN
October 22. 1987:
EOT
Picture 1
Picture 2
Picture 3
Picture 4
Picture 5.
Picture 647
Picture 8
Picture 9 & 10
Picture 11
Picture 12 4 13
Picture 14 - 21
Picture 22
October 23, 1987:
EOT
Picture 23 4 24
Picture 25
1647
1647
1655
1705
1710
1712
1715
1720
1730
1732
1735-1815
1820
1210
1515
On bricks, outside Building 2, Sample SOI.
Outside Building 2, in rubble.
Pipe lagging in Building 2, Sample S02.
On boards, in rubble, in Building 2, Sample S03
In rubble, in Building 2.
On ground in Building 2.
Pipe lagging in Building 2.
Building 2.
On ground in Building 2, Sample S04.
Pipes in Building 2.
Rubble in and around Building 2.
View of demolition site from street.
Building 2, where visible emissions were observed
during demolition, Sample S06.
Truck driven by Paul Garvaglia, asbestos bags in
back.
October 26, 1987:
EST
Picture 26 - 31
Picture 32 4 33
Picture 34
Picture 35
Picture 36 A 37
Picture 38
Picture 39 4 40
Picture 41 - 45
Picture 46
Picture 47 4 48
Picture 49
1320.
1330
1335
1343
1345
1400
1405
1410
1630
1640
1655
Appearance of Building 2 after the weekend.
Inside Building 2, Sample S07.
Inside Building 3.
Large vessel inside Building 3, Sample SOS.
Pipes in Building 3.
Rubble outside Building 2.
Outside Building 5A.
Bags outside, against fence, Sample Sll.
ACM slumped on catwalk in Building 3, Sample S09.
Open bag of dry FACM in Building 3, Sample S10.
Pallets in Building 5.
Report (Handout) 19
-------
INSPECTION REPORT C: VIGIL CORPORATION
Compliance Monitoring Field Report
I. PERMITTEE IDENTIFICATION
Vigil Corporation
Half Road
P.O. Box 86
Nash, OH 34009
(216) 555-1990
NPDES Permit: OH0003298
Receiving Stream: Stevens Brook (Nash River to Lake Erie)
II. DATES OF INSPECTION AND SURVEY
August 18-19, 1987
III. PARTICIPANTS
A. Permittee
Joe Gruff, Environmental Engineer
B. Ohio Environmental Protection Agency - NEDO
Sam Power
C. U.S. Environmental Protection Agency - EDO
David General, Engineering Technician
Michael Shell, Environmental Engineer
IV. OBJECTIVE
The objective of this sampling inspection was to evaluate compliance with NPDES permit
conditions and limitations, and to obtain analytical data on selected internal process wastewater
streams.
Report (Handout) 20
-------
Inspection Report C: Vigil Corporation (Page 2)
V. DESCRIPTION OF PERMITTEE
A. Facility
The Vigil Corporation in Nash Township manufactures a variety of
polymers of vinyl chloride and a vinyl acetate-vinyl chloride co-polymer. The
market for these polymers Include plastic pipe, medical tubing, records, and
other products. The average dally production 1s about 275,000-300,000 Ibs.
Co-polymer production is about 201-251 of the total plant production.
B. Plant Processes
Figure 1 shows a schematic diagram of the suspension polymerization process
utilized at Vigil Vinyl chloride monomer is received by railcar at the plant.
Polymerization 1s begun with a batch reaction of monomer, water, and several
additives Including catalysts, buffers, and emulsifiers in seventeen 4000-gallon
reactors and one 6000-gallon reactor. The reaction lasts nine to twelve hours.
At this time, polymerization is 93 percent complete. The unreacted monomer is
steam stripped from the polymer slurry and recovered. The polymer. slurry is
centrifuged and dried in a rotary drum drier to a consistency of one percent or
less moisture. This polymer cake is sifted and transferred to storage silos.
The finished product is transferred in bulk from the silos to either railcars
or trucks for shipment.
In addition to the production process operations listed above, other support
processes are also carried out at this facility. These include:
1. A boiler house which contains three gas-fired boilers. The blowdown
from this facility is treated at the wastewater treatment facility.
2. Water treatment - both the boiler feed water and the processing water
are pretreated in a clarifier and filtered through both sand and carbon
filters. The water is also passed through an ion exchange column and
a zeolite softener. The backwash water from the filters is routed to
the wastewater treatment facility along with regenerate wastewater.
C. Wastewater Treatment
vigil obtains their raw water from Ashco and the Ohio American Water Company.
water usage averages about 400,000 gpd. Water usage based on historical figures
are presented below.
Usage I Total Volume
Process 601
Boiler Feed 251
Cooling Water 10% (recirculated)
Sanitary 2%
Miscellaneous 31
Report (Handout) 21
-------
Inspection Report C: Vigil Corporation (Page
3)
Figure 2 contains a flow diagram showing the wastewater treatment system.
This system contains a neutralization pit followed by five treatment ponds
operated 1n series. The major wastewater sources to this system Include flows
from the preneutralizatlon pit discharge, wastewater from the stripper,
Incinerator scrubber water, cooling water, and miscellaneous storm drain flows.
The preneutralizatlon pit contains several flows which when combined
neutralize one another. The flows to this pit Include backwashes from the sand
and carbon filters and regenerate waste from the 1on exchange column. The
regenerate wastes from the water softener are discharged directly to the
neutralization basin.
Mpno vinyl chloride (MVC) is recovered from several wastewater streams by
stream stripping. These waste streams include: gasholder drainwater, flow
from the gasholder knockout pot, and reactor rinse water. All these flows are
discharged to the treatment system. The recovered MVC 1s returned to the
reactors for processing to polyvinyl chloride (PVC).
The gases vented from the steam stripping are Incinerated In order to reduce
the concentration of MVC being discharged to the atmosphere. One of the
combustion products is chlorine which combines with the scrubber water to form
hydrochloric acid. This waste stream 1s neutralized at the neutralization pit
with a lime slurry.
Sanitary wastewater from the plant flows through a septic tank, is
chlorinated and is then discharged to the second aeration pond.
The sludge collected in the wastewater treatment ponds consists of PVC
resin and lime. At the time of inspection, this dredged material was being
stored adjacent to the treatment pond for its recovery and resale potential.
VI. DESCRIPTION OF USEPA SAMPLING SURVEY
Figure 3 presents the sampling locations of the USEPA survey. Site-specific
descriptions are presented below.
A. Influent (Sample Numbers 87EB05S01. S03)
Composite (S03) and grab samples (SOI) were collected from a neutralization
tank prior to discharge into the treatment ponds. The composite sample was.
collected using ISCO sampler number 55 and apportioned for general chemistry,
nutrients, metals, PCB/pesticides, and organics analyses. Grab samples were
collected using a dedicated organically cleaned quart wide-mouth glass jar.
Six individual grabs for volatile organic analyses were collected for compos-
iting in the laboratory for one analysis.
B. Effluent (Sample Numbers 87EB05S05. S06)
Composite (S06) and grab samples (505) were collected from the parshall
flume of outfall 001 prior to discharge into an unnamed tributary of Fields
Brook. The composite sample was collected using ISCO sampler number 54 and
Report (Handout) 22
-------
Inspection Report C: Vigil Corporation (Page 4)
apportioned for general chemistry, nutrients, metals, PCB/pest1cides and
organics analyses. Six Individual grab samples were collected for compositing
1n the laboratory for one volatile organics analysis. Total flow was determined
for the 24-hour sampling period using the company-owned flow device at outfall
001.
C. Intake (Sample Number 87EB05S07)
Samples collected from a 3/8" pipe at the boiler house, consisted of one
grab for general chemistry; nutrients; metals; PCB/pesticides; organics; and
field parameters temperature, pH, chlorine, and conductivity; and six individual
grabs for compositing In the laboratory for one volatile Organics analysis.
All samples were collected by placing the sample bottle directly into the flow.
0. Incinerator Scrubber (Sample Number 87EB05S08)
Sample was collected at a drainpipe petcock at the incinerator building.
Six Individual grab samples were collected directly for compositing for one
volatile organics analysis,
E. Water Stripper Effluent (Sample Number 87EB05S09)
The sample was collected at a tap in a dedicated quart wide-mouth glass
container and, because of high temperatures of the sample, allowed to cool
somewhat-before transferring the sample to the VOA vials. Three individual VOA
grabs were collected for laboratory compositing into one analysis.
F. Centrifuge (Sample Number 87EB05S12)
Sample was collected at a sump where all centrifuge wastewater combines. Six
individual grabs, collected for laboratory compositing for one volatile organic
analysis, were collected in a dedicated quart glass jar first and allowed to
cool before placing the sample Into the VOA vials.
VII. GENERAL SURVEY CONDITIONS
A. Weather
Weather for the survey was warm with temperatures in the 80s and no
precipitation. No bypassing was occurring within the WWTP. Split samples on
the Influent and effluent composites were provided to vigil. Sampling equipment
was completely operational. Custody procedures were maintained throughout the
survey.
B. Production
PVC production prior to and during the USEPA sampling survey were within
normal operating ranges (250,000-275,000 Ibs/day). No co-polymer was produced
during this period.
Report (Handout) 23
-------
inspection Report C: vigil Corporation (Page 5,
VIII. NPOES PERMIT COMPLIANCE
A. NPDES Permit
At the time of Inspection, Vigil was operating under an expired NPDES
permit. The current expired permit was Issued 1n August 1978 with an expiration
date of March 1981 and modification 1n March 1980. This permit contains
relatively elevated discharge limitations for vinyl chloride (2 mg/L - 30-day;
6 mg/L - daily maximum). The permit needs to be reissued to reflect effluent
limitations guidelines for the Organic Chemicals and Plastics and Synthetic
Fibers Category which became effective on December 21, 1987, as well as any
water quality considerations.
t
B. Permit Compliance
Self-monitoring data for 1987 were reviewed and are summarized in
Attachments 1 and 2. The data indicate some monthly average BOD excursions
during February, March, and June 1987. Other NPDES parameters were substan-
tially within permit limitations for the reporting period reviewed.
C. Self-Monitoring Program
Thevi<3il self-monitoring program was reviewed with company personnel and
results are summaried below:
' 1. Flow at outfall 001 is measured by a Palmer-Bowlus flume mounted on an
8-inch pipe. 'On occasion, the flow equipment is susceptible to
flooding. Also, during the months of April and May 1987, the flow
monitoring equipment at outfall 001 was out of service due to electric
line problems. Power was restored in mid June 1987.
2. The existing expired NPDES permit requires a composite sample be taken
for monovinyl chloride analysis. In a reissued permit, proper .USEPA
recommended sampling and analyses methodologies should be incorporated.
IX. RESULTS OF USEPA SAMPLING PROGRAM
Analytical results are presented in Tables 1-6. Analyses were performed at
USEPA - Eastern District Office 1n Hestlake, Ohio, and at USEPA - Central
Regional Laboratory in Chicago, Illinois.
A. NPDES Compliance
A comparison of USEPA survey monitoring results and NPDES permit limitations
are presented below. As there was no bypassing at the time of inspection,
NPDES limitations at internal outfall 601 would apply to the discharge through
outfall 001.
Report (Handout) 24
-------
Inspection Report C: Vigil Corporation (Page 6)
Parameter
Flow (MGD)
BODs
COD
TSS
IDS
Mono vinyl
PH
NPDES Discharge
Concentration (mg/L)
30-Day Dally
..
20 33
150 290
20 40
1500
chloride 2 6
6.0 < pH < 9.0
Limitations
Loading( kg/day)
30-Day Dally
..
32 54
385
32 67
2388
3.3 10
USEPA Survey Results
Concentration Loading
(mg/L) (kg/day)
•^^•^••••^H*
54
385
67
2388
10
0.412 MGD
5
28
14
386
NO(O.OIO)
8
44
22
602
.-
9.05 s.u.
The data show no exceedances of concentration or'mass loading limitations 'for
samples taken during the USEPA sampling survey.
B. Other Organic Analytes
In addition to NPDES parameters, organic analyses were conducted on samples
taken of the Intake, WWTP influent and effluent, and selected internal process
wastewater streams described earlier (Section VI). A discussion of these
analytical results follows:
1. Volatile Organic Analyses
Table 3 summarizes the volatile organic analyses. The data show that vinyl
chloride was not detected in outfall 001 (WWTP effluent) at a detection limit
of 10 ppb. Two volatile organic compounds were detected in the low ppb range:
trlchloroethene (1.8 ppb) and trans-l,2-dichloroethene (6.9 ppb). No volatiles
were detected in the intake or field blank samples.
Samples were taken of the WWTP influent and the major in-plant wastewater
streams in an attempt to quantify the source or sources of vinyl chloride and
other volatile organic compounds to the wastewater treatment system. These
data are summarized below for the volatile pollutants of concern.
Pollutant/Location
Vinyl Chloride
Incinerator Scrubber
Water Stripper
Centrifuge
TOTAL
WWTP Influent
0.412
Concentration
(ppm)
6.4
Mass Loading
(kg/day)
0.086
0.058
0.144
NO (0.010)
50
0.320
--
11
0.17
1T7T7
TO
Report (Handout) 25
-------
Inspection Report C: Vigil Corporation (Page 7)
Pollutant/Location Flow Concentration Mass Loading
(HGD) (ppm) (kg/day)
Trichloroethene
Incinerator Scrubber 0.086 NO (0.0015)
Water Stripper 0.058 1.2 0.26
Centrifuge 0.144 0.083 0.05
TOTAL 0.31
WWTP Influent 0.412 0.240 0.37
Trans-1,2-Dichloroethene
Incinerator Scrubber 0.086 NO (0.0015)
Water Stripper 0.058 NO (0.075)
Centrifuge 0.144 0.0035 0.002
TOTAL 0.002
WWTP Influent 0.412 NO (0.075) ~
The data show a fairly good mass balance of major Internal plant wastewater
streams and WWTP influent. The data also suggest that the water stripper is
the major source of volatile organic compounds to the WWTP.
2. Semi-Volatile Organic Analyses
Semi-volatile organic analyses are presented in Table 4. The data do not
indicate the presence of significant concentrations of semi-volatile compounds
in the intake, WWTP effluent, and field blank samples. Several tentatively
identified semi-volatile compounds were listed for the WWTP influent sample
ranging from estimated concentrations of 3.5-29 ppb.
3. Pesticide/PCB Analyses
Tables 5 and 6 present pesticide and PCS analytical results. The data show
none of these compounds were detected in the environmental and field blank
samples taken during the USEPA survey. Refer to Tables 5 and 6 for the
corresponding detection limits.
C. Metals
Table 2 presents the results of ICAP metals for the USEPA survey. Copper
was detected In the WWTP effluent at about 9 ppb. Zinc was not detected in any
of the samples at a detection limit of 40 ppb.
X. SUMMARY OF FINDINGS
A. Based upon USEPA sampling of the WWTP effluent through outfall 001,
vigil was found to be within numerical limitations of their expired NPDES permit
for the sampling period.
Report (Handout) 26
-------
Inspection Report C: Vigil Corporation {Page 8)
B. Vigil is operating under an NPOES permit which expired 1n 1981. The
permit contains elevated concentration and mass loading limitations for vinyl
chloride. The permit needs to be reissued based on an evaluation of water
quality considerations and the effluent limitation guidelines for the Organic
Chemicals and Plastic and Synthetic Fibers Category which became effective on
December 21, 1987.
C. Based on volatile organic analyses of Internal wastewater streams and
the WWTP Influent, the data suggest that the water stripper 1s the major source
of vinyl chloride and trichloroethene to the WWTP.
0. PCBs and pesticide compounds were not detected 1n the WWTP effluent
during, the USEPA sampling survey. Semi-volatile organic compounds were not
detected in the WWTP effluent. Two semi-volatile compounds were tentatively
Identified.
E. Flow monitoring equipment at outfall 001 is subject to flooding at high
flow and precipitation conditions. During April and May of 1987, the flow
monitoring equipment was out of service due to electric line problems which
were rectified in June.
F. The NPDES permit requires a composite sample taken for mono vinyl
chloride. The reissued permit monitoring requirements should reflect recom-
mended USEPA sampling and analytical methodologies for this pollutant.
G. Vinyl chloride polymer production and WWTP operations were normal during
the USEPA sampling program. During and previous to the sampling period, no
co-polymer was produced. EDO intends to plan a Water-Division requested survey
for FY 88 during a period where co-polymer production will be reflected in the
wastewater discharges, as this has been considered a cause for BOD excursions
in the past.
H. Wastewater treatment pond dredgings are stored on the bank adjacent to
pond II for recovery. As this material dries out, it is susceptible to blowing
wind resulting in fugitive dust.
Report (Handout) 27
-------
3
UOCAT.OOV -
Vigil Corporation
_ /c,•^^
-------
ATTACHMENT 1
SELF-MONITORING DATA SUMMARY
VIGIL CORPORATION.
Flow/Mass Loadings
Mono Vinyl
Month
1987
January
February
March
April
May
ie
August
September
October
'NPDES Limits
Flow
Avg.
0.407
0.444
0.460
*
*
0.500
0.475
0.464
0.455
--
(MGD)
Max.
0.534
0.500
0.518
*
*
0.552
0.662
0.616
0.568
--
BOD
Avg.
31
41
46
--
--
35
11
16
15
32
(kg/day)
Max.
47
53
54
.
--
51
15
24
27
54
COD
Avg.
104
143
161
--
--
98
60
76
68
—
(kg/day)
Max.
156
189
184
--
--
124
85
115
115
385
TDS
Avg.
763
923
1053
--
—
790
829
511
741
--
(kg/day)
Max.
858
1205
1118
~
—
893
1013
629
868
2388
Chloride (kg/day
Avg.
0.215
3.4
0.507
—
--
1.41
0.114
0.93
1.35.
3.3
Max.
0.404
4.7
0.541
--
—
1.67
0.291
3.07
2.05
10
NOTES: *Flow monitoring equipment out of service.
**NPDES permit has expired.
Report (Handout) 29
-------
ATTACHMENT 2
SELF-MONITORING DATA SUMMARY
Vigil Corporation
Month
1987
January
February
March
April
May
June
August
September
October
NPOES Permit
Limits
BOD
Avg.
20
24
25
15
13
19
6
10
9
20
(mg/L)
Max.
29
30
30
18
31
31
7
14
15
33
COO
Avg.
66
82
90
62
111
56
32
44
53
150
(mg/L)
Max.
93
104
102
75
270
76
40
67
113
290
TDS
Avg.
478
538
540
489
542
439
438
339
408
—
(mg/L)
Max.
560
734
626
598
702
526
546
488
466
1500
Vinyl Chloride
(mg/L)
Avg.
0.104
1.42
0.601
0.202
1.10
0.73
0.068
0.489
0.70
2
Max.
0.264
2.57
1.31
0.320
2.01
0.88
0.190
1.57
1.28
6
TSS
Avg.
17
18
18
15
14
14
12
12
10
20
(mg/L)
Max
21
22
24
19
23
19
16
19
17
40
Report (Handout) 30
-------
SESSION 15: INSPECTION REPORT
Official Files
Effective Inspection Reports
Checklists vs. Narrative Reports
Tips for Writing Inspection Reports
Text: Chapter 17
OVERHEADS 15-A
-------
WRITE TO EXPRESS
NOT TO IMPRESS
WRONG
Next I went to the warehouse where I discovered
several drums on a forklift headed for the warehouse.
RIGHT
I observed drums being transported to the warehouse.
OVERHEADS 15-B
-------
KEEP IT SIMPLE
WRONG
Several of these drums were placed on a forklift by the
workers who were on duty at the time and taken to the
warehouse that I have already described.
RIGHT
I observed drums being transported to the warehouse.
OVERHEADS 15-C
-------
KEEP THE READER IN MIND
The A14 tank contained material more than 90 days after the
"D" line shut down.
BETTER:
The out-of-service degreaser was storing hazardous wastes
greater than 90 days after the unit ceased to be used for
manufacturing.
OVERHEADS 15-D
-------
WHO?
The degreaser mechanic.
BETTER:
Elvis Ferguson, the degreaser mechanic.
OVERHEADS 15-E
-------
WHAT?
WRONG
If there had been a fire, no firefighter equipment could
have been carried down the narrow aisle.
RIGHT
The aisle space between the drums was 16 inches
wide.
OVERHEADS 15-F
-------
WHEN?
WRONG
Mr. Ferguson called me and told me the hose had ruptured
at 10:30. When I arrived, it was overflowing.
RIGHT
Mr. Ferguson called me at 10:45 a.m. He told me that
the hose had ruptured at 10:30 a.m. When I arrived at
11:00 a.m., the secondary containment was overflowing.
OVERHEADS 15-G
-------
WHERE?
WRONG
The tank behind the warehouse.
RIGHT
The 1000 gallon tank used to store
chloride catalyst prior to recycling.
OVERHEADS 15-H
-------
WHY?
WRONG
They ship drums to the warehouse because the
storage area is so small.
RIGHT
Mr. Ferguson stated that drums are taken to the
warehouse because storage area B is too small.
Measurements indicate that storage area B is large
enough to contain 6 drums. Plant records indicate
that 8 drums a day are generated by the detergent
2 production line.
OVERHEADS 15-1
-------
HOW?
WRONG
Appropriate drums are used to avoid corrosion.
RIGHT
The facility neutralizes hydrochloric acid on
detergent line #1 in plastic "poly" drums.
OVERHEADS 15-J
-------
AVOID THE "IT" HABIT
WRONG
I inspected tank A, still B, and lagoon C. It was overflowing
and its secondary containment was indadequate.
RIGHT
I inspected tank A, still B, and lagoon C. Lagoon C was
overflowing. The secondary containment around lagoon C
was not capturing all of the overflow.
OVERHEADS 15-K
-------
AVOID CARELESS PRONOUNS
WRONG
Mr. Ferguson and Mr. Johnson walked to the warehouse
with me. He said they transported drums across a road.
RIGHT
Mr. Ferguson and Mr. Johnson walked to the warehouse
with me. Mr. Johnson said the company transported
drums across Scioto River Road.
OVERHEADS 15-L
-------
BE CONCISE
WRONG
Write your sentences as short as you possibly can
and avoid obtruse terminology.
RIGHT
Use short sentences and avoid unnecessarily
complicated terms.
OVERHEADS 15-M
-------
ACTIVE VOICE PROBLEM
It is recommended ...
BETTER:
I recommend ...
OVERHEADS 15-N
-------
ACTION VERB PROBLEM
Distribution of pay checks is accomplished by the
Treasurer's office.
BETTER:
The Treasurer's office distributes paychecks.
OVERHEADS 15-O
-------
CONCISENESS PROBLEM
It is not considered that a detailed examination
is necessary.
BETTER:
Detailed examination is unnecessary.
OVERHEADS 15-P
-------
COHERENCE PROBLEM
Dead fish were found several days after the
discharge on July 16.
BETTER:
Dead fish were found on July 16, several days
after the discharge.
OVERHEADS 15-O
-------
ANSWER TO REQUEST FOR INFORMATION
Receipt is acknowledged of your letter of June 18,1968, relating to an
investigation of Paul Smith in which letter you requested that John
Jones be interviewed to determine whether he sold toxic chemicals to
Smith in December 1967. You also requested that, if he had made such
sale, an affidavit be obtained covering that matter. Enclosed you will
find such affidavit.
BETTER:
Enclosed, in answer to your letter of June 18, 1968, is the affidavit of
John Jones concerning his sale of toxic chemicals to Paul Smith.
OVERHEADS 1S-R
-------
BEGINNING A REPORT
As the result of a difficult inspection, which was assigned to me and is
now complete, I have prepared this report to present the facts and
evidence that were discovered with reference to an alleged violation of
Section 301, Title III, of the Clean Water Act, relative to the unlawful
discharge of a pollutant. This discharge, which occurred at a municipal
waste water treatment plant, on December 5,1968, was in Greenville,
Illinois.
BETTER:
This report relates to an alleged violation of Section 301, Title III, of the
Clean Water Act, by the municipal waste water treatment plant in
Greenville, Illinois. This plant exceeded the limits of its NPDES
discharge permit on December 5,1968.
OVERHEADS 15-S
-------
REPORTING INTERVIEW RESULTS
The plant manager was interviewed by the undersigned on
December 17,1968. When he was asked to elaborate by
same, he could not give any reasonable explanation for the
discharge.
BETTER:
I questioned the plant manager on December 17, 1968. He
explained the discharge as follows: -—.
OVERHEADS 15-T
-------
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-------
16: Negotiations
-------
SESSION 16
TOPIC: NEGOTIATIONS
INSTRUCTOR'S OVERVIEW
Time: 90 minutes
Purpose
Discuss role of inspectors in settlement and other negotiations
Provide tips for effective negotiations
Key Points
Prepare carefully; know all the facts and options. Resolve differences internally, not in front.of the
other side.
Most cases are settled through negotiation, not trials; therefore understanding negotiation is
important.
Advance Preparation
Text reference Chapter 19B.
Make sufficient copies of handouts "The Unmanaged Negotiation" and "Crush and Destroy
Negotiation." Provide "Unmanaged" to trainees the night before the session.
Refresh your memory about negotiations you have been involved in and make notes for use in
illustrating successes and pitfalls.
Equipment
Overhead Projector
List of Visuals
16-A -- Topic Summary
List of Handouts
16-1 -- The Unmanaged Negotiation
16-2 -- Crush and Destroy Negotiation
Suggested Teaching Outline
Lecture: Introduction to Negotiation 15 minutes
Case Study: The Unmanaged Negotiation 30 minutes
Lecture: Managing Negotiations 15 minutes
Exercise: Negotiation Practice 30 minutes
Negotiation 1
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Introduce yourself, including background, EPA experience,
your role in the course.
LECTURE (15 min.)
INTRODUCTION TO NEGOTIATION
Overhead 16-A
Topic Summary
Most EPA cases are settled through negotiation, not trial. A
negotiated settlement is not an undesirable outcome --it
generally more favorable than trial; it is:
• quicker
• less expensive
• less risky.
It also produces more specific direction on what a company
must do.
EPA generally negotiates from a strong position and obtains
the type of settlement sought. The inspector is the
cornerstone of that strength since the documentation of
violations stems from his or her reports -- good inspection
reports lead to good settlements.
An inspector needs negotiation skills because he or she:
• May serve as a member of a team negotiating an
enforcement case or settlement (or at minimum, will be
involved in preparing and providing support to the
negotiation team).
• May need to negotiate with facility officials to gain
consensual entry and work out other logistical aspects of
the inspection.
• Will frequently be involved in negotiations with program
staff, attorneys, and technical staff on such issues as
scope and objectives of an inspection, assignment of
responsibilities to inspection team members, and
deciding what enforcement action to take.
Negotiation 2
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
It is difficult to teach the art of effective negotiation, for it
is a dynamic process dependent largely on personal style
and learned through experience, but in this session we will
try to pass on some pointers to aid inspectors in developing
this skill.
To set the stage, here are some key points to remember:
• There are few hard and fast rules for successful
negotiation.
• Because each negotiation takes on a life of its own, there
is no "right" settlement.
• Negotiating is not selling out. EPA will enter a
negotiation with some negotiable and some non-
negotiable items. Neither side expects to get everything
it wants, however.
• Negotiation is not the antithesis of litigation. Most EPA
cases are settled before (or during) litigation; however,
the threat of litigation often pressures the settlement.
• Negotiation may provide the best solution. It may be
quicker and require less resources. EPA can leverage
with tools not available in court (e.g., withholding a
grant or not initiating debarment proceedings) and may
be able to get the violator to do things the court would
not impose.
CASE STUDY EXERCIES
(30 min.)
THE UNMANAGED NEGOTIATION
The class should be given 10
minutes to review "The
Unmanaged Negotiation"
(Handout 16-1), which is
based on pieces of real
negotiations EPA has been
involved in.
Because of the press of time, personnel changes, or a host
of other reasons, a negotiation may be unmanaged in one or
more aspects. The "Case of the Unmanaged Negotiation"
that you read last night is an amalgam of several situations
described to the authors by EPA participants in training
courses. Take a few minutes now to refresh your memory
about the case.
Negotiation 3
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
After the group has finished
reviewing the case, ask the
group to discuss the major
mistakes EPA made and their
consequences; solicit ideas
from the group about how the
problems encountered might
have been avoided. Key
points the instructor may
wish to raise if not brought
out by the group are shown in
the Suggested Content
column.
Following are some of the things that went wrong in the
Unmanaged Negotiation:
• EPA team did not have all the facts; did not review files
or see inspector's notes, so did not know the true
seriousness of the violations
• No agreed upon objectives and strategy
• Lack of internal discipline and rules (open caucusing in
front of opponents)
• Logistical mixup set stage poorly for EPA
• No knowledge of violator's desire to get EPA permit and
money, which would have been good leverage for EPA.
LECTURE (15 min.)
MANAGING NETOTIATIONS
Preparation
Preparation is the most important key to successful
negotiation.
The inspection team should have members who are suited to
the negotiation and can work together. Each major legal
and technical area in the negotiation should have at least
one person who knows it well; other support should be
available.
The team should work out in advance with the "vertical
hierarchy" (that is, the folks up the EPA line who must
agree to the settlement) to provide needed support, agree on
the objectives of the negotiation, and set up an ongoing line
of communication.
Perform substantive research to determine what facts and
laws are involved, and what other facts are needed.
Collect basic intelligence on the opposition. What are its
likely issues? What leverage might EPA have?
Negotiation 4
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
During the Negotiation
An almost absolute rule is that the team must decide upon
its course of action and resolve differences internally rather
than in front of the other side. Caucus.
Caucuses can also be used to regroup after a surprise, to let
tempers cool, to get information or opinions from experts
not at the table, and to clarify negotiating authority with
the bosses.
The vertical hierarchy must also be managed. This is often
quite difficult, yet essential because they must approve the
agreement. It is complicated by the fact that faces change.
There are no quick answers, but they can be managed by:
• Communication
• Keeping them informed of developments
• Gaining their advanced concurrence for positions taken.
There may be other players at the table who need to be
managed, such as State agency personnel as partners with
EPA. This is more complex, but it is essential that the
other side not be able to divide and conquer. Find the
common ground.
There may be "phantom" players not at the table, such as
congressmen and senators, public interest groups, and the
media. The principal task is to make sure these players
know they are not and will not be party to the negotiations,
but they will be informed.
Negotiations are expedited by deadlines. EPA enforcement
policy establishes time frames, but some judgment must be
exercised such as when settlement is close. Provide action-
forcing events and deadlines throughout the negotiation, not
just for the end.
Generally, EPA has the most power in an enforcement
negotiation. EPA can impose sanctions; grant, deny, or
delay permits; order studies and disclosure of information;
conduct endless inspections; make facilities ineligible for
government contracts; and cause financially damaging
publicity.
Negotiation 5
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
The EPA negotiating team should project this power.
Remember the power of setting the agenda and the power
of the first draft of settlement papers. (There are times,
however, when it may be prudent to let opposition draft the
first draft to give them a false sense of security or if they
have a superlative drafter.)
EXERCISE (30 min.)
CRUSH AND DESTROY NEGOTIATION
The purpose of this exercise
is to provide practical
experience in developing a
negotiating strategy, since
planning for the negotiation
is the most important factor
in successful negotiation.
Distribute Handout 16-2.
Divide the trainees into
groups of 4 or 5 people and
ask them to plan a negotiating
strategy for EPA.
After 15 minutes, reconvene
the group, acknowledge that
there was insufficient time to
fully develop a strategy, and
ask representatives from each
group to explain their
strategies.
Planning the strategy for a negotiation is the most important
factor in conducting a successful negotiation.
I am distributing a hypothetical case involving an air
asbestos violation. Read the case, and then in small groups
develop a strategy for EPA's conduct of the negotiation.
You are not likely to be familiar with the particular
regulations and penalty policies involved, but you should be
able to use negotiating principles to develop a strategy.
In the groups, you should discuss:
• Negotiable and non-negotiable items for EPA
• Strengths and potential weaknesses in EPA's position
• Options for required remedial steps
• Options for penalty adjustments
• An overall strategy
Negotiation 6
-------
HANDOUT 16-1
THE CASE OF THE UNMANAGED NEGOTIATION
Sam Acosta has just become acting Chief of the RCRA Enforcement Section. Until now he was in
the RCRA State Programs Section. He finds a short action memorandum on his desk from Bill
Sanders, a RCRA inspector. The memorandum recommends that EPA issue an administrative order
to a hazardous waste treatment facility called Treatment Supreme (TS) for interim authorization
security requirement and manifest violations. Sanders wrote that during an inspection he observed
a missing 25 ft. segment of fencing along a highway at the back of the TS facility. He also noted
that TS had failed to note discrepancies on manifests for 75 shipments of one waste stream, where
analysis performed by TS did not confirm that the waste was as represented by the generator. He
attached a copy of the draft administrative order requiring restoration of the fence, prohibiting
further receipts of the waste stream, and assessing a $25,000 penalty. Sanders noted that copies of
the manifests laboratory reports were in the inspection file. Sanders has been IPAed to the State for
a year.
Acosta signs off on the action memorandum and sends it to his boss. It is eventually sent to the
Regional Counsel's office for legal review where it is assigned to Laura Smith. Laura's main job at
EPA has been to handle the legal aspects of sewage treatment facility construction grants. This is
her first enforcement case. She is instructed that the program office is responsible for substantive
determinations and her role is to ensure the order is legally sustainable, to assist the program office
in any resulting negotiations, and to represent the program office in any subsequent appeals. She
reviews the order and action memorandum. She determines that the violations alleged are sufficient
to support the remedies sought and are supported in the action memorandum. She compares the draft
order with agency guidance and makes some changes to conform it to the guidance. She signs off
on the order and it is eventually issued.
Guy Larado, outside attorney for TS, calls Laura to request a conference on the order, hopefully,
to negotiate a mutually acceptable resolution. She indicates she must check Acosta's calendar and
they arrange three possible times, depending on Acosta's availability. She calls Acosta, settles on a
date three weeks hence, and makes arrangements to meet with Acosta that afternoon to review the
case.
When Laura and Sam meet they review the action memorandum and order. Laura asks to see copies
of Sanders' inspection report and the manifests at issue. She asks whether they can talk to Sanders,
but Sam says he has been IPAed to the State. They agree that the case seems open and shut and that
under EPA's penalty guidance they can only agree to mitigate the penalty down to $18,000. They
agree that Laura will be the spokesperson in the negotiations. They tell both of their superiors that
they intend to settle for the substantive relief set forth in the order and a penalty between $18,000
and $25,000. Their superiors concur.
As the date for the meeting approaches, Laura attempts to meet again with Sam, but they are both
out of the office much of the time and do not connect. The day before the meeting she attempts to
arrange for a conference room, but they are already claimed. Instead she arranges to meet in Sam's
office, which is larger than her's.
On the date of the meeting Laura goes to Sam's office five minutes before the meeting, telling the
main receptionist to ring her there when Larado and TS arrive. Larado, however, is familiar with
the EPA office and proceeds directly to Laura's office, never coming close to the main receptionist.
Laura's secretary is not there and no one knows where she is. Both negotiating teams remain in
Handout (Negotiation) 1
-------
splendid isolation until Laura's secretary returns, discovers the situation, and calls Laura. Laura
returns to her office, meets the TS contingent and escorts them to Sam's office. There are six of
them: their plant manager, chief chemist, inside attorney, outside attorney, their customer's plant
manager, and his attorney. There are only four chairs in Sam's office. Sam and Laura scurry around
to find four more chairs. Sam sits behind the desk, Laura sits beside it and the TS Supreme
contingent crowds in front of the desk, filling all the space between it and the door. The room is
not large enough to hold them all comfortably.
Laura opens by introducing herself and Sam and inviting the TS contingent to do the same. She
apologizes for the confusion and for the cramped quarters. She then outlines the violations alleged
and the enforcement procedures. She emphasizes the Agency's view of the importance and gravity
of the violations and states that EPA would like to see if there is a basis for settling the matter. She
indicates the substantive violations must be corrected expeditiously. Finally, she states that "We
really would like to get a penalty of around $18,000 to $20,000."
Guy Larado, the outside attorney for TS, opens with a statement that TS explained both situations
to the EPA inspector when he was on-site and believe the complaint is a mistake. He asks whether
the inspector is coming to the meeting. Acosta says the inspector has been IPAed to the State and
is not available. Larado says that is a pity, since TS has already been through this with the inspector.
As to the fence, Larado said, there was indeed a 25 ft. section missing the day the inspector was
there. It was missing as the result of an automobile accident on the highway. It was scheduled for
repair within the week and was in fact repaired two days later. The fence, incidentally, was a 10
ft. high, electrified, chain link fence topped with concertina wire, a far more protective fence than
was required or was customary in the trade. He produced pictures of the fence, a notarized affidavit
from the repair company as to when it was repaired, and a copy of a letter to the inspector enclosing
copies of the pictures and affidavit. Sam said that satisfied him that the violation had been
corrected. Laura said that a penalty might be legally authorized, but that equitably it should be
mitigated to zero since the hole in the fence had been caused by a third party beyond the control of
TS. TS had scheduled its repair prior to the inspection and had repaired it immediately after the
inspection, and the fence was far better than required by EPA's regulations. Sam said "I hear you.
Let's talk about the manifest violation.
Larado said TS had discussed that with the inspector too. The waste stream in question was being
delisted when the inspection took place and was subsequently delisted, so it wasn't a hazardous waste
at all. TS's customer said that was right and produced a copy of the delisting document and
accompanying Federal Register notice. Larado said that TS had written the inspector enclosing a
copy of the delisting document and notice. Laura asked Sam if copies of TS's letters to the inspector
were in his files, for they weren't in hers. He said he didn't know, but looked through his file and
found both letters.
Larado said that TS could argue that since the waste stream was delisted by EPA, EPA acknowledged
that it was never really hazardous waste, and therefore, TS never really violated the manifest
requirements. He said TS would forego that argument for the sake of settlement, if EPA would
acknowledge that, because the waste stream was not hazardous, the violations were technical and
there was no damage done to the environment or the regulatory scheme and a de minimus penalty,
if any, was appropriate. He offered $2500. Sam said that sounded fine to him, but that the
violations found raised a question as to the integrity of TS's system for handling manifests and its
waste analysis plan. Laredo answered that EPA's inspector had found no other problems but TS
would hire an outside auditor to review its system and follow its recommendations if defects were
Handout (Negotiation) 2
-------
found. Sam asked if TS would agree to put that in a consent order and Larado agreed. Larado said
that there appeared to be agreement: they would settle on a $2500 penalty and an agreement to audit
TS's manifest system and correct any deficiencies. At this point Laura said she thought EPA's
penalty policy would require more than $2500 for the admitted violations. Larado said Sam had
already agreed to the $2500 figure. Sam said he hadn't agreed to the figure, only that under the facts
a relatively low penalty seemed appropriate. Larado asked how much and Sam asked Laura whether
she thought $5000 would be enough. She said she didn't know. Larado said TS would write a check
for $4000 and deliver it today to settle the matter. Sam said he didn't see how a settlement could be
done so quickly, since it had to be signed off higher up. That usually took at least two weeks.
Larado, who this point had been soft spoken, polite and charming, became red in the face and began
speaking with a louder voice, touched with anger. He protested that he had spoken at length with
the inspector about the importance of a quick resolution of the matter. TS was about to close a major
financing to construct three new state-of-the-art incinerators elsewhere in the next EPA Region to
the east and had to certify a clean regulatory bill of health to secure the financing. He said the
inspector had assured him that if EPA's negotiators could sign off on a settlement, the matter could
be handled in a couple of days. Larado said he was dumbfounded that EPA would hold up so
important a matter when it agreed the violations were trivial and of no consequence.
Sam asked Laura whether she saw any reason not to agree to the settlement outlined. She said she
hadn't really seen enough of these problems to be sure. Sam said as far as he was concerned the
violations, as explained, were technical, the solutions were adequate, and the penalty appropriate.
Laura said he was the client and if he was satisfied, she was. Larado then drew a letter of agreement
which both parties initialed and Laura agreed to turn into a consent order that afternoon. That
afternoon Laura talked to Sanders, the inspector, by phone. He confirmed that he had indicated the
possibility of quick action if agreement was reached, but said the agreement was inappropriate. The
fence break had indeed been caused by an automobile accident and had been repaired immediately
after the inspection. But the break had occurred four months previously and the repair was not
ordered until after TS knew an inspection was scheduled. The fence was indeed far better than those
around most disposal facilities. But it had been ordered by the State after previous fencing had
proved inadequate to prevent repeated damage by vandals. TS was correct that the waste stream
involved in the manifest violations was later delisted. But the real question was whether the
shipments received really were of that waste stream or whether TS had been accepting a non-
permitted waste. Indeed, Sanders wondered whether he hadn't made a mistake in not recommending
action against TS's customer for sending a waste to a disposal facility not permitted to take it. He
was surprised Laura didn't know this because most of it was in his handwritten notes that he was sure
were in the file somewhere.
At this point, EPA's negotiating team recognized that it was in an embarrassing situation.
Handout (Negotiation) 3
-------
HANDOUT 16-2
CRUSH AND DESTROY
I. General Instructions
The facts below are based on parts of actual EPA cases, but the information has been modified
and supplemented to facilitate this exercise. Participants should use only the information provided
in this fact sheet along with their knowledge of the Clean Air Act and EPA regulations. While
participants may have only limited specific knowledge of these requirements, they can use the
general principles of negotiation to develop a strategy. Logical inferences may be made from the
facts. The objective of this exercise is to reach agreement on a plan for conducting a negotiation
with the defendant in the case described below. In developing the strategy, consider:
• What items are negotiable and non-negotiable for EPA.
• Strengths and potential weaknesses in EPA's position.
• The role (if any) of the State.
• Options for specific remedial steps to be required.
• Factors that could be considered in adjusting the penalty amount.
II. Facts
A. The Company
Crush and Destroy, Inc. (C&D) is a company which demolishes industrial and commercial
structures. It has been in business about 20 years, operating in the State of Maryland. C&D is a
closely held family operated business employing 10 people. C&D's gross revenues are about $400,000
per year, and its assets are slightly less than $100,000. Two years ago, the company earned $40,000.
Last year, C&D lost $20,000.
B. The Violations
Several months ago, C&D was demolishing sections of an apartment building. In so doing it
uncovered friable (crumbly) asbestos material. This fact became known to the tenants of the building
who, concerned about the well publicized effects of asbestos, contacted EPA. Several days later EPA
sent an inspector to the site. The inspector observed C&D's operation and noted several violations.
First, C&D workers threw dry asbestos waste material onto the back of an open truck, and
transported it to a local landfill where they dumped the material. These actions violated 40 CFR
61.147(e), which requires that asbestos waste material be kept wet until collected for disposal, and
40 CFR 61.152(b), which requires asbestos waste material to be properly contained, transported and
disposed. Finally, C&D failed to notify EPA in advance of its demolition of the apartment building
in violation of 40 CFR 61.146.
Handout (Negotiation) 4
-------
SESSION 16: NEGOTIATIONS
Purposes of Negotiation
Managing Negotiations
Text: Chapter 19B
OVERHEADS 16-A
-------
17: Press/Public Relations
-------
SESSION 17
TOPIC: PRESS AND PUBLIC RELATIONS
INSTRUCTOR'S OVERVIEW
Time: 75 minutes
Purpose
Present techniques for handling press and other public inquiries related to an inspection
Provide practical experience in answering press questions
Key Points
Emphasize the positive!
Advance Preparation
Text reference Chapter 20.
Prepare for mock interview session. If possible, ask a person from the press office with experience
as a reporter to participate. Prepare additional scenarios if desired.
Equipment
Overhead projector
Flip chart or blackboard
List of Visuals
17-A -- Topic Summary
17-B — Emphasize the Positive!
17-C -- The Reporter's Viewpoint
17-D -- Talking with the Press
17-E -- Specific Techniques
17-F -- The Inspector's Positive Story
List of Handouts
17-1 -- Media Scenario, Instructions for D. Dooright
17-2 -- Media Scenario, Instructions for Mike Wallace
Suggested Teaching Outline
Lecture: Dealing with the Press and the Public 20 minutes
Mock Interviews: Role Play in Handling the Media 45 minutes
Discussion: Lessons Learned 10 minutes
Press 1
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Overhead 17-A
Topic Summary
Introduce yourself, including background, EPA experience,
your role in the course. During this session, we will discuss
techniques for handling the press and the public. At the
end of the session, we will do some role playing.
LECTURE (20 min.)
DEALING WITH THE PRESS AND THE PUBLIC
Ask the trainees: "When
would an inspector be dealing
with news media?" List the
answers on a flip chart. Then
ask: "When would the
inspector be dealing with the
public?" List answers on a
flip chart.
Overhead 17-B
Emphasize the Positive!
In any inspection, nobody is guilty until it has been proven
through an enforcement action. This means that when we
are out on an inspection, we can say nothing that implies a
judgment. In criminal cases, the legal restrictions are even
tighter. EPA's press policies outline what can and cannot
be said; these are summarized in the text in Chapter 20.
In dealing with the press, the key rule is: Emphasize the
positive! There are two ways to handle an interview: You
can be passive, just answering the questions and trying to
skirt disaster when the reporter wants you to speculate or
reveal information prematurely. Or you can be positive.
using the questions as opportunities to tell the Agency's
story. This session will show you how to stress the positive
and make reporters happy.
Where Reporters are Coming From
Every reporter is under pressure from his or her boss to
produce a usable story. Conflict politics make better stories
than scientific facts. The reporter hopes the EPA inspector
can provide part of that story. Reporters' needs are
different:
A newspaper reporter wants facts and quotes that can be
used in print, and the deadline usually is around 7:00 p.m.
for the morning papers.
A television reporter wants a story with entertainment
value, with a pictorial element that will look dramatic on
the TV screen. Words are not enough, because the reporter
has to show the story.
Press 2
-------
INSTRUCTOR NOTES SUGGESTED CONTENT
A radio reporter is trying to capture a story quickly and get
it on the air in the next news break, less than an hour away.
Sound is the reporter's medium, so a short, dramatic quote
taped on the site may make a story fly.
All reporters cover viewpoints, not truths. While they tend
to avoid the extremes, they look for definite opinions on an
issue, not the absolute middle-of-the-road.
Overhead 17-C The inspector can help reporters by meeting their needs,
The Reporter's Viewpoint even when their specific questions cannot be answered.
The reporter can use your explanation of what the
inspection is doing, why it is being done, and what will be
done with the results, especially if you meet the different
needs of the newspaper, television, and radio reporter in
how you tell it.
Techniques for Talking with the Press
When you talk to the press, the most important point is:
Know what you want to say, and use the interview to say it
in a form the reporter can use.
1. Don't Speculate. Reporters speculate as a matter of
course, and they will ask the inspector to speculate, too:
"If you find TCE, are you going to recommend closing
the drinking water supply?" Instead of joining in the
speculation, the inspector should step back to the solid
ground of what is known. You might say: "We don't
know what we'll find here. But we're going to analyze it
and take any action necessary to protect public health
and the environment."
2. Avoid Jargon. The acronyms used so commonly in
environmental agencies mean nothing to the public.
(Most reporters are not scientists and technical
explanations or jargon will mean little to them.) Don't
hesitate to use the full term, even if it comes up several
times. Speak as though you were explaining your work
to someone you just met at a party.
Press 3
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 17-D
Talking with the Press
3. Reject False Premises. Reporters sometimes ask
questions involving a false premise, such as: "Ralph
Nader has said that Superfund is a failure. So isn't this
inspection just a meaningless gesture?" Respond by
refuting the premise if you can and emphasize the
positive. Such as: "I haven't seen Ralph Nader's
statement, but it's clear that none of the Superfund sites
in this region is an imminent threat to human health,
and all of them are moving toward cleanup. It's a long-
term process."
4. Speak on the Record. EPA's business is public business.
If it can be told, it should be on the record. Off-record
conversations can result in unnecessarily scaring the
public before the whole story is in, and they also put
EPA at a disadvantage in moving forward with effective
responses to violations and other environmental
problems.
5. Know What You Want to Say. Even if the reporters
have questions that you can't answer yet, you should
have your own message you want to get across, with two
or three themes. Keep coming back to these themes
when you answer the reporter's questions. One theme
could be the careful conduct of the inspection: thorough
sampling, clean containers, chain of custody, careful
laboratory analysis, consideration of the results.
6. Know When to Stop. When you have finished your
point, stop talking. If the reporter does not immediately
ask another question, do not feel that you must fill the
silence, even if the microphone and camera stay on. A
reporter may use this gimmick, hoping you will babble
on and say something "interesting"!
7. Acknowledge Differences of Opinion. Get out in front
of the story by telling the reporter if there is uncertainty
or if different points of view exist. You don't want the
reporter to learn about a controversy from somebody else
and conclude: "That EPA inspector did a snow job on
me." Emphasize that the Agency is considering all
points of view, and acknowledge relevant uncertainties
involved in the issue.
Press 4
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 17-E
Specific Techniques
Overhead 17-F
The Inspector's Positive Story
8. Make a "No Comment" Sound Like Something More.
You create suspicion by saying "I can't comment."
Instead, spin your answer out, such as: "We don't know
what we're going to find, but we're making an
inspection here about water quality, and we're looking at
100 possible contaminants. We're taking samples here,
and these samples will go to our lab in Smithville for
analysis ..." This way you give the reporter some usable
information, without disclosing facts that are not ready
for release.
9. What If the Reporter Goofs? If the story comes out
wrong, or if you're misquoted, don't leap to the attack
with demands for retraction or angry complaints to the
editor. Reporters have a low tolerance for criticism.
Getting on their bad side could hurt your Agency's
future coverage. But the reporter is interested in getting
the story right. Call on your press officer and discuss
how to handle the situation. A method that often makes
the best of a bad situation is to call the reporter and take
part of the blame, such as: "I guess I didn't make myself
clear. Did I really say that EPA was thinking of shutting
down the water supply?"
Overall, the inspector's response to reporters can project a
positive story about EPA's efforts to protect public health
and the environment. It's not necessary to give out
information prematurely or to speculate about the future,
because reporters will use what inspectors can readily tell:
What we are doing at a site and what our methods are. It's
and interesting story to tell, and nobody but an inspector
can tell it first-hand.
Press 5
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INSTRUCTOR NOTES SUGGESTED CONTENT
MOCK INTERVIEWS HANDLING THE MEDIA
(45 min.)
Mock interviews are designed
to give inspectors practical
experience in dealing with
questions from the press.
They are done in television
news style, with the
instructor taking the role of
the reporter. (If the press
office can supply a person
with reporting experience,
have them play the reporter.)
These mock interviews can be
particularly effective if they
are videotaped.
This exercise should consist
of several short interviews,
leaving plenty of time in the
classroom session for the
trainees to react. The inter-
views serve primarily as a
stimulus to the desired
discussion.
After each interview, the
instructor leads a discussion
in which the trainees critique
the interview. Emphasis
should be on drawing the
information from the train-
ees, because in this exercise
they are applying what they
learned from the text and
lecture.
Press 6
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Distribute Handouts 17-1 and
17-2. Select 3-4 trainees to
play the inspector. Have
them leave the room to read
the scenario while you
explain it to the rest of the
class. Then bring the trainees
in, one at a time, to do the
role play.
Ask the trainee to critique
his/her own performance
first. Then ask the group to
critique the inspector's
performance. Did he/she
reveal anything inapprop-
riate? Were the answers
given likely to satisfy the
reporter? Citizens' groups?
Was there anything else the
inspector could have said or
done to "lower the
temperature?"
Background for the group: Read each scenario, Handouts
17-1 and 17-2.
DISCUSSION (10 min.)
LESSONS LEARNED
Ask the group to think about
all role plays and summarize
lessons learned.
What lessons could be drawn from this exercise that will
help you in dealing with the press?
Press 7
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HANDOUT 17-1
MEDIA SCENARIO
Instructions for D. Dooright. intrepid EPA inspector
A public water supply well serving 15,000 people is found contaminated by TCE. The levels in the
water are slightly under the two-year health advisory level for the chemical; the cancer risk at the
level found is estimated to be 1 in 10/-6.
The source of the contamination is thought to be the Strangefellow Company, a small manufacturing
company. The firm is a subsidiary of Swallow, Inc., a Fortune 500 company whose name is a
household word. Swallow has environmental problems at several of their facilities.
The Strangefellow facility is the closest down-dip facility to the well that might be a user of
chemicals like TCE, so an inspection was scheduled to see if it might be a user of chemicals like
TCE, and whether it might be a source of the problem. Plant workers told you that they put
containers of used cutting oil and solvents in back of the plant, and has been doing so for years.
When you went out back to look, there was a pile of rusting containers. There was a strong chemical
odor, so you went back to your car to get a respirator. You wore it while photographing the area
and taking samples of the soil. You noted that the containers were marked as containing a variety
of chemicals, including TCE. When you leave the facility, Mike Wallace of 60 Minutes is waiting
for you with a microphone and TV camera.
Press (Handout) 1
-------
HANDOUT 17-2
MEDIA SCENARIO
Instructions for Mike Wallace, investigative reporter for 60 Minutes
You have been investigating a story about Swallow, Inc., a Fortune 500 company, that has had many
environmental problems. EPA has never taken the company to court; EPA has always negotiated a
settlement with them.
You learn that a public water system well has been found contaminated with TCE, and that a
Swallow subsidiary named the Strangefellow Company is suspected to be the source of the
contamination. You are in town interviewing local citizens who are convinced that they are going
to get cancer from drinking the water, even though EPA says it is "safe" for them to drink it.
You get a tip from a Strangefellow employee that an EPA inspector is at the facility, so you take
your camera crew to the site to wait for the inspector to come out. You want to know:
• If Strangefellow is responsible for the well contamination.
• What the inspector found while he/she was there.
• Whether Strangefellow is violating the law.
• If the fact that the inspector was wearing a respirator doesn't prove that the site is dangerous.
• Why EPA won't shut down the well since people might get cancer from it.
• Why EPA never takes Swallow to court.
Press (Handout) 2
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SESSION 17:
PRESS AND PUBLIC RELATIONS
Dealing with the Press
Role Playing Exercise
Text: Chapter 20
OVERHEADS 17-A
-------
DEALING WITH THE PRESS
AND THE PUBLIC
EMPHASIZE THE POSITIVE!
L
OVERHEADS 17-B
-------
THE REPORTER'S VIEWPOINT
Goal: A Usable Story
Differences Among:
Newspaper
Television
Radio
OVERHEADS 17-C
-------
TALKING WITH THE PRESS
1. Know what you want to say
2. Use the interview as an opportunity to say it
EMPHASIZE THE POSITIVE!
OVERHEADS 17-0
-------
SPECIFIC TECHNIQUES
1. Don't speculate
2. Avoid jargon
3. Reject false premises
4. Speak "on the record"
5. Know what you want to say
6. Acknowledge differences of opinion
7. Make a "no comment" sound like something more
8. What if the reporter goofs?
OVERHEADS 17-E
-------
THE INSPECTOR'S POSITIVE STORY
1. WHY we're at this site
2. WHAT we're doing here
3. HOW we're doing it
OVERHEADS 17-F
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18: Appearing as a Witness
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SESSION 18
TOPIC: APPEARING AS A WITNESS
INSTRUCTOR'S OVERVIEW
Time: 105 minutes
Purpose
Describe what to expect when appearing as a witness
Present tips for testifying at a deposition or trial
Demonstrate questioning, examination, and cross-examination
Key Points
Prepare well in advance. Don't volunteer information.
Advance Preparation
Text reference Chapter 19A.
Select a trainee who has already performed some inspection work (in advance of the course, if
possible). Prepare that person to give testimony about a recent inspection. Prepare for examination
and cross-examination as a demonstration for the class.
Equipment
Overhead Projector
List of Visuals
18-A -- Topic Summary
18-B — P-R-A-S-S
List of Handouts
None
Suggested Teaching Outline
Lecture: Testifying at a Deposition, Trial, or Hearing 45 minutes
Demonstration: Examination and Cross-Examination 30 minutes
Discussion: Appearing as a Witness 30 minutes
Witness 1
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Overhead 18-A
Topic Summary
Introduce yourself, including background, EPA experience.
In this session, we will discuss what happens when you must
appear as a witness, and we will suggest techniques for
being a more effective witness.
LECTURE (45 min.)
TESTIFYING AT A DEPOSITION, TRIAL, OR HEARING
The Federal Rules of Evidence and Federal Rules of Civil
Proceeding govern the conduct of any Federal civil
proceeding. Key rules related to witnesses are summarized
below.
A witness gives testimony at a trial, under oath or
affirmation, from personal knowledge (FRE 602, 603).
There are four types of witnesses:
• Consultant: can be protected from discovery if behind-
the-scenes (FRCP 26(b) (4)).
• Expert witness: has scientific, technical, or other
specialized knowledge that would help the judge or jury
understand; can provide testimony on facts, provide
opinions on facts not in evidence, and even offer an
opinion on the ultimate issue of the case (FRE 702 704).
An inspector might be an expert witness in an area of
technical expertise.
• Client or policy-maker: in EPA, generally the
supervisor or managers above the inspector and others
directly involved in the case. Their knowledge is
generally protected from discovery under several
privileges, e.g., attorney-client.
• Fact witness: testifies as to what he or she learned
through the use of his or her five senses; the usual role
for the inspector. Under the FRE, a "foundation" must
be laid before the inspector can testify.
Witness 2
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INSTRUCTOR NOTES SUGGESTED CONTENT
A principal tactic trial attorneys employ is to call into
question the credibility of the witness of the opposing side.
The purpose of "impeachment" is to reduce the likelihood
that the judge or jury will believe the witness. Some of the
bases for impeachment include:
• Biases or interest (family relationship, business tie, etc.)
• Lack of opportunity to perceive (distance too great or
light not sufficient to see)
• Inability to recollect (poor detail that can't be refreshed
because of incomplete notes)
• False testimony (testimony stating that standard
procedures were followed but records are produced
showing otherwise)
• Corruption or likelihood of false testimony (acceptance
of bribe, subornation of perjury)
• Mental or physical incapacity, but not amounting to
incompetency (sick, tired)
"Hearsay" is an out of court statement offered in court for
the truth of the matter asserted. It is commonly thought
that hearsay is inadmissible, but there are exceptions:
• A verbal statement made to the witness by the
defendant, or his representatives or employees, is
generally admissible.
• Business records, written statements, and official reports
made by other than the witness are technically "hearsay"
but generally are admissible.
Depositions
Depositions are statements taken under oath and "on the
record." They are one method used by the opposing side to
get more information about the government's case.
Witness 3
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INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 18-B
P-R-A-S-S
Depositions take place outside the courtroom, usually at the
office of the opposing counsel. Attorneys for both sides
and a court reporter are present. Do not proceed if your
attorney is not there.
If an inspector is subpoenaed for a deposition, contact the
appropriate EPA attorney immediately. Time will be
short -- for either preparation for the deposition or for
EPA to quash the subpoena.
The inspector must answer questions honestly and
completely, but the inspector does not have to tell the story.
Make the attorney work for it -- the inspector should not
volunteer information.
Preparation for the deposition is the key:
• Review documents, and if required by the subpoena,
compile and produce it
• Plan how to respond to the likely questions but do not
take extra notes with you
• The inspector and attorney must discuss how to deal
with the more difficult concepts of the testimony.
Tips for giving depositions:
• Everything that is said is on the record, and may even
substitute for live testimony.
• Speak as clearly as possible. The court reporter must be
able to understand, e.g., the difference between PVC
and PCS. Provide a glossary of technical terms to the
reporter if possible.
• There are many interruptions, like debates between the
lawyers. Say nothing until instructed by your attorney
to proceed.
Witness 4
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INSTRUCTOR NOTES SUGGESTED CONTENT
• Beware the "eye of the record" for body language, etc.
The opposing attorney only need say "the witness
conferred with counsel before answering" and it is on
the record.
• Be as descriptive as possible in referring to exhibits or
photographs, e.g., "In the upper right hand corner we
see..." rather than "Here we see..."
• Do not discuss the subject of the deposition with anyone
during breaks (except your attorney in private
surroundings). Off-hand remarks can be placed on the
record merely by the opposing attorney saying "Isn't it a
fact that during the break you said...."
• Always pause before answering a question so your
attorney has time to object.
• Listen carefully to the question and ask to have it
repeated if necessary.
Testifying in an Enforcement Proceeding
Preparing for Testimony:
• Preparation begins the moment the inspector begins
planning the inspection. From that moment, everything
he or she hears, sees, reviews, samples, records, etc., is
potential evidence.
• The inspector and attorney must work together to:
Review inspector's evidence and prepare testimony
within the theory of the case
Get to know each other
Prepare the inspector for what to expect.
• Preparing and using exhibits and graphics can help the
inspector remember what is to be said.
• Be rested and dressed appropriately on the day of
testifying.
Witness 5
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INSTRUCTOR NOTES SUGGESTED CONTENT
Tips for Direct Examination:
• Listen to the question.
• You don't have to remember everything that is to be
covered. Just answer the questions. The attorney's job
is to ask the right questions.
• Eye contact with the judge or jury helps to persuade.
• Be sensitive to the rhythm. Short questions and short
answers build a rhythm and a story emerges. Try not to
let opposing attorneys break the rhythm.
• Be objective and straight-forward. Convey the "I'm
just doing my job" image.
• A good direct examination introduces a subject and
then through short questions elicits the evidence in
succinct answers in a logical order.
• Key words and signals to help the inspector give the
testimony should be worked out in advance. An
example is "Is there anything else?" would be a signal to
the inspector that something has been left out; the
inspector should not immediately say "no." If the
inspector still can't recall, the attorney might even risk
an objection by asking an improper question. Listen --
the "improper" question will include key words on what
the inspector forgot to cover.
• The first few questions will be along the lines of asking
for name, occupation, length of employment, etc. This
is to give the inspector time to get used to testifying.
• In the second line of questioning, the foundation for the
inspector's testimony is laid. Usually, this is
chronological. As the testimony progresses, exhibits are
entered and discussed.
• Stay within your limits of expertise and knowledge.
Witness 6
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INSTRUCTOR NOTES SUGGESTED CONTENT
• There are always weaknesses in the government's case to
be dealt with. Inform the attorney of any problem in
the case as soon as possible; there should be no surprises
at the trial. The attorney can figure out how to handle
and compensate for the weakness.
Cross Examination:
The purpose of cross-examination is to diminish the
strengths and amplify the weaknesses of the opposing side.
A skilled cross-examiner can "go for the throat" (but
fortunately, most attorneys have difficulty with cross-
examination).
Stay cool and neutral; if you are being battered, your
demeanor will bring sympathy.
Leave the adversarial work to the attorneys.
Most cross-examination will focus on:
• Your past experiences, including occupation,
associations, education, training
• Your observations, memory, and accuracy of
recollection
• Active motive, bias, or prejudice you might have.
The litigation team will prepare you for this.
Questions during cross-examination try to force the witness
into a "yes" or "no" answer. If you are cut off, your own
attorney will get an opportunity to redirect.
Tips for dealing with cross-examination:
• Listen carefully to the question, pause, and answer
succinctly. Ask for clarification if you do not
understand.
• Don't volunteer any information that is not required by
the question.
• Listen for inaccuracies and correct them before
answering.
Witness 7
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INSTRUCTOR NOTES
SUGGESTED CONTENT
• Refresh recollection through documents rather than
respond with an inaccurate or wrong answer.
• Don't look at your attorney for help!
Redirect Examination:
Redirect is limited to the issues raised during cross-
examination. Its purpose is to give the witness' own
attorney an opportunity to counteract or diminish any
damage done during cross-examination.
Witness Demeanor:
Your posture, speech, and appearance will enhance or
detract from your credibility. Be professional.
DEMONSTRATION
(30 min.)
EXAMINATION AND CROSS-EXAMINATION
The purpose of this demon-
stration is to give inspectors
an idea of the type of
questions and atmosphere
they are likely to experience
when appearing as a witness.
It requires advance prepara-
tion on the part of the
instructor and the witness,
who will testify about an in-
spection he or she has per-
formed.
Witness 8
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INSTRUCTOR NOTES SUGGESTED CONTENT
The attorney-instructor
should select as a witness an
inspector who has had some
inspection experience. The
inspector can either be
another instructor (this has
the advantage of being able
to be repeated at future
courses) or one of the
inspector-trainees (this has
the advantage of providing
some hands-on experience).
An inspector-trainee can be
selected in advance, such as
the week before the course or
early during the course, to
allow for some advance prep-
aration by both the attorney
and the inspector.
The attorney-instructor
should prepare for both direct
and cross-examination of the
witness. During the demon-
stration, the instructor might
want to stop periodically and
explain what is happening,
such as laying foundation,
attempt to impeach, pro-
viding key word clues to the
witness, etc. The attorney
may also wish to point out
when a particular Rule of
Evidence is being used to
advantage.
Witness 9
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INSTRUCTOR NOTES
SUGGESTED CONTENT
DISCUSSION (30 min.)
APPEARING AS A WITNESS
Discuss the demonstration
and answer any questions.
What lessons were illustrated that will help you be a better
witness.
Witness 10
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SESSION 18:
APPEARING AS A WITNESS
Testifying at a Trial, Deposition, or Hearing
Demonstration
Text: Chapter 19A
OVERHEADS 18-A
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p-R-A-S-S
Pause
Responsive
Accurate
Sincere
Succinct
OVERHEADS 18-B
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