NETI-West Basic Inspector Training Course Instructor Manual


NETI-WEST
BASIC INSPECTOR
TRAINING COURSE
INSTRUCTOR MANUAL
JULY 1997
U.S. Environmental Protection Agency
Office of Enforcement and Compliance Assurance
Office of Criminal Enforcement, Forensics, and Training
National Enforcement Training Institute
Lakewood, Colorado
1INETI
NATIONAL ENFORCEMENT TRAINING INSTITUTE-West

-------
Table of
Contents
Introduction/Purpose of Course
Mock Trial
Enforcement Process Responsibilities
Introduction to Environmental Compliance
Summary of Environmental Statutes
Instructor Issues
Role of the Team Leader
Elements of an Inspection
Inspection Planning
Sources of Information
Entry, Opening Conference and Site Tour
Interviewing
Evidence
Sampling Issues
Records Review
Closing Conference
Inspection Report
Administrative Procedures
EPA Initiatives/New Statutory Requirements
Introduction to Criminal Investigations
Wrap-Up and Evaluation
A AVERY'	READY INDEX™ INDEXING SYSTEM

-------
1

-------

-------
SESSION 1
TOPIC: INTRODUCTION AND PURPOSE OF COURSE
INSTRUCTOR'S OVERVIEW
Time: 15 minutes
Purpose
Key Points
Advance
Preparation
Provide course overview and logistics.
Explain why course was developed.
Conduct introductions and get-acquainted discussion.
Identify inspection-related problems inspectors have encountered and
relate them to course content.
Inspectors play a crucial role in ensuring that the nation's
environmental laws are implemented.
The inspector's job is complex, requiring legal, technical, and
communication skills.
Be familiar with background of trainees, such as program affiliation,
discipline, length of experience as an inspector (for U.S.
Environmental Protection Agency [EPA] and for other organizations),
and frequency of involvement in inspections.
Equipment
List of Visuals
List of Handouts
Overhead projector
1-1
Introduction
1-2
Why This Course?
1-3 and 1-4
Summary of Course Schedule
1-5
Discussion Questions
1-6
Features of Good Quality Inspections
1-7 and 1-8
Consequences of Poor Quality Inspections
None

i
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE
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 m the
Suggested Content column and
some of the overheads are
based on the suggested
schedule; they should be
modified if changes have been
made in the course schedule.
Introduce yourself and tell a little about your background and
EPA experience. Welcome trainees.
Explain ground rules for the course, such as:
Prompt starting time in morning and after breaks
Attendance requirements
Homework and quizzes
Discuss other logistics, such as where to eat, any special dinner
plans, transportation, and other items.
LECTURE
INTRODUCTION TO COURSE
Overhead 1-1
Introduction
Overhead 1-2
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 the experiences you already have had. We will end
this session with a discussion of what makes a good quality
inspection and why the quality of an inspection is important.
Why This Course?
Inspections are the cornerstone of EPA's enforcement
effort, which is essential to the credibility of EPA's
programs.
If an inspector does 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.
Inspectors also must master the art of investigation — the
ability to ask the right questions, follow the paper trail, and
check out an inconsistency.
1-1
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overheads 1-3 and 1-4
Summary of Course Schedule
Hie overheads and the
Suggested Content column are
based on the suggested
schedule for the course. If the
schedule has been modified,
make appropriate changes in
the materials.
To strengthen EPA's enforcement capacity, a new EPA
order requires that all EPA inspectors complete both basic
and program-specific inspector training.
This course fulfills requirements for basic training in legal,
technical, administrative, and communications aspects of
inspections; inspectors also must take 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 under any environmental
program.
Summary of Course Schedule
Now, I would like to give you an overview of the course
schedule. After the introductory session today, we will have a
mock trial to acquaint you with one of the problems the
inspector must be prepared for.
The next segment of the course covers the legal foundation of
our inspections, including a-summary of environmental laws
and an overview of enforcement. We will finish today with a
discussion of issues of importance to inspectors and the role of
the leader of the inspection team.
The remaining sessions roughly track the chronology of an
inspection.
Tomorrow morning, we will begin with sessions on the
elements of an inspection.
DISCUSSION
INTRODUCTIONS
Introductions
t Ask trainees to introduce themselves one by one and tell about
their backgrounds (for example, years with EPA, technical or
other discipline, other experience, and program(s) under which
they conduct inspections).
1-2
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 1-5
Discussion Questions
Follow introductions with one
or more of the discussion
questions.
The discussion will help break
the ice, as well as allow the
instructors) to tailor the
training further, if necessary, to
cover topics of interest to the
trainees.
Encourage all to participate,
but do not force participation.
It may be necessary to start the
discussion with a story of your
own.
Discussion Questions
The purpose of the discussion questions is to allow inspectors
to identify problems they have encountered in performing
inspection-related tasks and the consequences of those
problems.
What was the most difficult situation you ever encountered
during an inspection? How did you handle it?
Have you ever testified in an enforcement proceeding
about something you did during an inspection? What was
the most difficult aspect of testifying? In retrospect, was
there anything that you might have done differently in
performing or. documenting the inspection that would have
made your testimony easier?
What do you think are the skills an inspector most needs?
Why?
DISCUSSION
IMPORTANCE OF GOOD QUALITY INSPECTIONS
Overhead 1-6
Features of Good Quality
Inspections
Use examples of how good
inspection work led to prompt,
effective resolution of a case.
EPA has had many successes over the years in bringing
violators of environmental laws into compliance. That success
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 for case development.
At the same time, EPA has learned what factors can affect the
quality of inspections and the consequences.of those problems.
Discussed below are features of good quality inspections:-
Adequate planning, for example, the inspector brought correct
sampling equipment, facility's permit conditions were-known
to inspector, and good-coordination was maintained between
inspector and attorney.
Adherence to proper procedures, for example, the inspector
complied with requirements for lawful entry and documented
compliance.
1-3
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Use your own "war stories" to
illustrate problems with regard
to inspection quality that the
Region or program has
encountered.
Encourage trainees to
participate.
The fullest perspective will be
provided if both senior
inspector and senior attorney
instructors participate in this
discussion.
Thorough documentation, for example, chain of custody record
completed; capability to trace a specific sample (photograph,
record) to a specific member of the inspection team, location,
and identification number; and suspected violation adequately
substantiated by evidence.
Correct sampling, for example, standard operating procedures
(SOP) followed and representative cross-contamination samples
collected.
Complete inspection file, for example, full inspection report,
required notices and forms, and adequate substantiating
evidence.
DISCUSSION
CONSEQUENCES OF POOR QUALITY INSPECTIONS
Overheads 1-7 and 1-8
Consequences of Poor
Quality Inspections
Encourage trainees to talk
about specific examples of
these problems.
Problems in quality and completeness of inspections can:
Cause EPA to draw the- wrong conclusion about a facility's
compliance status - for example, a facility might be judged
to have no violations because the inspector did not inspect
thoroughly
Delay and add to the cost of pursuing an enforcement
action - for example, a second inspection is needed to
collect evidence that should have been collected during the
first one
Create unnecessary obstacles to successful prosecution of a
case - for example, the defendant challenges EPA's
evidence because the inspector did not follow SOPs
Cause EPA to elect not to pursue an enforcement action
against a violator - for example, poor quality of an
inspection report and incompleteness of the file lead EPA
to decide that bringing a case would be too risky
Result in the loss of a case by EPA - for example, the
judge rules that critical evidence cannot be admitted
because it is not authenticated adequately
1-4
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Recap of Purpose of Course
The course is designed to improve the inspector's ability to
respond to problems and conduct high-quality inspections.
1-5
JULY 1997

-------
Introduction
Why this course?
Summary of course schedule
Inspector profile
Importance of inspection quality
Text: Chapter 5
1-1

-------
Why This Course?
Inspectors play a crucial role in ensuring
that the Nation's environmental laws are
implemented
Inspector's work is very complex, involving:
-	Legal aspects
-	Technical aspects
-	Communications
Course to provide foundation
1-2

-------
Summary of Course
Schedule
Day 1
-	Introduction
-	Enforcement process
-	Legal foundation
-	Issues important to inspectors
Day 2
-	Elements of inspection
-	Preinspection activities
-	On-site activities
(continued)
1-3

-------
Summary of Course
Schedule
• Day 3
-	Postinspection activities
-	New initiatives
-	Postcourse assessment
1-4

-------
Discussion Questions
What was the most difficult situation you
ever encountered during an inspection?
How did you handle it?
Have you ever testified in an
enforcement proceeding? What was the
most difficult aspect of testifying?
What do you think are the skills an
inspector most needs? Why?
1-5

-------
Features of Good Quality
Inspections
Adequate planning
Adherence to proper procedures
Thorough documentation
Correct sampling
Complete inspection file
1-6

-------
Consequences of Poor
Quality Inspections
Draw incorrect conclusions about compliance
Delay and add cost to the enforcement action
Cause unnecessary obstacles to successful
prosecution
(continued)

-------
Consequences of Poor
Quality Inspections
Result in decision not to prosecute
Result in the loss of the case by the
government
1-8

-------

-------

-------
SESSION 2
TOPIC: MOCK TRIAL
INSTRUCTOR'S OVERVIEW
Time: 30 minutes
Purpose
Introduce participant to the realities of what can result from their inspection.
Key Points
Inspectors must be accurate and thorough in their inspections and follow-up record keeping.
Advance Preparation
Be familiar with the mock trial.
A facilitator should act as the judge.
Select class participants to act as the witness.
Set up space in front of classroom for the mock trial.
Equipment
None
List of Visuals
None
List of Handouts
2-1 -- Scenario for Mock.Trial (to be used by players only).
JULY 1997

-------
HANDOUT 2-1
SCENARIO FOR MOCK TRIAL
In the Matter of: ABC Asbestos Company
Judge Frazier: I will ask counsel for the complainant to present her first witness.
Ms. Hill: Thank you. The complainant calls
Judge Frazier: State your name and occupation for the record.
The Witness: My name is . I am an asbestos compliance inspector for the U.S.
Environmental Protection Agency (EPA), Region n.
Judge Frazier: Proceed.
By Ms. Hill:
Q. I want to turn your attention to the date of June 4, 1991. Can you tell, us what occurred on that
date?
A. Well, I had left Boise the day before and done an inspection in Twin Falls on the way to
Pocatello. I went to Big Town and I did an inspection at North High School in Big Town, Idaho.
Q. At the time that you were conducting the inspection at North High School on that day, were you
accompanied by anyone else?
A. Yes.
Q. Who accompanied you?
A. I had a friend with me, . Because I had intended to go up to northern Idaho, andrlhat
area is fairly deserted, I thought it would be better to have someone with me in case of a
breakdown of any type with the vehicle. No one from my office was available at that.timerand
no one from the Occupational Safety and Health Administration (OSHA) w^avaiLablfe-to'-gS?5,
Q. At this time, I would like to band-youv what has been marked as Complainant's^Exhibit No/1
Can you identify it, please?
A. Yes, this is my inspection report for North High School in Big Town.
Q. And can you go through it and indicate what each of the parts of the document are?
A. The first document is the written report for the inspection. That is Exhibit No. 1. Exhibit 1A is
the check list, field check list. IB is the photo identification log, along with the photos. 1C is
a sample plan submitted to EPA to obtain sample numbers. ID is a notification form received by
EPA. from ABC Company. E is the chain-of-custody form that was included when I sent the

-------
HANDOUT 2-1
samples to the lab. And F is the sample results received from the Manchester lab, EPA
Manchester lab
Q. In this particular instance, do you recall when the inspection report was actually written?
A. Of this written report?
Q. Yes.
A. It would have been written on June 10, when I returned to the office.
Q. And this is contained in your inspection file in the business records of the EPA?
A Yes.
Ms. Hill: I would like to move to enter into evidence Complainant's Exhibit No. 1, with the attachments.
Judge Frazier: I will admit it into evidence, all of Complainant's Exhibit No. 1.
By Ms. Hill:
Q. I would like to go into some detail concerning your inspection at North High School. Could you
describe what time you arrived at the site?
A. It was approximately - let me check, it was just before 1:00 o'clock. I do need to look through
here.
Q. You can look at that to refresh your recollection concerning the events that have occurred, so to
the extent that you need to refer to that, please do so.
A. Okay. It was before 1:00 o'clock, so it was 12:45; it was about that.
Q. What did you do upon first arriving at the site?
A. Well, I pulled up behind the school and looked at the containment on the outside of the boiler
room and checked for abatement workers. No one was there. So I walked through the school and
when I got to the principal's office, the principal, Mr. Nelson, was there. I explained to him
about the National Emissions Standards for Hazardous Air Pollutants (NESHAP) inspection. I
asked permission to conduct the inspection, and he said yes.
Q. After the principal gave permission, where did you go?
A. I went back to the restroom to change into my bathing suit and Tyvek.
Q. After you dressed for the purpose of going into containment, what did you do?
2
JULY, 1997

-------
HANDOUT 2-1
A. I went across the courtyard and entered the containment area. There was only a poly door going
into the containment. The containment was not secured in any way.
Q. When you say not secured, what do you mean?
A. There was no door to be closed; there was nothing to keep anyone from entering the containment.
There was no type of barrier to keep anyone out of the containment. There were young children
playing on playground equipment approximately SO feet away.
Q. And can you describe what happened then, as you entered containment?
A. When I entered containment I noticed~the first picture I took was 4A--I noticed a pile of pipe
insulation commonly called air cell.
Q. How much material do you estimate was there in that pile?
A. It looks like approximately 70 cubic yards. I paced it off to determine how much was there, just
as an estimation. I generally do not take tape measures into containment because they are
extremely hard to decontaminate.
Q. At this point I am going to hand you what has been identified as Complainant's Exhibit No. 9A.
Can you describe what this is a picture of?
A. This is an enlargement of picture 4A - of the pile of air cell pipe insulation that was inside the
boiler room. The white areas are the dry sections and the very ends have been wetter; they show
dark staining.
Ms. Hill: I would move to have Complainant's Exhibit No. 9A entered into evidence.
Judge Frazier: Ms. Matthews?
Ms. Matthews: Just a moment, Your Honor. Could I ask one question of the witness, Your Honor?
Judge Frazier: Yes, go ahead.
Ms. Matthews: Ms. , what kind-of camera did you use to take this photograph?
The Witness: I used a Chinon waterproof camera.
Ms. Matthews: Is that government issued?
The Witness: Yes.
Ms. Matthews: Flash7
The Witness: Yes.
3
JULY, 1997

-------
HANDOUT 2-1
Ms. Matthews: Do you know the speed and number on your film?
The Witness: It was 200.
Ms. Matthews: 30 millimeter?
The Witness: Yes.
Judge Frazier: This looks like a good time for a break.
Ms. Matthews: I have no objection.
BREAK
Judge Frazier: The hearing will now reconvene and I would ask our witness to take the stand and
remind you that you are still under oath.
Ms. Matthews: Thank you, Your Honor.
CROSS-EXAMINATION
By Ms. Matthews:
Q. Are you married, Ms.	?
A. No.
Q. Am I correct in assuming that you have not actually ever been involved in the stripping or
removal of asbestos?
A. I have never spent eight hours stripping a room of asbestos. I have tried my hand at it as a
learning experience while working for an asbestos abatement company.
Q. Who else was present who would have observed you doing this type of work?
A. The people in the abatement company.
Q. Do you have names?
A. I have names but —
Ms. Hill: I object concerning the relevancy of the names of the people who were there when she worked
for another employer.
Judge Frazier: Ms. Matthews?
4
JULY, 1997

-------
HANDOUT 2-1
Ms. Matthews: Well, Your Honor, I simply want to have a means of verifying whether the witness is
telling the tnith or not. We may want to contact these people and verify that information.
Ms. Hill: I question whether it's relevant that she has actually done any stripping herself or not.
Ms. Matthews: It simply goes to her credibility, Your Honor, as far as I know, she is the only individual
from the EPA who ever entered the containment area in this case, and I suspect that her testimony is going
to win or lose this case.
Judge Frazier: I will instruct the witness to answer the question.
A. It was for Asbestos Environmental in Spokane - Richard Beagle, Dave Burger.
Q. Did you have any contact or communication with Brad Brown during that project?
A. Yes.
Q. What do you recall the contact being?
A. I was on the site strictly doing contractor air monitoring for Brad Brown.
Q. For Brad Brown? He was the abatement worker at North High School, wasn't he?
A. Yes, to both questions.
Q. He hired you?
A. Yes - for the job in Spokane.
Q. Did you have any tension between the two of you during the job?
A. I don't believe so.
Q. None that you recall?
A. We worked some very long hours and ~
Q. Do you recall him ever remarking to the effect that you weren't doing enough, that you ought to
earn your money?
Ms. Hill: At this point I'll raise another objection as to relevancy. It is not relevant to the job that she
did at North High School.
Judge Frazier: Ms. Matthews?
Ms. Matthews: Your Honor, I am simply trying to develop some bias and prejudice before she conducted
5 JULY, 1997

-------
HANDOUT 2-1
this inspection at a job site where Brad Brown was obviously one of the workers involved.
Judge Frazier: I will allow the question.
A. Would you repeat it?
By Ms. Matthews:
Q. Well, it has something to do with you recalling if Mr. Brown ever made comments to you about
perhaps your not performing your functions and earning the money you were being paid on that
project.
A I don't believe so.
Q. Ms , I assume that you make every effort to make sure that the forms you fill out are
not deficient?
Ms. Hill: Objection. It's unclear, it's vague, if she is asking any form she ever fills out ever has any
deficiencies in them or what she is referring to.
Judge Frazier: Could you explain the relevancy of this question? I am not sure I understand.
Ms. Matthews: I just want to know if she feels in her position that the forms she has to fill out for a
field inspection should be done with the same degree of precision and accuracy she requires of abatement
contractors on their notification forms.
Judge Frazier: I think she is asking a general question, like what standard do you establish for yourself
when you do your work; it is a high standard or not such a high standard?
A. It's a high standard for myself.
By Ms. Matthews:
Q. Your field inspection check list specifies the information you are to provide in connection with
the inspection, does it not?
A. That's true, yes.
Q. And you are trained to do that as accurately and as fully and as completely as you can, aren't you?
A. As completely as I can at that moment, yes, on that project, with the information provided.
Q. Now, looking at page 2 of the check list, there is a space provided for you to make a remote
observation sketch, correct?
A. Yes.
6 JULY, 1997

-------
HANDOUT 2-1
Q. And the instructions on the front page indicate that you are to draw the building or other source
of suspect asbestos-containing material, the location of debris, and you were to estimate and
indicate dimensions and distances as accurately as possible on the drawing. Was all of this done?
A.	No.
Q.	You mentioned that you prepared field notes during this inspection.
A.	Yes.
Q.	And when did you prepare your field notes?
A.	That day.
Q.	Do you prepare them while you are in the containment?
A.	No.
Q.	So after you left the site?
A	No. They were on the clipboard with the check list.
Q.	And it is from the field notes that you prepared the written report?
A	Yes.
Q.	And you have destroyed your, field notes?
A.	Yes.
Q.	Is there a reason for destroying your field notes?
A.	Yes, it reduces the amount of paperwork in my files.
Q.	Even though you have sent something off regarding a potential situation when someone1 may be
facing substantial penalties, you intentionally eliminate your field notes?
A. Yes. This typed inspection report takes the place of the field notes.
Q. But someone cannot compare your typed written report with your field notes taken the day of your
inspection, now, can they?
A. No.
Q. Now, you arrived at the job site in a government vehicle, is that right?
7
JULY, 1997

-------
HANDOUT 2-1
A Yes.
Q. And you had with you your	friend?
A. I had a friend with me.
Q. Is it inaccurate to say	is your	friend?
A. I had a friend -
Ms. Hill: I object to the relevancy of that particular question.
Ms. Matthews: Your Honor, I am simply trying to establish how closely this particular witness follows
policy of the EPA and of the United States government regarding asbestos removal, regarding
transportation of unauthorized people in government vehicles. I think it does go to her credibility as a
witness.
Judge Frazier: I will allow the question.
By Ms. Matthews:
Q Was	your	friend?
Ms. Hill: The question of whether it is a	friend or not is.also allowed?
Judge Frazier: Yes.
Ms. Hill: Thank you.
A. Yes,	, is.
Q. Turning now to this EPA publication entitled Asbestos NESHAP Adequately Wet Guidance. Are
you familiar with it?
A. Yes.
Q. Now, this EPA booklet describes techniques for adequately wetting various types of material; is
that true?
A. Yes.
Q. Do those techniques conform with the way you think the asbestos-containing materials should be
adequately wetted?
A. I can't answer yes or no.
8
JULY, 1997

-------
HANDOUT 2-1
Judge Frazier: All right, explain why.
A. It is not my job to evaluate the techniques; it's my job to evaluate whether or not the material is
adequately wet.
Judge Frazier: If you are making an inspection to determine whether someone is using proper
techniques, do you use those outlined here as guidance?
The Witness: I don't look for wetting techniques; I just look for adequately wet.
Judge Frazier: So you would not ask someone being inspected what techniques they used?
The Witness: No.
Judge Frazier: Why were you interested in the hoses in this situation?
The Witness: I looked for a source of wetting because a lot of the materials were dry and I looked to
see if there was a source for them to wet the materials, and there was. The type of wetting doesn't make
a difference; what makes a difference is whether or not it's wet.
Judge Frazier: Is using hoses a technique?
The Witness: Yes.
Judge Frazier: And you were or were not interested in whether that technique was being used in this
project?
The Witness: No. It was something I looked for to see if it was on site.
Judge Frazier: You looked to see if they were using that technique?
Hie Witness: Yes.
Judge Frazier: That's all the questions I have. Go ahead.
By Ms. Hill:
Q. Turning again to the material you observed in the boiler room, I think that you already testified
that, when you took up this magnesium block insulation in the boiler room, the outer surfaces were wet.
You scraped some of it with a fingernail, but the inside, after you broke it, was dry and released
emissions?
A. Yes.
Q. You testified to that, didn't you?
9
JULY, 1997

-------
HANDOUT 2-1
A. Yes.
Q. Is it true that some types of thermal block insulation will absorb no more water and yet not be
soaked throughout? Have you found that in your experience?
A. No.
Q. Let me ask you, did you take any tests on the thermal block insulation involved in this case, the
magnesium block; did you run water on it until it was soaked completely through?
A. No. I did pick up a small piece that was in a puddle, though.
Q. That's not my question.
A. No, I did not.
Q. You have no idea how much water it may take to soak through completely the entire depth of the
thermal block insulation?
A. No.
Q. Have you ever submerged a piece of magnesium block insulation in a bucket of water and held
it there to determine whether it can be soaked throughout?
A.	Yes.
Q.	When did you do this?
A.	July 8.
Q.	On this material?
A.	Magnesium block insulation.
Q.	On the material you took from this job?
A.	No.
Q.	Your answer is no?
A.	No.
Q.	Can you tell me, Ms.	, how, in the field, someone determines whether material has
been totally saturated or soaked throughout?
A. Myself or the average person?
10
JULY, 1997

-------
HANDOUT 2-1
Q.	How is the worker in the field going to do that?
A.	Mag block material? What type of material?
Q.	Any type of material.
A.	It varies depending on material. Mag block material becomes pasty and slimy to the touch.
Q.	On the outside?
A.	Throughout, when it's been soaked throughout, squeezing it, you can put you'r finger through it.
Q. What standard or measure do you apply in determining whether a piece of regulated asbestos-
containing material is adequately wet during the stripping operation?
A. During the stripping operation?
Q. Yes.
A. The no visible emissions standard. If watching, I also pick up a piece and check it to see if it's
adequately wet by handling it.
Q. Well, do you just know intuitively by handling it that it either is or is not wet?
A. If I handle it and it's dry and it releases visible emissions, it's not adequately wet. If the texture
is dry and hard, if it crumbles easily by hand pressure, it's not adequately wet.
Judge Frazier: This looks like a good time for a break. Let's take a recess until 1:00 P.M.
11
JULY, 1997

-------

-------
Notes
	

—

-------
SESSION 3
TOPIC: ENFORCEMENT PROCESS RESPONSIBILITIES
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose
Key Points
Advance
Preparation
Describe what to expect when appearing as a witness.
Present tips for testifying at a deposition or trial.
Demonstrate questioning, examination, and cross-examination.
Discuss role of inspectors in settlement and other negotiations.
Provide tips for effective negotiations.
Prepare well in advance. Don't volunteer information.
Prepare carefully; know all the facts and options. Resolve differences
internally, not in front of the other side.
Understand negotiation; most cases are settled through negotiation, not
trials.
Select a trainee who already has 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.
Make sufficient copies of handouts, "The Case of the Unmanaged
Negotiation" and "Crush and Destroy Negotiation."
Refresh your memory about negotiations you have been involved in
and make notes to use in illustrating successes and pitfalls.
Equipment
Overhead projector
i
JULY 1997

-------
SESSION 3
TOPIC: ENFORCEMENT PROCESS RESPONSIBILITIES
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
List of Visuals
3-1 Appearing as a Witness
3-2 P-R-A-S-S
3-3 Negotiations
List of Handouts
3-1 The Case of the Unmanaged Negotiation
3-2 Crush and Destroy Negotiation
ii
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Overhead 3-1
Appearing as a Witness
Introduce yourself, mentioning your background and EPA
experience and your role in the course.
In this session, we will discuss what happens when you must
appear as a witness, and we will suggest techniques that can
help you be a more effective witness.
LECTURE
TESTIFYING AT A DEPOSITION, TRIAL, OR
HEARING
The Federal Rules of Evidence (FRE) and Federal Rules of
Civil Proceeding (FRCP) 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 and 603). There are four
types of witnesses:
Consultant: Can be protected from discovery if in a
behind-the-scenes role (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
i opinion on the ultimate issue of the case (FRE 702 and
70^). An inspector might be an expert witness in an area
of technical expertise.
Client or policy-maker: In EPA, this interest generally is
represented by the supervisor or manager of the inspector
and others directly involved in the case. Their knowledge
generally is protected from discovery under several
privileges, such as the attorney-client relationship.
Fact-witness: Testifies about what he or she learned
through the use of his or her five senses, the usual role of
the inspector. Under the FRE, a "foundation" must be laid
before the inspector can testify.
3-1
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
A principal tactic trial attorneys employ is to call into question
the credibility of the witness for the opposing side. The
purpose of "impeachment" is to reduce the likelihood that the
judge or jury will believe the witness. Some bases for
impeachment are:
Biases or interest (family relationship, business tie, or other
relationship) •
Lack of opportunity to perceive (distance too great to see).
Inability to recollect (lack of detail that the witness cannot
elaborate upon because notes are incomplete).
False testimony (the witness testifies that standard
procedures were followed, but records are produced that
show otherwise)*
Corruption or likelihood of false testimony (acceptance of
a bribe or subornation of peijury),
Mental or physical incapacity not amounting to
incompetency#
"Hearsay" is an out of court statement offered in court for the
tmth 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 by the defendant's representatives or employees, is
generally admissible.
Business records, written statements, and official reports
made by entities other than the witness are technically
"hearsay" but generally are admissible.
Depositions
Depositions are statements taken under oath and on the record.
They are a common method used by the opposing side to
obtain more information about the government's case.
Depositions are taken outside the courtroom, usually at the
office of the opposing counsel. Attorneys for both sides and a
court reporter are present.
3-2
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
If an inspector is subpoenaed for a deposition, the appropriate
EPA attorney should be contacted immediately. Time will be
short -- either to prepare the deposition or to quash the
subpoena.
The inspector must answer questions honestly and completely,
but need say nothing beyond such answers. The inspector
should make the attorney work for it and should not volunteer
information.
Preparation for the deposition is the key to good work:
Review documents and, if required by the subpoena,
compile the documents and produce them at the deposition*
Plan how to respond to likely questions.
Discuss with the attorney how to deal with the more
difficult aspects of the testimony«
Remember that 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 - for example, the difference between
PCV and PCB must be clear. Provide a glossary of
technical terms to the reporter, if possible.
Say nothing until instructed by your attorney to proceed —
such interruptions, as debates between the lawyers, are
frequent.
Beware the "eye of the record" for body language and
other factors. The opposing attorney need only say, ,Tlie
witness conferred with counsel before answering and that
fact will be on the record.
Be as descriptive as possible in referring to exhibits or
photographs — for example, "In the upper right hand
corner we see..." rather than "Here, we see..."
Overhead 3-2
P-R-A-S-S
Tips for giving depositions:
3-3
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
During breaks, do not discuss the subject of the deposition
with anyone (except your attorney in private surroundings).
The opposing attorney can place off-hand remarks on the
record merely by 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.
1 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, or records is potential
evidence.
The inspector and attorney must work together to:
Review inspector's evidence and prepare testimony
within the theory of the case.
Become familiar with one another.
Prepare the' inspector to testify.
Preparing and'using exhibits and graphics can help the
inspector remember what is to be said.
The inspector should be rested and dressed appropriately
on the day of testifying.
Tips for-direct examination:
Listen to the question.
You need not remember everything that is to be covered.
Just answer the questions. The attorney's job is to ask the
right questions.
Making eye contact with the judge or jury helps to
persuade.
3-4
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
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 straightforward. Convey the image that
you are "just doing my job."
A good direct examination introduces a subject and (hen,
through short questions, elicits the evidence in succinct
answers in a logical order.
Key words and signals that help the inspector give the
testimony should be worked out in advance. For example,
asking, "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
cannot recall, the attorney might even risk an objection by
asking an improper question. Listen — the "improper"
question will include key words that signal what you
forgot to cover.
The first few questions will ask for name, occupation,
length of employment, and other information, giving the
inspector time to get used to testifying.
In the second line of questioning, the foundation for the
inspector's testimony is laid. Usually, the information is
presented chronologically. As the testimony progresses,
exhibits are entered and discussed.
Stay within your limits of expertise and knowledge.
Inform the attomey of any problem in the case as soon as
possible; there should be no surprises at the trial. There
are always weaknesses in the government's case that must
be dealt with; the attorney can determine 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).
3-5
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Stay cool and neutral; if you are being battered, such demeanor
will bring you sympathy.
Leave the adversarial work to the attorneys.
Most cross-examination will focus on:
Your past experiences, including occupation, associations,
education, and training*
Your observations, memory, and accuracy of recollection.
Any active motive, bias, or prejudice you might have.
The litigation team will prepare you for cross-examination.
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 elicit your full answer
during redirect examination.
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.
Refresh your recollection through documents rather than
responding with an inaccurate answer.
Don't look at your attorney for help!
Redirect examination:
Redirect examination is limited to the issues raised during
cross-examination. Its purpose is to give the witness's attorney
an opportunity to counteract or diminish any damage done
during cross-examination.
3-6
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Demeanor of the witness:
Your posture, speech, and appearance will enhance or detract
from your credibility. Be professional.
LECTURE	INTRODUCTION TO NEGOTIATION
Overhead 3-3	Most EPA cases,are settled through negotiation, not trial. A
Negotiations	negotiated settlement is not an undesirable outcome.
Generally, such a settlement is more favorable than that
obtained in a trial, because it is:
Quicker
Less expensive
Less risky
Such a settlement also produces more specific direction about
what a violator must do.
EPA generally,negotiates from a strong position and obtains
the type of settlement it seeks. The inspector is the
cornerstone of that,strength, since violations are documented in
the inspector's reports — good inspection reports lead to good
settlements.
An inspector needs negotiation skills because the inspector:
May serve as a member of a team negotiating an
enforcement case or settlement (or, at a minimum, will be
involved in preparing and providing support for the
negotiation team).
May find it necessary to negotiate with facility officials to
gain consensual entry and work out other logistical aspects
of the inspection •
Frequently will 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
determination of appropriate enforcement action.
3-7
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
It is difficult to teach the art of effective negotiation, because it
is a dynamic process that depends largely on personal style and
is learned through experience; however, 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 items negotiable and some non-
negotiable. Neither side expects to achieve all its ends,
however.
Negotiation is not the antithesis of litigation. Most EPA
cases are settled before (or during) litigation; however, the
threat of litigation often helps bring about a settlement.
Negotiation may provide the best solution. It may be
quicker and require the commitment of fewer resources.
EPA can use tools not available in court to gain advantage
(for example, withholding a grant or not initiating
debarment proceedings) and may be able to persuade the
violator to do things the court would not impose.
CASE STUDY.EXERCISE
THE UNMANAGED NEGOTIATION
The class should have already
reviewed "The: Case of the
(Handout 3-1), which is based
on real negotiations EPA has
been involved in. Give them
two to four minutes to refresh
their memory.
Unmanaged Negotiation"
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 participants in EPA training courses.
3-8
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
After the group has finished
reviewing the case, ask the
group to discuss the major
mistakes EPA made and
consequences of those
mistakes, 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.
Listed below are some of the things that went wrong during
the unmanaged negotiation:
The EPA team did not have all the facts and did not
review files or see inspector's notes; the team, therefore,
did not know the true senousness of the violations.
No objectives or strategy was agreed upon.
The team lacked internal discipline and rules (for example,
they conducted open caucusing in front of opponents).
A logistical mixup set the stage poorly for EPA.
The team had no knowledge of the violator's desire to
obtain an EPA permit, which would have been a good
negotiating tool for EPA.
Preparation
r Preparation is the'most important key to successful negotiation.
The inspection team should have members who are suited to
the negotiation and who can work together. At least one
; member of the team should be well versed in each major legal
and technical area the negotiation will touch on; other support
should be available.
The team should work out in advance with the "vertical
hierarchy" (that is, the staff at EPA who must agree to the
settlement), to provide needed support, agree on the objectives
of the negotiation, and establish an ongoing line of
communication.
The team should perform substantive research to determine
what facts and laws are involved in the negotiation and what
other information the team will need during negotiations.
The team should collect basic intelligence about the opposition.
What are its likely issues? What advantages might EPA have
in the negotiations?
LECTURE
MANAGING NEGOTIATIONS
3-9
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
During the Negotiation
The team must decide upon its course of action and resolve
differences internally rather than in front of the other side.
Caucusing is essential.
Caucuses also can be used to regroup after a surprise, to let
tempers cool, to obtain information or opinions from experts
not at the table, and to clarify negotiating authority with senior
staff.
The vertical hierarchy also must be managed. This task is
often quite difficult, yet essential because senior staff must
approve the agreement The task can be accomplished by.
Communicating
Keeping senior staff informed of developments
Obtaining advance concurrence in positions the team takes
There may be other parties at the table, such as state agency
personnel acting as partners with EPA, whose roles must be
managed. That task is more complex, but it is essential that
the other side not be able to divide and conquer. The effort
should be made to find the common ground.
There may be "phantom" entities who are not at the table, such
as members of Congress, public interest groups, and the media.
The principal task of the negotiating team is to ensure that
those entities know they are not and will not be party to the
negotiations, but they will be kept informed.
Negotiations are expedited by deadlines. EPA enforcement
policy establishes time frames, but some judgment must be
exercised, such as determining when the parties are
approaching settlement. Events and deadlines that force action
should be established throughout the negotiation, not only in
the final phases.
Generally, EPA has the upper hand in an enforcement
negotiation. EPA can impose sanctions; grant, deny, or delay
permits; order studies and disclosure of information; conduct
repeated inspections; make facilities ineligible for government
contracts; and cause financially damaging publicity.
3-10
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
The EPA negotiating team should project that power, and
remember the advantages to setting the agenda and preparing
the first draft of settlement papers. (There are times, however,
when it may be prudent to let the opposition team prepare the
first draft to give them a false sense of security or if they have
an experienced individual who can prepare the draft.)
EXERCISE
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 3-2. Divide
the trainees into groups of four
or five people, and ask them to
plan a negotiating strategy for
EPA
After 15 minutes, reconvene
the group, acknowledge that
there was insufficient time to
develop a complete 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; 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:
EPA's negotiable and non-negotiable items
Strengths and potential weaknesses in EPA's position
Options for required remedial steps
Options for penalty adjustments
An overall strategy
3-11
JULY 1997

-------
HANDOUT 3-1
THE CASE OF THE UNMANAGED NEGOTIATION
Sam Acosta has just become acting chief of the RCRA Enforcement Section. Previously, 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 violations of interim status
requirements related to security of the site and manifests. Sanders wrote that during an inspection he
observed that a 25-foot segment of fencing along a highway at the back of the TS facility was
missing. He also noted that TS had failed to note discrepancies on manifests for 75 shipments of one
waste stream, analysis of which performed by TS did not confirm that the waste was7as represented by
the generator. He attached a copy of the draft administrative order requiring restoration of the fence,
prohibiting further receipt of the waste stream, and assessing a $25,000 penalty. Sanders noted that
copies of the manifests and laboratory reports were in the inspection file. Sanders has been detailed
under an Intergovernmental Personnel Agreement (IPA) to the state for a year.
Acosta signs off on the action memorandum and sends it to his boss. It eventually is sent to the
Regional Counsel's office for legal review and is assigned to Laura Smith. Smith's main job at EPA
has been to handle the legal aspects of construction grants for sewerage treatment facilities. 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 resultant negotiations, and to represent the program office in any subsequent appeals.' She reviews
the order and action memorandum and 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, attorney for TS, calls Smith to request a conference on the order; he hopes to negotiate a
mutually acceptable resolution. Smith indicates she must check Acosta's calendar; 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 Smith and Acosta meet, they review the action memorandum and order. Smith asks' to see
copies of Sander's inspection report and the manifests at issue. She asks whether they can talk to
Sanders, but Sam says he has been detailed under an IPA to the state. They agree that the case seems
open and shut and that, under EPA's penalty guidance, they can agree to mitigate the-penalty only to
$18,000. They agree that Smith 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 of from
$18,000 to $25,000. Their supervisors concur.
As the date of the meeting approaches, Smith attempts to meet again with Acosta, but, because they
are both out of the office much of the time, they do not connect. The day before the meeting, Smith
attempts to arrange for a conference room, but they already have been claimed. Instead, she arranges
to meet in Acosta's office, which is larger than hers.
On the date of the meeting, Smith goes to Acosta's office five minutes before the meeting, telling the
receptionist to ring her there when Larado and TS arrive. Larado, however, is familiar with the EPA
1
JULY 1997

-------
HANDOUT 3-1
office and proceeds directly to Smith's office, never coming near the receptionist. Smith's secretary is
not there, and no one knows where she is. Both negotiating teams remain in splendid isolation until
Smith's secretary returns, discovers the situation, and calls Smith. Smith returns to her office, meets
the TS group - the plant manager, chief chemist, staff attorney, consulting attorney, and customer's
plant manager and attorney — and escorts them to Acosta's office. There are only four chairs in
Acosta's office. Acosta and Smith scurry around to find four more chairs. Acosta sits at the desk,
Smith sits beside it, and the TS group crowds in front of the desk, filling all the space between it and
the door. Hie room is not large enough to hold them all comfortably.
Smith opens the meeting by introducing herself and Acosta and inviting the TS group 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 EPA's view of the importance and gravity of
the violations and states that EPA would like to determine whether there is a basis for settling the
matter. She indicates the substantive violations must be corrected expeditiously. Finally, she states
that EPA "really would like to get a penalty of around $18,(XX) to $20,000."
Guy Larado, the consulting attorney for TS, opens his argument by stating that TS explained both
situations to the EPA inspector when he was on site and that TS believes the complaint is a mistake.
He asks whether the inspector is coming to the meeting. Acosta says the inspector has been detailed
under an IPA to the state and is not available. Larado expresses dismay, since TS already has been
through the issue with the inspector.
Larado then said there was indeed a 25-foot section of fence missing the day the inspector was there,
as a result of an automobile accident on the highway. The fence was scheduled for repair within the
week and, in fact, was repaired two days later. The fence, incidentally, was a 10-foot-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 stating when it was repaired; and a copy of a letter to the inspector, with copies of the
pictures and affidavit. Acosta stated he was satisfied that the violation had been corrected. Smith said
that a penalty might be authorized legally, 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 before the inspection and had repaired the fence immediately after the inspection, and the fence
was far better than required by EPA's regulations. Acosta then said, "Let's talk about the manifest
violation."
Larado. said TS also had discussed that issue with the inspector, l The waste stream in question was
being delisted when thetinspection took place and'subsequently was delisted, so it was not a hazardous
waste, at all. TS's customer produced a copy of the delisting document and the accompanying Federal
Register notice.. Larado. said that TS had written the inspector,'enclosing a copy of the'delisting
document and notice. Smith asked Acosta whether copies of TS's letters to the inspector were in his
files, because there were none in hers. Acosta answered that he did not know, but looked through his
file and found both letters.
Larado said that TS could argue that, since the waste stream had been 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 forgo that argument for the sake of settlement, if EPA
would acknowledge that, because the waste stream was not hazardous, the violations were technical
2
JULY 1997

-------
HANDOUT 3-1
and there was no damage done to the environment or the regulatory scheme and a de minimis penalty,
if any, was appropriate. He offered $2,S00. Acosta said that settlement was acceptable but that the
violations found raised a question about the integrity of TS's system for handling manifests and its
waste analysis plan. Larado answered that EPA's inspector had found no other problems, but TS
would hire an auditor to review its system and would follow the auditor's recommendations if defects
were found. Acosta asked whether TS would agree to put a requirement for that action in a consent
order, and Larado agreed. Larado said that there appeared to be agreement: TS would settle for a
$2,500 penalty and an agreement to audit TS's manifest system and correct any deficiencies. At that
point, Smith said she thought EPA's penalty policy would require more than $2,500 for the admitted
violations. Larado said Acosta already had agreed to the $2,500 figure. Acosta said he had not
agreed to the figure, and that he had agreed only that, because of the facts, a relatively-low penalty
seemed appropriate. Larado asked how much, and Acosta asked Smith whether she thought $5,000 -
would be enough. She said she did not know. Larado said TS would write a check for $4,000 and
deliver it immediately to settle the matter. Acosta said he did not think a settlement could be reached
so quickly, since it would require concurrence of senior staff. That process usually took at least two
weeks, he said.
Larado, who, until this point, had been soft-spoken, polite, and charming, became red in the face and
began speaking in 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 major
financing to construct three new state-of-the-art incinerators in another EPA region and was required 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 matter 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.
Acosta asked Smith whether she saw any reason not to agree to the settlement outlined. She said she
had not seen enough of the problems to be sure." Acosta said that, as far as he was concerned, the
violations, as explained, were technical; the solutions were adequate; and the penalty appropriate.
Smith said he was the client and if, he was satisfied, she was. Larado then drew up a letter of
agreement, which both parties initialed, and Smith agreed to turn into a consent order that afternoon.
That afternoon, Smith 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 break in the fence indeed had been caused by an automobile accident and had been repaired
immediately after the inspection. But the break had occurred four months earlier, and the repair was
not ordered until after TS knew an,inspectionhad been scheduled. The fence was indeed'far better
than those around most, disposal-facilities. But installation of the fence had been "ordered by the' state"
after previous fencing had proven inadequate to prevent repeated damage by vandals.- TS was correct
that the waste stream involved in,the manifest violations had been delisted. But the' real'question was
whether the shipments received really were of that waste stream, or whether TS had been accepting a
nonpermitted waste. Indeed, Sanders wondered whether he had made a mistake in not recommending
action against TS's customer for sending a waste to a disposal facility not permitted to take the waste.
He was surprised that Smith was unaware of those facts, because most of the information was in the
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.
3
JULY 1997

-------
HANDOUT 3-2
CRUSH AND DESTROY NEGOTIATION
I. General Instructions
The facts presented below are based on 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 the 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 nonnegotiable 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 amount of the penalty
II. Facts
A. The Company
Crush and Destroy, Inc. (C&D) 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 that employs 10 people. C&D's gross revenues are approximately $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 apartnfent building. In doing so, it
uncovered friable (crumbly) asbestos material. This fact became known to the tenants of the standing
portions 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 it is collected
for disposal; and 40 CFR 61.152(b), which requires that asbestos waste material be properly contained,
transported, and disposed of. Finally, in violation of 40 CFR 61.146, C&D failed to notify EPA in
advance of its demolition work at the apartment building.
1
JULY 1997

-------
Appearing as a Witness
•	Testifying at a deposition, trial,
or hearing
•	Preparing for deposition
Text: Chapter 19A

-------
P-R-A-S-S
Pause
Responsive
Accurate
Sincere
Succinct

-------
Negotiations
Purposes of negotiation
Management of negotiations
Text: Chapter 19B
3-3

-------
II

-------
H
Notes









-




¦ ¦ 		:	














¦

-------
SESSION 4
TOPIC: INTRODUCTION TO ENVIRONMENTAL COMPLIANCE
INSTRUCTOR'S OVERVIEW
Time: 90 minutes
Purpose
Key Points
Advance
Preparation
Equipment
Provide the context for the work of inspectors.
Explain the role of inspectors in each aspect of an enforcement case.
Provide an overview of civil litigation.
Briefly introduce inspectors to criminal enforcement (This subject will
be discussed at length in a later session)
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 potential criminal violations and refer
them for investigation.
Present an example of a compliance monitoring strategy and an
enforcement response policy (or other documents from an
enforcement or compliance policy compendium).
Request assistance from EPA's local Office of Criminal Investigations
to present a 45-minute overview of criminal enforcement.
Optional: Present a chronology of an actual administrative
enforcement case to use in explaining the stages of litigation.
Optional: Prepare to describe an EPA criminal case in your Region
that was prosecuted successfully.
Overhead projector
JULY 1997

-------
SESSION 4
TOPIC: INTRODUCTION TO ENVIRONMENTAL COMPLIANCE
INSTRUCTOR'S OVERVIEW
Time: 90 minutes
List of Visuals
4-1	Overview of Enforcement
4-2	Compliance and Enforcement Program
4-3	Laws and Regulations
4-4	Compliance and Enforcement Strategies
4-5	Compliance Monitoring
4-6	Enforcement Response
4-7	Follow-Up to Enforcement Actions
4-8	Steps in an Enforcement Action
4-9	What Can We Get From an Enforcement Action?
4-10	Types of Legal Cases
4-11	Principal Elements of Civil Litigation
4-12	Stages of Civil Litigation
4-13	Principal Differences Between Civil and Criminal Enforcement
List of Handouts
None
ii
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Introduce yourself, mentioning your background and EPA
experience and your role in the course.
LECTURE
OVERVIEW OF A COMPLIANCE PROGRAM
This session is intended to give
inspectors a sense of their role
in the entire compliance and
enforcement process. As you
discuss the various points, be
sure to emphasize the ways in
which inspectors are involved.
Overhead 4-1
Overview of Enforcement
In this session, we are going to focus on enforcement actions,
and the ways that inspectors are involved in those actions.
First, we will explain what makes up a compliance and
enforcement program. In that context, we will examine how
we decide when and where to conduct an inspection and the
options EPA has in responding to violations.
Overhead 4-2
Compliance and Enforcement
Program
Overhead 4-3
Laws and Regulations
Overhead 4-4
Compliance and Enforcement
Strategies
Overhead 4-5
Compliance Monitoring
Then, we will discuss civil litigation, which forms the bulk of
our cases. Finally, we will discuss criminal enforcement at
EPA.
Compliance and enforcement are more than simply the random
discovery of a violation and the institution of an enforcement
action to force the violator to comply or pay a penalty. A
compliance and enforcement program includes:
• Laws and regulations: When laws and regulations (and
permit conditions) are well written, it is easy to determine
who is subject to them and what is or is not a violation.
Compliance and enforcement strategies'. Usually
comprising a series of documents, such as compliance
monitoring plans and enforcement response policies, the
strategy, sets out EPA's plans for deploying its resources to
achieve compliance. Those plans ensure that we have a
national program. Strategies usually direct the most
intensive efforts to those segments of the regulated
community that are most likely to be in noncompliance or
whose compliance is most important (for example, those
that pose high risk of potential exposures).
Compliance monitoring: This aspect of the program
includes all means used to determine the compliance status
of a facility or site, including in-office screening of data
and on-site inspections.
4-1
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 4-6	• Enforcement response: EPA policy is to respond in a
Enforcement Response	timely and appropriate manner to violations. There is a
range of possible responses within different time frames,
representing various degrees of seriousness and effort.
Responses include:
Informal administrative response, such as a notice of
noncompliance
Formal administrative response, sucfi as an
administrative order assessing a penalty
Civil judicial response, such as a lawsuit seeking a
penalty and court order to compel compliance
Criminal judicial response, such as criminal
prosecution against a knowing and willful violator
Overhead 4-7	Follow-up to enforcement action: Follow-up is needed
Follow-Up to Enforcement	after an enforcement action has been taken to ensure that
Actions	the violating facility meets applicable requirements and
comes into compliance. EPA ordinarily will step up the
level of enforcement action when a facility fails to comply
with an earlier action. .
LECTURE	ROLE OF AN INSPECTOR IN ENFORCEMENT
ACTIONS
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 and
enforcement attorneys begins as soon as a facility has been
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:
Overhead 4-8	The inspection: The inspector identifies and documents the
Steps in an Enforcement	facts pertaining to potential violations, writes the inspection
Action	report, and prepares a file containing all pertinent
documents. (The inspector makes no independent decision
that a facility or site is in violation.)
4-2
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Enforcement response decision: The inspector may make
formal recommendations to enforcement personnel about
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 about the level of action.
Drafting of enforcement documents: The inspector may be
responsible for drafting all or a portion of a notice of
noncompliance or a formal complaint or compliance order.
Settlement negotiations: The inspector may serve as a
member of the team negotiating a settlement agreement
with the violator, 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	PARTICIPATION OF INSPECTORS IN ENFORCEMENT
CASES
Suggested questions to	Are there obstacles to closer and more frequent
stimulate discussion are shown	coordination between inspectors and enforcement
in the column to the right.	attorneys?
How would enforcement efforts be improved if those
obstacles were removed?
4-3
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE
CIVIL LITIGATION
EPA has the authority to pursue administrative relief and bring
civil litigation. We will discuss criminal cases later in this
session.
Overhead 4-9
What Can We Get From an
Enforcement Action?
Under most statutes, EPA, through civil litigation, can
require a violator to (I) take steps to cease violations, to
correct the violation, and to remedy any damages 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 determined by the gravity of the
violation.
Overhead 4-10
Types of Legal Cases
Overhead 4-11
Principal Elements of Civil
Litigation
The principal difference between administrative action and
judicial litigation is the setting in which they occur.
Administrative cases are heard by EPA's administrative
law judges, while judical cases are tried in the United
States court system. The Department of Justice (DOJ)
represents EPA in judicial actions, but EPA is involved
heavily in such actions.
The bulk of EPA's enforcement cases are administrative;
such actions are generally less resource-intensive for EPA
and result in swifter action than judical cases. Judical' 1
litigation is generally reserved for more serious violations,
such as cases in which 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: This element has three aspects:
(1) facts of the 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.
Burden of proof. This element concerns which side is
required to persuade or prove something. The nature of
the issue determines which side bears the burden of proof.
4-4
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Use an actual case to illustrate
these stages.
Overhead 4-12
Stages of Civil Litigation
Standards of proof. This element concerns 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.
Described below are the stages of civil litigation:
Conception and preparation: This stage begins when the
planning for the inspection begins; legal and factual
investigation and research merge and the theory of the case
begins to form.
Pleadings: "Letters to the judge," the first legal
documents, 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
sometimes are involved in drafting the complaint.
Discovery: During this phase, both sides work to gain
more facts and to learn the other side's theory of the case.
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); motions also are used
to attempt to force settlement. Motions range from
attempts to exclude certain evidence to deciding whole
issues of law or fact.
The inspector, who plays an important role during motion
practice,' may be required to provide a number of
affidavits.
Trial: The two sides present the facts (as they see them)
to the trier-of-fact.
Most litigation work is performed before trial, and most
cases are settled before trial is reached. The inspector's
work makes it possible to bring the other side to
settlement.
4-5
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
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
CRIMINAL ENFORCEMENT IN EPA
Explain that Criminal
Enforcement will be discussed
at length in a later session -
these same topics will be
covered in much more detail
Overhead 4-13
Principal Differences Between
Civil and Criminal
Enforcement
Overview of Criminal Enforcement
Criminal investigations always are led by EPA's criminal
investigative staff. The Office of Criminal Enforcement,
Forensics, and Training (OCEFT), Criminal Investigation
Division (CID) has 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, Georgia.
OCEFT-CID in Headquarters and the Offices of Regional
Criminal Counsel work with the criminal investigators and
DOJ 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 always should
follow the direction of the special agent in charge (SAIC) or
the resident agent in charge (RAIC).
The principal differences between civil and criminal
enforcement are that, in criminal cases:
Searches of property can occur only with consent or with a
warrant based on swom testimony that there is "probable
cause" to believe a crime has been committed
The defendant has other constitutional guarantees
Discovery of government-held information is limited,
except for information that would tend to show the
innocence of the accused
The burden of proof is more strict than that for civil cases:
"beyond a reasonable doubt"
4-6
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
The penalties are more severe: imprisonment or a Fine, or
both (Some statutes allow felony sanctions, under which
coiporations and their individual officers are potential
defendants.)
How EPA Conducts a Criminal Investigation
All initial leads to potential criminal activity are referred to the
SAIC or RAIC.
Depending on the reliability of the lead, a preliminary inquiry
may be conducted or assessment made to determine whether a
complete investigation is warranted.
The SAIC or RAIC notifies OCEFT and the Office of
Regional Counsel (ORC) and brings in technical staff from the
program office(s), as needed.
The special agent who manages the investigations:
Determines the basic investigative approach
Leads the conduct of interviews and the assembling and
review of records
Plans and executes surveillances
Coordinates actions with the U.S. attorney's office and
other federal, state, and local law enforcement agencies
Contacts other witnesses
Completes investigative reports
Inspectors assigned to assist in an investigation work under the
direction of the special agent.
EPA policy is to neither confirm nor deny the existence of a
criminal investigation. Any requests for information must be
referred to the special agent.
EPA must comply with the requirements of the Jencks Act,
which is designed to allow the defendant to have all relevant
information provided by a government witness so that the
defendant can attempt to impeach.
4-7
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
If the defendant's ability to cross-examine is hindered
because the government lost information — whether
purposely or inadvertently — the court may refuse to allow
the witness to testify at all or to strike the entire testimony
of the witness.
It is EPA policy to turn over all relevant notes, records,
and reports to the defense, if so requested through the
court - after direct examination.
Because of the requirements of the Jencks Act, it is vital
that inspectors keep accurate and complete notes, records,
and reports that are factual and contain no opinions or
biases. In addition, inspectors should throw nothing away,
not even scraps of paper.
All material associated with a criminal investigation must be
kept according to security procedures.
4-8
JULY 1997

-------
Overview of Enforcement
Components of a compliance program
Roie of inspector in enforcement actions
Civil litigation
Criminal enforcement in EPA
Text: Chapters 3 and 6
4-1

-------
Compliance and
Enforcement Program
Laws and regulations
Compliance and enforcement strategies
Compliance monitoring
Enforcement response
Follow-up to enforcement actions

-------
Laws and Regulations
Should be written clearly to indicate:
-	Who is subject to them
-	What is and is not a violation
inetI
4-3

-------
Compliance and
Enforcement Strategies
Compliance monitoring plans
Enforcement response policies
Other policy and guidance documents

-------
Compliance Monitoring
Source self-monitoring and reports
Inspections
INETt
4-5

-------
Enforcement Response
Graduates with severity of violation
-	Informal administrative response
-	Formal administrative response
-	Civil judicial response
-	Criminal judicial response
-6

-------
Follow-Up to
Enforcement Actions
Reports and certifications of compliance by
source
Follow-up inspections
More severe enforcement response if facility
remains in violation
4-7

-------
Steps in an
Enforcement Action
Violation found and documented
Decision made on level and type of
enforcement response
Enforcement documents drafted and filed
Settlement negotiations entered
Hearing or trial conducted

-------
What Can We Get From an
Enforcement Action?
Depending on law, violation, and circumstances:
Criminal
-	Compliance with requirement - Monetary fine
-	Monetary penalty	_ Prison sentence
-	Cleanup of contamination
4-9

-------
Types of Legal Cases
Civil
Criminal
(EPA internal)
(through DOJ)
Administrative
Judicial
Administrative law judge
or hearing officer
U.S. court system

-------
Principal Elements of
Civil Litigation
•	Theory of the case
•	Burden of proof
•	Standards of proof
Ui
NET!
4-11

-------
Stages of Civil Litigation
•	Conception and preparation
•	Pleadings
•	Discovery
•	Motion practice
•	Trial
•	Posttrial and appeal

-------
Principal Differences Between Civil
and Criminal Enforcement
Warrants based on "probable cause"
Other constitutional guarantees
Burden of proof: "beyond a reasonable doubt"
More severe penalties: imprisonment or fine
4-13

-------
5

-------

-------
SESSION 5
TOPIC: SUMMARY OF ENVIRONMENTAL STATUTES
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose
Key Points
Advance
Preparation
Equipment
List of Visuals
List of Handouts
5-1
Provide an overview of the major statutes under which EPA has
authority.
Discuss typical inspection activities under each statute.
While each statute is different, they have many features in common.
Inspectors should be able to recognize major violations of other EPA
programs and refer them, as appropriate.
Identify a recent case or two to use as illustrations to explain the
types of enforcement cases that are brought under the various laws.
Overhead projector
Summary of Major Statutes That Affect EPA
5-2 and 5-3 Selected Program Provisions of 40 CFR
5-1	Summary of Authorities
i
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Introduce yourself, mentioning your background and EPA
experience and your role in the course.
LECTURE
INTRODUCTION TO LAWS AFFECTING EPA
This session is a brief overview
of laws affecting EPA,
covering much information in a
short amount of time.
A one-page summary of key
authorities granted under the
laws discussed in this session
is provided as Handout 5-1.
Overhead 5-1
Summary of Major Statutes
That Affect EPA
EPA administers many different laws, and each is complex.
The regulatory programs that have grown out of these laws
also are complex.
Each law is covered in great detail in Chapter 2 of your text,
and, of course, learning the laws and regulations governing
your particular program is a major part of your 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 EPA's responsibilities and how the
program you work for fits into that scope.
We also hope that you will'learn some key ways in which
other statutes can be violated so you can recognize violations
in the field and refer them to the appropriate office for
investigation.
Historical Perspective
There is no single comprehensive environmental law. Rather,
we have a series of laws that were enacted to address particular
environmental issues.
Federal Insecticide, Fungicide, and Rodenticide Act
(FIFRA) -- 1946
Clean Air Act (CAA), Clean Water Act (CWA) — 1960s
Safe Drinking Water Act (SDWA), Toxic Substances
Control Act (TSCA), Resource Conservation and Recovery
Act (RCRA) -- 1970s
Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA) — 1980
CAA Amendments ~ 1990
5-1
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENTS
EPA was formed by Presidential order in 1970. Before that
time, environmental responsibilities were scattered among
many agencies. The U.S. Army Corps of Engineers (USACE),
the departments of Interior and 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 USACE jointly administer the CWA
Section 404 program.
Common Features of Laws Affecting EPA
While each law is somewhat different, they all have several
features in common:
They provide national standards governing the handling,
emission, discharge, and disposal of harmful substances.
Standards are applied through general EPA or state rules,
through permits, or through both mechanisms.
EPA is given authority to enter and inspect and has other
authority to request or demand submittal of information,
monitoring, testing, and- reporting.
EPA generally is given authority to issue notices of
violation and administrative compliance orders.
EPA generally is given authority to seek injunctive relief
through civil courts or to impose such relief
administratively.
EPA usually can seek administrative penalties and civil or
criminal remedies. This authority generally allows EPA to
eliminate, through assessment of penalties, any economic
advantage gained by a noncomplying source as a result of
its noncompliance.
EPA usually has authority to address emergency situations.
EPA may give states authority to administer and enforce
programs; however, EPA retains independent enforcement
authority.
5-2
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Federal facilities generally are required to comply with
substantive provisions of statutes under which EPA has
authority.
Overheads 5-2 and 5-3	EPA implements these laws through regulations, assembled
Selected Program Provisions	in 40 Code of Federal Regulations (CFR) parts 1-799.
of 40 CFR
LECTURE/DISCUSSION	LAWS AFFECTING EPA IN A NUTSHELL
Avoid lengthy lecture and
detail on statutes. The major
objective of this session is to
improve inspectors' ability to
recognize potential violations
in areas outside their fields of
specialization.
After you have summarized
each statute, ask the trainees
for ideas about what the
inspector looks for during an
inspection under that program.
Because of the limited time,
this exercise should be in the
style of "rapid-fire
brainstorming." The Suggested
Content column lists a few
ideas for each program.
In the remaining portion of this session, I hope to convey to
you a general understanding of each of the major laws EPA
administers, and give you an idea of the ways these laws can
be violated so you know what to look for while on site. Your
manual provides more detail about each statute.
Each of you conducts or will conduct inspections for one or
more programs. When we talk about a program you are
familiar with, please help me by providing examples of things
you look for during inspections.
Federal Insecticide, Fungicide, and Rodenticide Act
(FEFRA)
All pesticides must be registered with EPA.
Many toxicity and environmental fate tests are required. If the
product's risks do not outweigh its benefits, it can be
registered.
If the product is registered, the label states how it must be used
— in essence, the label serves as the "regulation" governing use
of the pesticide.
The principal components of the enforcement program are:
Ensuring that manufacturers and producers of pesticides
comply with requirements for registration, testing, and
labeling.
Ensuring that pesticide users are using the pesticides in
accordance with label directions
5-3
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENTS
At this point, ask the group to
list what a pesticide inspector
looks for. The Suggested
Content column presents a few
suggestions.
What might an inspector do during a pesticides inspection?
Determine whether the EPA registration number and
correct label are on pesticide packages (at the manufacturer
and in the marketplace)
Audit the laboratory to determine whether it is using good
laboratory practices and following established test protocols
Investigate a farm worker's complaint that he was sprayed
while working in a field
Observe the mixing and loading practices of a commercial
aerial applicator
Clean Air Act (CAA)
The CAA addresses air pollution from stationary sources
(factories and utilities) and mobile sources (cars and trucks). It
was amended in 1990; those amendments greatly expanded the
scope of the act. The amendments also spelled out in detail
actions that must be taken by EPA, the states, and the
regulated industries.
EPA sets national air quality standards for various pollutants.
Each state has a plan for meeting those standards, called state
implementation plans (SIP). Because many industrialized and
urban areas have not attained the standards, the amendments
establish deadlines and requirements for nonattainment areas.
Control requirements for individual facilities generally are
more stringent in areas that do not meet air quality standards,
but significant deterioration of air quality in areas that meet the
standards is not allowed.
The amendments also list hazardous air pollutants that must be
addressed by new regulations EPA is required to promulgate
technology-based standards to control such pollutants.
The amendments add controls on electric utilities that are
intended to reduce emissions that cause deposition of acids.
Utilities are required to reduce emissions of sulfur dioxide and
nitrogen oxides over the next decade. There also are new
prohibitions on chlorofluorocarbons (CFC) and other
substances that damage the stratospheric ozone layer. The
controls will be phased in
5-4
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Open the discussion to ideas
about air inspections. Use
suggestions, if necessary.
Of particular interest to inspectors will be the new program for
operating permits created by the amendments
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 also can regulate fuel and fuel additives if emissions from
their use would contribute to air quality problems.
What might a stationary source inspector do during an
inspection?
"Read" visible emissions from smokestacks to determine
whether they are within acceptable boundaries
Check whether required equipment has been installed
Check the operation and maintenance of control equipment
What might a mobile source inspector do''
Audit vehicles dunng production to determine whether
they meet emissions standards
Investigate tampering (removal of catalytic converters) and
fuel switching incidents
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 that limit discharges.
Permit limits are based on effluent guidelines for specific
pollutants, performance requirements for new sources, or water
quality limits. Permits also set forth schedules and time tables
for construction and installation of needed equipment.
Sources that discharge indirectly to a municipal wastewater
treatment plant are subject to pretrcatment standards
Other key provisions of the CWA require permits for discharge
of dredge-and-fill materials into waters (including wetlands)
and requirements for reporting and cleaning up spills of oil or
hazardous material.
5-5
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Nonpoint sources of water pollution, such as runoff from
agricultural fields, are addressed through programs designed to
implement best management practices. Ask for ideas about
water inspections, using suggestions as needed to stimulate the
group.
What are some of the things a	Make sure that a source that discharges to water has
water inspector might do	obtained the required permit
during an inspection?
Check self-monitonng reports of discharges against data in
the source's files and logs
Interview operators to determine how equipment is
maintained
Sample effluent to determine whether it exceeds limits set
forth in the pertinent permit.
Safe Drinking Water Act (SDWA)
EPA sets standards for the quality of water that public water
systems can serve, known as maximum contaminant levels
(MCL).
Public systems must sample their water periodically and report
findings to the state or EPA. They must notify consumers if
they do not meet the standards or if they have failed to
monitor or report.
EPA has a schedule established by statute 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 requirements set forth in
operating permits.
Use suggestions for drinking	What might public water system and underground injection
water program inspections as	control (UIC) inspectors do during compliance inspections?
needed
Verify the public water system's records of monitoring and
reports of exceeding MCLs
5-6
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Interview water system personnel to identify potential
operations and maintenance problems
Observe mechanical integrity testing at UIC wells
Check to make sure that only the wastes and quantities
specified by permit are being injected into the wells.
Toxic Substances Control Act (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 their
manufacture
For both new and existing chemicals, EPA can require testing
and additional information. Drawing on risk-benefit analysis,
EPA can prohibit or limit the chemical's manufacture and use.
Chemical control rules are in place for polychlorinated
biphenyls (PCB), asbestos, and CFCs
Ask the group for ideas about
what a TSCA inspector does
The Suggested Content column
presents some ideas.
Visit a school at which asbestos abatement is taking place
to make sure the work is being done properly
Check a chemical company's records to make sure it has
not begun to manufacture a product for which EPA has
denied or delayed approving under the premanufacture
notification (PMN) program
Audit a laboratory conducting toxicity testing under TSCA
test rules
Resource Conservation and Recovery Act (RCRA)
RCRA provides "cradle-to-grave" management of hazardous
waste, management of solid wastes, and regulation of
underground storage tanks that contain chemical and petroleum
products
What might a TSCA inspector do7
Check for leaks or drips from a PCB transformer or
capacitor. Make sure they are marked with a PCB label
5-7
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Under RCRA subtitle C, wastes listed as hazardous waste are
subject to controls governing their generation, transportation,
storage, and disposal. A manifest system tracks shipment of
hazardous waste from the generator until its ultimate disposal
The control program is implemented through regulations and
permits for various types of facilities that handle hazardous
waste.
Treatment, storage, and disposal facilities (TSDF) for
hazardous waste are subject to technical requirements for
design and operation. They are required to take corrective
action if releases occur and must show financial ability to
conduct cleanups, if needed.
Nonhazardous solid wastes are addressed under RCRA 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
RCRA subtitle I. Regulations require phasing out of tanks that
do not meet the technical standards, as well as installation of
leak detection systems. Tank owners must take corrective
action if leaks occur.
Ask for ideas and use	What are some of the things an inspector might look for during
suggestions as needed to	a hazardous waste inspection at a TSDF?
stimulate discussion.
Visually inspect facility grounds for evidence of leaks or
spills (for example, stained ground, dead vegetation, or a
discolored waterway)
Inspect stored drums and containers for condition, leaks,
and the presence of labels
Check manifests to determine whether the facility is
receiving only wastes it is allowed to receive
Review the facility's groundwater monitoring data
What might the inspector do during an underground storage
tank inspection?
5-8
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENTS
Ask the group for ideas about
signs of an abandoned toxic
dump site or other problem
subject to action under
Superfund legislation.
Check whether a 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 also can take enforcement action
against responsible parties to compel them to clean up sites.
Other provisions of CERCLA require the reporting of releases
in quantities above specified amounts ("reportable quantities")
of hazardous substances.
Since CERCLA is primarily an after-the-fact cleanup program,
it requires no compliance monitoring inspections, as do other
programs. Sites are visited and environmental and other data
are gathered for evaluation and assessment, as well as to
identify potential responsible parties (PRP).
This information ultimately may be used in enforcement
actions to recover the costs of cleanup or to compel cleanup by
responsible parties.
While they are in the field, inspectors in all EPA programs
should be alert to signs of potential abandoned dump sites or
other situations subject to action under Superfund. Among
those signs are:
Rusting drums and containers, evidence of spills,
discolored vegetation, discolored water, and foul-smelling
lagoons
Statements by facility personnel about how they handled
wastes
5-9
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENTS
Because the section 313
program is new, trainees are
not likely to have experience in
it. However, because Title III
has implications for all EPA
programs, some compliance
activities in the future may
involve aspects of the program.
Emergency Planning and Community Right-to-Know
Title III of the Superfund Amendments and Reauthorization
Act (SARA) of 1986 was enacted to help increase the public's
knowledge of and access to information about the presence of
hazardous chemicals in their communities and releases of those
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 that make routine releases of toxic
chemicals to the environment must report them for inclusion
on an inventory to be published by EPA. This requirement
includes releases to air and water, for example, that are
allowed under permits issued by EPA 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 session has been a whirlwind tour of laws under which
EPA holds authority 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 the role of your
program(s) in that mission.
A more detailed discussion of the laws is currently being
developed on a CD Rom which can be made available to you.
5-10
JULY 1997

-------
Handout 5-1
Authorities Granted Under Federal Environmental Laws and Regulations
for Administrative and Civil Investigations

Air
Water
Superfurtd
Pesticides
Solid-Waste
Drinking Water
Toxics
Inspection
Authority
CAA 114
40 CFR 80 4, 86*
CWA 308, 402
40 CFR 122.41
CERCLA 104
FIFRA 8, 9
40 CFR 160 15,
169 3
RCRA 3007, 9005
40 CFR 270 30(i)
SDWA 1445
40 CFR 144.51(1),
142.34
TSCA 11
40 CFR 717 17,
792 15
Recordkeeping
Authority
CAA 114, 208, 311
40 CFR 51. 60, 79"
CWA 308, 402
40 CFR 122.410),
122 48,233.11
CERCLA 103
FIFRA 4, 8
40 CFR 160 63.
160 185-195.
169 2. 171 11(c)(7)
RCRA 3001. 3002
3003, 3004, 9003
40 CFR 262 40.
263.22, 264.74,
264.279, 264.309,
265 74, 265.94,
265.279, 265.309,
270 300), 270.31
SDWA 1445
40 CFR 144.510),
144 54, 141 31-33
TSCA 8
40 CFR 704, 710,
717 15, 720 78,
761 180,762 60,
792 185-195
Confidential
Information
(40 CFR
2 201-2.215)
CAA 208, 307
40 CFR 2 301, 53, 57,
80
CWA 3*08
40 CFR 2 302, 122 7,
233.3
CERCLA 104
FIFRA 7. 10
40 CFR 2 307
RCRA 3007, 9005
40 CFR 2.305,
260.2 , 270 12
SDWA 1445
40 CFR 2 304,
144 5
TSCA 14
40 CFR 2 306.
704 7, 707 75,
710.7, 712 15,
717 19, 720 85-95,
750.16, 750 36.
762 60, 763 74
Emergency
Authority
CAA 303
CWA 504
CERCLA
104, 106
FIFRA 27
40 CFR 164 123,
166 3(d)
RCRA 7003
SDWA 1431
40 CFR 144 34
TSCA 7
Employee
Protection
CAA 322
CWA 507
CERCLA 110

RCRA 7001
SDWA 1450
TSCA 23
Penalties
CAA 113
CWA 309
CERCLA 103. 112
EPC 325
FIFRA 12, 14
RCRA 3008, 9006
SDWA 1423, 1424,
1431, 1432, 1441
TSCA 15, 16
86 078-7, 86 441-78, 86 606-84, 86.1006 84
• 51 320-327, 57 105, 57 305, 57 404, 58, 60.7, 61.10, 61.24, 61 69-71, 79 5, 85.407, 85.1086,
85 1906, 86 084-40, 86 144-78, 86 542-78 and 90, 86 609-84 through 98, 86.1009-84
1

-------
Summary of Major Statutes
That Affect EPA
Environmental Problem
Statute
Original Enactment
Pesticides
Air Pollution
Water Pollution
Drinking Water
Toxic Chemicals
Solid and Hazardous Waste
Abandoned Toxic Dumps
FIFRA
1946
CAA
1960s
CWA
1960s
SDWA
1970s
TSCA
1970s
RCRA
1970s
CERCLA
1980s

-------
Selected Program
Provisions of 40 CFR
Part	Topic
1	General information about and organization of EPA
2	Freedom of Information Act requests; confidential business
information; testimony by employees and production of
documents in civil legal proceedings in which 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
(continued)
	4

-------
Selected Program
Provisions of 40 CFR
Part
Topic
33
50-87
100-140
141-147
152-180
220-233
240-272
280
300-355
400-471
702-799
Procurement under assistance programs
Air programs (including mobile sources)
NPDES program
Drinking-water program
Pesticides program
Ocean dumping
Solid and hazardous wastes
Underground storage tanks
Superfund
Effluent guidelines and standards for CWA
Toxic substances
5-3

-------
6

-------
Notes
6

-------
SESSION 6
TOPIC: INSPECTOR ISSUES
INSTRUCTOR'S OVERVIEW
Time: 60 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 about issues related to confidential business
information and ethics that are of concern to inspectors.
Present techniques for handling press and other public inquiries
related to an inspection.
Provide awareness of the inspector's liability for false statements.
Key POINTS	Inspectors are involved in virtually every aspect of the compliance
and enforcement program.
Inspectors have access to confidential data and must handle such data
as its confidentiality requires.
When the inspector is faced with a question of ethics, the rule of
thumb is, when in doubt, don't!
The inspector should emphasize the positive'
ADVANCE	Review lecture notes on the federal-state relationship and tailor the
Preparation	ideas to the circumstances in your Region.
Prepare a handout (three-hole punched for insertion into the text) that
explains requirements established by the Region for obtaining
certification and associated training to qualify for access to
confidential business information.
Prepare a handout (three-hole punched) that provides the name and
telephone number of the ethics official(s) inspectors should contact if
they need advice on questions of ethics.
i
JULY 1997

-------
SESSION 6
TOPIC: INSPECTOR ISSUES
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
EQUIPMENT
Overhead projector
Flip chart
List of Visuals
6-1	Role of the Inspector
6-2 and 6-3	Role of the Inspector
6-4	Enforcement Agreements Between EPA and the State
6-5	Confidential Business Information
6-6	When in Doubt, Don't'
6-7	Dealing With the Press and the Public
6-8	The Reporter's Viewpoint
6-9	Talking With the Press
6-10 and 6-11	Specific Techniques
6-12	The Inspector's Positive Story
List of Handouts
6-1 Inspector's Liability
ii
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Overhead 6-1
Role of the Inspector
Introduce yourself, mentioning your background and EPA
experience and your role in the course.
In this session, we are going to discuss the many roles
inspectors play in EPA, talk about the relationship between
federal and state authorities in administering environmental
programs, and talk a little about confidential business
information (CBI) and ethics as those issues affect inspectors.
LECTURE
ROLE OF THE INSPECTOR
Use the suggested content to
provide a brief overview of the
role of the inspector as a lead-
in to the discussion questions
for this session.
Overheads 6-2 and 6-3
Role of the Inspector
Inspectors are the keystone of EPA's compliance and
enforcement program. Without inspectors, there would be no
enforcement cases, for it is the inspectors who collect the
information upon which such cases are based.
To ensure the ultimate success of an enforcement action, the
inspector's work must meet the highest standards
An inspector's failure to substantiate adequately what he or she
saw may mean that EPA cannot take the case to court and win
a large penalty, settling instead for a lesser action with little
effect on EPA's enforcement goals.
Inspectors generally are involved in virtually every aspect of
the compliance and enforcement program.
Selecting specific facilities to inspect
Determining the scope and objectives of the inspection
Coordinating activities 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
6-1
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Compiling the information collected and writing the report
that will be the basis for EPA's decision about 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 ensure 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 those functions, however.
The basic responsibilities of inspectors can be grouped into the
following general categories-
Official representative The inspector represents EPA and
may be the only EPA official ever seen by a plant
manager. This role requires tact, a professional attitude,
and diplomacy.
Fact-finder. The inspector assesses whether the facility is
in compliance with laws and regulations. This task
requires extensive knowledge of the requirements and skill
in obtaining information and following up leads to identify
less obvious violations.
Enforcement case developer. The inspector collects and
preserves evidence of noncompliance. Since the inspection
is usually the primary basis of the government's case, good
documentation is essential. The inspector is often a key
witness.
Provider of enforcement presence: The inspector "shows
the flag," creating a visible presence of government interest
in the environmental status of the facility; the potential of
an inspection creates an incentive for compliance.
6-2
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Technical educator The inspector serves as a source of
regulatory information and may provide technical
assistance to facility managers by directing them to sources
of technical information.
Technical authority. Inspectors may be called upon to
help EPA interpret regulatory requirements, assess the
adequacy of control measures, interpret technical data, and
assess environmental effects.
Go through the list and ask for
a show of hands. Encourage
discussion of what makes
trainees comfortable or
uncomfortable in the various
roles. Stress that this course is
designed to enhance their skills
in each of the areas.
Discussion Questions:
Are there any functions described above that you do not
perform? Why?
Which of these roles are you most comfortable in
performing? In which areas do you feel least prepared7
LECTURE
THE RELATIONSHIP BETWEEN FEDERAL AND
STATE AUTHORITIES
Include relevant information on
relations between EPA and
states in your Region. Provide
details and examples, when
available.
Almost all the programs developed under EPA's authority can
be delegated to approved states for implementation, including
such aspects as permit writing and conducting compliance
monitoring and enforcement. States now conduct from 80 to
90 percent of all environmental compliance inspections.
The relationship between federal and state authorities 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 the
state's performance.
EPA inspectors play an important role in the relationship.
Effective communication promotes cooperation and technology
transfer and improves the overall enforcement effort at both
federal and state levels.
6-3
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 6-4
Enforcement Agreements
Between EPA and the State
EPA and the states have developed enforcement agreements
that
Reflect the criteria and standards EPA will use in oversight
of slate programs
Reflect the criteria to be applied in cases in which EPA
directly enforces regulations in a state to which authority
has been delegated
Specify the data states will report to EPA
Ordinarily, EPA does not conduct routine inspections in states
that have delegated authority. 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 — for example, to support a direct EPA
enforcement action or as a follow-up to ensure compliance
with a consent decree
EPA conducts oversight inspections to evaluate the quality of
state inspection activities, identifying both strengths and
weaknesses and identifying.steps that EPA and the state can
take together to improve any weaknesses on the part of the
inspector and the entire program.
The success of oversight inspections depends greatly on
communications related to them. It is important to establish in
advance clear expectations on the part of both EPA and the
state about the criteria for selecting specific candidates for
oversight inspections.
Before an oversight inspection, the roles and responsibilities of
EPA and the state inspector also should be set forth clearly, 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 about how deficiencies will be
identified and how follow-up action to correct problems will be
undertaken.
6-4
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask the group for problems or
other experiences they have
had with regard to oversight
inspections or the relationship
between federal and state
authorities.
Discussion Question:
Oversight is one of the trickier aspects of EPA's relationship
with the slates. Would anyone like to share their experiences
with oversight inspections?
LECTURE
CONFIDENTIAL BUSINESS INFORMATION
Inspectors gain access to and collect information that
companies ordinarily would not make available to outsiders
While the specific provisions vary, EPA is required under laws
that govern its actions to protect trade secrets and CBI of the
regulated community, if a member of that community so
requests
Regulations governing how EPA must handle such information
are in 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 known publicly.
Because of the additional security measures and the potential
risk of accidental disclosure, EPA policy is to avoid collecting
confidential information that is not necessary to carrying out its
functions.
By law and regulation, EPA must inform companies of their
right to claim that information requested by EPA is
confidential. This right extends to information collected during
an inspection. Each program has forms or other procedures
that have been developed for such claims.
Inspectors cannot refuse a CBI claim. If an inspector does not
believe specific information is legitimately CBI, ORC should
be consulted.
6-5
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 6-5
Confidential Business
Information
Give trainees handout on the
Region's requirements and
training for CBI certification, if
avaiable.
Insert CBI contact names here.
Generally, procedures for handling CBI include:
Only authorized persons can see the data.
An access log is maintained that identifies everyone who
has had access to the data
There may be limits on making copies of the data
It is important to remember that any reports, case files,
laboratory reports, or other documents, that are generated
from confidential data also are 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:
LECTURE
ETHICAL CONSIDERATIONS FOR INSPECTORS
Give Handout 6-1 to trainees.
Insert ethics contact names
here.
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 EPA 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 crucial that inspectors be familiar with and comply with
laws and regulations about conflict of interest and ethics.
There is a designated ethics official in the Office of General
Counsel in Headquarters (Don Nantkes). The ethics official(s)
for this office is (are)-
6-6
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
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 the employee's
spouse or minor child) has a financial interest, regardless of
amount
Ask the group for examples of
each point, and discuss both
actual misconduct and the
appearance of misconduct.
Examples of prohibitions are certain roles in nonprofit
organizations, relationships with potential employers, and
ownership of stock.
Penalties of up to a $10,000 fine and two years in prison can
be imposed
Standards of Conduct
Under regulations in 40 CFR part 3, EPA employees must
avoid any action that might result in or create the appearance
of:
Many of these examples need
to be tempered with good
judgement.
Using public office for private gain (for example,
recommending a contractor that employs an inspector's
son)
Giving preferential treatment to anyone (for example,
agreeing for the facility's convenience and without a
compiling reason to return the following day)
Impeding the efficiency or economy of the government
(for example, staying in a fancy hotel, even at the
government rate that is too far from the facility to arrive
on time each day)
Losing independence or impartiality (for example,
becoming social friends with facility officials)
Making a government decision outside official channels
(for example, telling a facility about a violation during
inspection - but the facility should be informed if a
problem or method is doing immediate harm)
Adversely affecting public confidence in EPA or the
government (for example, being convicted of an unrelated
crime)
6-7
JULY 1997

-------
INSTRUCTOR NOTES	SUGGESTED CONTENT
Questions and Answers
Solicit questions about ethics from the trainees. The points
below may help in responding to them, you may wish to
review these points if no specific questions come up.
Gifts, favors, and luncheons
Avoid accepting such items 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
Use this exemption only when absolutely essential, such as
in remote locations where there are no 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 nonofficial purposes
Financial interests:
If you have stock in a company or a member of your
family works there, recuse yourself from the inspection.
6-8
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 6-6
When in Doubt, Don't!
A good rule of thumb is: When in doubt, don't1
LECTURE
DEALING WITH THE PRESS AND THE PUBLIC
Ask the trainees "When
would an inspector deal with
the news media?" List the
answers on a flip chart. Then
ask: "When would an
inspector deal with the public?"
List answers on a flip chart.
Overhead 6-7
Dealing With the Press and
the Public
Overhead 6-8
The Reporter's Viewpoint
In any inspection, nobody is guilty until proven so through an
enforcement action. Therefore, when we are conducting an
inspection, we can say nothing that implies a judgment. In
criminal cases, the legal restrictions are more stringent. EPA's
press policies, which outline what can and cannot be said, 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 EPA'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 and 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 approximately
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.
6-9
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
A radio reporter is trying to capture a story quickly and get
it on the air during 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 6-9
Talking With the Press
The inspector can help reporters by meeting their needs, even
when their specific questions cannot be answered. The
reporter can use the inspector's explanation of what the
inspection is accomplishing, why it is being done, and what
will be done with the results, especially if, in telling the story,
the inspector meets the different needs of the newspaper,
television, and radio reporter
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
Overheads 6-10 and 6-11
Specific Techniques
1.	Don't speculate. Reporters speculate as a matter of course,
and they will ask the inspector to speculate, too: "If you
find trichloroethylene, 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.
3.	Reject false premises Reporters sometimes ask questions
that involve 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
6-10
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
premise if you can and emphasizing the positive — for
example, "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. Publication of
off-the-record conversations can frighten the public
unnecessarily before the whole story is in; 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 a
message you want to get across, with two or three themes.
Keep returning to those themes when you answer the
reporter's questions. One theme could be the careful
conduct of the inspection- through sampling, clean
containers, chain of custody, careful laboratory analysis,
and 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 do not want the
reporter to leam about a controversy from somebody else
and conclude: "That EPA inspector did a snow job on
me." Emphasize that EPA is considering all points of view
and acknowledge relevant uncertainties that affect the
issue.
8.	Make a "no comment" sound like something more. You
create suspicion by saying "I can't comment." Instead,
spin your answer out — for example. "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 the samples
will go to our lab in Smithville for analysis With that
6-11
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
approach, 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 a
reporter's bad side could adversely affect your Agency's
future coverage. But the reporter is interested m 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?"
Overhead 6-12	Overall, the inspector's response to reporters can project a
The Inspector's Positive	positive story about EPA's efforts to protect public health and
Story	the environment It is not necessary to give out information
prematurely or to speculate about the future, because reporters
will use the information inspectors can give them What we
are doing at a site and what our methods are. That is an
interesting story to tell, and nobody but an inspector can tell it
First hand
6-12
JULY 1997

-------
HANDOUT 6-1
INSPECTOR'S LIABILITY
Inspectors must make sure they are honest, forthright, and live up to the Boy Scout law in all their
dealings with the regulated community. One senior inspector conducted an inspection at a facility and
found major repeat violations The inspector wrote the report and was responsible for either
negotiating a settlement or preparing for trail. During discovery, the inspector provided information
about education, work experience, and other facts, as requested by the defense attorney. The
inspector's credentials were extensive and impressive; however, because of comments made during a
deposition, the inspector's educational background was checked. The inspector had stated that he had
a doctoral degree when, in fact, he had only taken courses toward such a degree. As a result of that
dishonesty, the inspector was removed from the case, was placed under house arrest (was allowed only
to go to work and return home), and ultimately was fired.
In another case, two inspectors were picked up at the airport by a courtesy shuttle. One of the
inspectors claimed taxi fare, while the other did not. When questioned about the claimed taxi fare, the
inspector admitted falsely claiming the fare and resigned.
During a major cleanup activity, an on-scene coordinator aided a contractor in obtaining a contract,
accepted special favors, and falsified information on travel vouchers. Acting on a tip, the OIG and
OCI initiated an investigation, documented the illegal activity, and had the individual arraigned in
federal court. The case is still pending.
During a criminal investigation at a federal facility, evidence showed that three senior civilian
employees knowingly and willingly had disposed of hazardous waste. Since it was a government
facility and the government brought charges against the employees, they had to hire their own
attorneys for the trial. The employees were found guilty, given suspended sentences, and fined. After
being found guilty of a felony, they lost their government pensions, in addition to expending most or
all of their life savings on legal fees.
Since inspectors are gathering evidence to collect fines or put people in jail, all inspectors must ensure
that they are honest and above reproach; otherwise, they are subject to fines, dismissal, or
imprisonment.
1
JULY 1997

-------
Role of the Inspector
Relationship between federal and state
authorities
Confidential business information
Ethical considerations
Techniques for handling the press
and the public
Text: Chapters 4B, 5, and 20
6-1

-------
Role of the Inspector
All stages and aspects of compliance and
enforcement program
Official representative
Fact-finder
Enforcement case developer
(continued)

-------
Role of the Inspector
Provider of enforcement presence
Technical educator
Technical authority

-------
Enforcement Agreements Between
EPA and the State
Establish criteria and standards for EPA
oversight
Establish criteria for direct EPA enforcement
Specify data states will report to EPA
6-4

-------
Confidential Business Information
Only authorized personnel can see the data
Access log is maintained
Limits are imposed on copies made
Any report generated from CBI also is CBI
*
6-5

-------
When in Doubt, Don't!
Consult with your ethics official first

-------
Dealing With the Press
and the Public
EMPHASIZE THE POSITIVE!
1NET

-------
The Reporter's Viewpoint
•	Goal: A usable story
•	Differences among:
-	Newspaper
-	Television
-	Radio

-------
Talking With the Press
Know what you want to say
Use the interview as an opportunity to say it
-IWV.W	r FWif i i n	A
IInetI
6-9

-------
Specific Techniques
1.	Don't speculate
2.	Avoid jargon
3.	Reject false premises
4.	Speak on the record
(continued)

-------
Specific Techniques
5.	Know what you want to say
6.	Know when to stop
7.	Acknowledge differences of opinion
8.	Make a "no comment" sound like something
more
9.	What if the reporter goofs?
5-11

-------
The Inspector's
Positive Story
•	WHY we're at this site
•	WHAT we're doing here
•	HOW we're doing it

-------
H

-------
Notes
H

-------
SESSION 7
TOPIC: ROLE OF THE TEAM LEADER
INSTRUCTOR'S OVERVIEW
Time: 45 minutes
Purpose
Key Points
Advance
Preparation
Equipment
Present information on the role of the lead person for field inspections.
Stress the importance of the team leaders's responsibilities.
The team leader has certain responsibilities and authorities and is
expected to fulfill those responsibilities and exercise authority to plan,
coordinate, conduct, and complete a successful field inspection.
Be fully familiar with the roles, responsibilities, and authorities of the
team or inspection leader.
Overhead projector
Flip chart
List of Visuals
7-1 and 7-2	Responsibilities of the Team Leader
7-3 and 7-4	Retrieval and Reviewof Background Information
7-5 and 7-6	Project Plan
7-7 and 7-8	On-Site Inspection
7-9 and 7-10	Evaluation of Information and Preparation of the Report
7-11 and 7-12	Project Follow-Up
7-13 and 7-14	Authorities of the Team Leader
List of Handouts
None
i
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Introduce yourself, mentioning your background and
experience in inspection and as a team leader, and your role in
the course. Explain how the session is organized
DISCUSSION
ROLE OF THE TEAM LEADER
Using a flip chart, ask
participants to list their
opinions about the
responsibilities of the team
leader.
The purpose of this discussion
is to assist the new inspector in
understanding the role of his or
her team leader so they can
better support that person
The team leader is the lead person for a given project. The
team leader for each project is selected by the branch chief,
based on factors such as needs of the project, employee
development opportunities, and availability of personnel. In
general, the team leader is a work group leader, the central
focal point for a particular project, responsible for ensuring
that project objectives are met in a timely manner The team
leader is given certain responsibilities and authorities, as
outlined below, and is expected to fulfill the responsibilities
and exercise authority to plan, coordinate, conduct, and
complete the project successfully.
The extent of involvement by the supervisor in helping the
team leader meet those responsibilities depends on the team
leader's grade and experience. GS-12 and GS-13 team leaders
should be able to perform most, if not all, required tasks.
Team leaders of lower grades will require more assistance
from a supervisor or mentor.
Responsibilities and authorities of the team leader may vary
somewhat with the unique requirements of each project.
However, general responsibilities and authorities for
conducting a complete and timely project are common to most
projects. The following discussion of the responsibilities of
the team leader is presented in two sections responsibilities
and authorities. The discussion of responsibilities is presented
by project phases (most projects will involve some form of
each project phase). The discussion of authorities follows.
Because the team leader has similar authorities for most project
phases, the authorities are not discussed in terms of project
phases.
7-1
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE	RESPONSIBILITIES OF THE TEAM LEADER
Phase 1 - Project Request and Project Objectives
As stated previously, the team leader is the focal point for a
given project, responsible for ensuring that project objectives
are met in a professional and timely fashion. The team leader
uses the medium-specific and multimedia investigation manuals
as guidance for conducting environmental compliance
inspections. Discussion of general project phases and
associated responsibilities of the team leader follows
Phase 1 of any project begins with a request for assistance
Depending on the specifics of the request, work is required to
develop that request into a project plan that addresses the
requestor's needs.
Overheads 7-1 and 7-2	The team leader, in conjunction with the supervisor, the
Responsibilities of the Team	individual requesting the projects; and, often, members of the
Leader	project team, is responsible for:
Defining objectives of the project
Defining specific tasks required to fulfill those objectives
Identifying resource needs (both equipment and personnel)
Identifying potential on-the-job training (OJT)
opportunities associated with the various project phases
and, in conjunction with supervisors (and, in some cases,
staff), developing OJT objectives for other personnel
Scheduling project tasks
Consulting with supervisors to ensure the availability of
project members for project tasks
Developing and assigning tasks to team members
(including identification of any OJT opportunities)
7-2
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overheads 7-3 and 7-4
Retrieval and Review of
Background Information
Ensuring that a comprehensive project plan is prepared
(this task may be a separate project phase ~ project phase
3 -- depending on the extent of information available
during the project request)
Maintaining communication with the individual who
requested the project and appropriate personnel (team
members, supervisors of team members, counterparts in
other agencies, and other interested parties)
Ensuring that all technical issues and arrangements for
inspection have been completed and all equipment is
available, has been checked to ensure its operational
readiness, and will be available on site at the time of the
inspection; ensuring that all administrative arrangements
have been completed, including travel and overtime
requests and the arrangements for lodging, vehicles on site,
and personal protective equipment; and ensunng that all
inspectors have had necessary safety training and physical
examinations, and have the required credentials.
Phase 2 • Retrieval and Review of Background Information
This phase of the project involves identifying, collecting, and
reviewing background information applicable to a specific
project. The team leader, often in conjunction with team
members, is responsible for:
Identifying necessary background information (including
applicable laws and regulations, description of the facility,
its past compliance status, safety considerations, and other
information)
Arranging to obtain access to background information
Arranging for receipt of background information (such as
file review and document retrieval, telephone requests,
telephone conversations, and other efforts)
Ensunng that background information is properly
organized and filed
Ensunng that background information is provided to
appropnate project personnel
7-3
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Conducting a reconnaissance inspection, if appropriate
Providing guidance to project members and ensuring that
any associated OJT objectives are met
Maintaining lines of communication with appropriate
personnel of NEIC (team members, supervisors of team
members, and others)
Phase 3 - Project Plan
Overheads 7-5 and 7-6	The project plan is a written document that, for most projects,
Project Plan	is completed before the field work. The plan identifies work
to be conducted to address project objectives and includes a
site safety plan. The team leader is responsible for:
Overall completion of a final project plan (including a site
safety plan, if site work is required)
Ensuring that the project plan is peer-reviewed
Obtaining concurrence from the project requestor
Providing all project team members with copies of the
project plan
Ensuring that all project members are familiar with the
contents of the plan, including individual project
responsibilities, project schedules, and safety requirements
Ensuring that the project requestor receives the final
project plan before any on-site work begins
Providing guidance to project members and ensuring that
any associated OJT objectives are met
7-4
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Phase 4 - On-Site Inspection
Overheads 7-7 and 7-8	This phase of the project involves the on-site field work and
On-Site Inspection	necessary logistics and personnel actions to ensure that the
field inspection is earned out in a complete, efficient, and
timely manner. During this project phase, the team leader is
responsible for:
Ensuring that all personnel actions (overtime [OT] and
compensatory time [CT], changes in work schedules, and
other actions) are addressed
Ensuring that logistical issues are addressed (transportation
of personnel and equipment to the site, lodging
arrangements, and more)
Developing and maintaining a good working relationship
among all parties involved (including the target of the
inspection and contractors)
Coordinating all on-site activities, including scheduling
Ensuring that all objectives of the project are addressed
during the on-site inspection
Ensuring that the site safety plan is followed (or more
stringent facility requirements, if appropriate)
Maintaining communication with appropriate personnel
(team members, supervisors of team members, and others)
and with other appropriate personnel (such as the project
Requestor, contractors, and representatives of DOJ)
Providing guidance to team members and ensuring that any
associated OJT objectives are met
Ensuring that contaminated equipment is disposed of or
cleaned properly
Directing public inquiries to proper authorities
7-5
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overheads 7-9 and 7-10
Evaluation of Information
and Preparation of the
Report
Phase 5 - Evaluation of Information and Preparation of the
Report
A report describing activities under the project, evaluating
information gathered, and presenting findings is prepared for
most projects. The project report is usually the major vehicle
for presenting findings to the project requestor. In general, the
coordinator is responsible for ensuring that the project report
addresses all the objectives of the project, is accurate, and is
reviewed and completed in a timely fashion.
Preparing an outline of the report (or otherwise identifying
the report structure and contents of the report to project
members)
Identifying and assigning preparation of sections of the
project report to individual team members
Identifying and communicating to project members the
schedule for the preparation of the report
Consulting with supervisors to ensure availability of
project members for preparation of the report
Maintaining communication with the project requestor and
appropriate personnel (team members, supervisors of team
members, and others)
Providing guidance to project members and ensuring that
all associated OJT objectives are met
Coordinating all aspects of preparation of the report with
other groups (graphics, report services, and others)
Assembling draft reports
Ensuring that the report is reviewed properly and revised
(including transmittal of drafts for external review, tracking
of copies, and return of draft copies)
Assembling and transmitting the final report
7-6
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Phase 6 - Project Follow-up
Overheads 7-11 and 7-12	Project follow-up includes project activities that are conducted
Project Follow-Up	after transmittal of the final report Such activities usually
include cooperation in legal action such as case preparation,
court testimony, settlement negotiations, and depositions.
During project follow-up, the team leader is responsible for:
Maintaining contact with the project requestor or other
designated project contact to remain informed of legal or
other activities
Coordinating any requests for additional assistance
Advising supervisors and appropriate staff of the need or
potential need for additional project support
Preparing project file to be submitted to central files
Providing the supervisor of each project member a critique
of the project member's activities, including a discussion
of the OJT objectives, as identified by the project
coordinator and the project member's supervisor during the
project request phase
Providing each team member with an individual, verbal
critique of performance
Authorities of the Team Leader
Overheads 7-13 and 7-14	As the focal point and leader of a team of employees, the team
Authorities of the Team	leader has some "first-line" supervisory authorities for most
Leader	project phases. Once project members have been selected and
the general responsibilities of each member have been agreed
upon (agreement between the team leader and the project
member's supervisor and often the project member), the team
leader has the authority to:
Set or modify project schedules
Identify and modify, as necessary, the specific tasks of
project staff (including activities in all phases of the
project, such as preparation of the project plan, field work,
and preparation of the report)
Direct field operations
7-7
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Enforce the requirements of the project safety plan
(including barring personnel who do not have the proper
equipment or training from the identified "hot" zone)
Set working hours for team members during field work
Approve and verify OT and CT hours worked
Negotiate terms of inspection with the entity undergoing
the inspection (for example, taking photographs, requesting
and copying documents, providing advance notification of
areas to be inspected and personnel to be interviewed,
handling of CBI materials, and other issues) so long as no
statutory or regulatory authorizations are compromised
Arrange for inspection of off-site facilities related to the
objective of the project (for example, the laboratory of an
off-site contractor, a waste transfer station, or other
facilities)
Request and arrange for assistance from other groups (for
example, laboratory services, Office of Research and
Development [ORD], or Environmental Photographic
Interpretation Center [EPIC])
Procure equipment and services necessary to carry out the
project
Require project team members to follow established
protocols for conduct, inspection, preparation of reports,
and participation in follow-up actions, and enforce ground
rules identified for specific inspections
Ensure the security of project files, reports, and findings of
inspections
7-8
JULY 1997

-------
Responsibilities of the Team Leader
Define project objectives
Define tasks
Identify resource needs (both equipment and
personnel)
Identify potential on-the-job training
opportunities
Schedule project tasks
(continued)
7-1

-------
Responsibilities of the Team Leader
Consult with supervisors
Develop and assign tasks
Prepare a comprehensive project plan
Maintain communications
Ensure completion of all technical and
administrative arrangements for inspection

-------
Retrieval and Review of
Background Information
Identify necessary background information
Arrange for access to information
Arrange for receipt of information
Organize and file information
(continued)

-------
Retrieval and Review of
Background Information
Provide information to project personnel
Conduct reconnaissance inspection
Provide guidance to project members
Maintain communications
7-4

-------
Project Plan
Complete the project plan
Arrange for peer review of the project plan
Obtain concurrence of project requestor
Provide project plan to team members
(continued)

-------
Project Plan
Ensure familiarity with the project plan
Provide final project plan to project requestor
Provide guidance to project members
7-6

-------
On-Site Inspection
Address personnel actions
Address logistical issues
Develop and maintain working relationships
Coordinate on-site activities
Ensure that project objectives are met
(continued)
7-7

-------
On-Site Inspection
Ensure that safety plan is followed
Maintain communications
Provide guidance to team members
Ensure that contaminated equipment is
cleaned or disposed of
Direct public inquiries to proper authorities
7-8

-------
Evaluation of Information and
Preparation of the Report
Prepare outline
Assign sections to project members
Establish writing schedules
Consult with supervisors
Maintain communications
(continued)
7-9

-------
Evaluation of Information and
Preparation of the Report
Provide guidance to project members
Coordinate preparation of the report
Assemble the draft report
Arrange for review of the report
Assemble and transmit the final report
snet!
7-10

-------
Project Follow-Up
Maintain contact with requestor
Coordinate any request for additional
assistance
Advise supervisors and staff of need for
additional project support
(continued)

-------
Project Follow-Up
Prepare project file
Critique project members' activities
7-12

-------
Authorities of the Team Leader
Set or modify project schedules
Identify and modify tasks
Direct field operations
Enforce safety plan
Set working hours
Approve and verify overtime
(continued)
I inet!

-------
Authorities of the Team Leader
Negotiate terms of inspection with entity to be
inspected
Arrange for inspection of off-site facilities
Request and arrange for assistance from other
groups
Procure necessary equipment and services
Require that established protocols be followed
Ensure security of project files
7-14

-------
8

-------
Notes
8

-------
SESSION 8
TOPIC: ELEMENTS OF AN INSPECTION
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose
Summarize all aspects of the actual inspection.
Key Points
Focus on opening and closing conferences and overview of data
collection.
Explain how field logbook serves as core documentation.
An inspection includes all activities associated with the inspection
before, during, and after an on-site visit
Record reviews, physical sampling, interviews, and observations are
types of data collection.
Documentation of the inspection is crucial, and the field logbook is an
excellent tool for maintaining accurate, contemporaneous notes and
observations.
Advance
Preparation
Provide an example of a field logbook.
Equipment
List of Visuals
Overhead projector
8-1	Elements of an Inspection
8-2	Preinspection Activities
8-3	On-Site Activities
8-4	Postinspection Activities
8-5	Field Logbook
List of Handouts
None
i
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction	Introduce yourself, mentioning your background and EPA
experience and your role in the course.
The purpose of thts session is to introduce the elements of an
inspection. Many of the elements will be discussed at length
in later sessions. The session also will cover key issues and
procedures related to the inspection process.
LECTURE	ELEMENTS OF AN INSPECTION
Overhead 8-1	On the first day of training, we tried to provide you with an
Elements of an Inspection	overall understanding of:
The importance of inspections and inspectors to EPA's
mission
How inspections and inspectors fit into the compliance and
enforcement process
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 a rough chronology of likely events in
planning for, conducting, and following up an inspection. We
also will cover some concepts, principles, and procedures that
govern all inspections.
This session will set the stage for the rest of the training
course, in which we will be covering in detail some specific
activities and techniques involved in conducting inspections.
It is important to realize that an inspection involves more than
just the actual time spent at a facility, which we call "on-site
activities." An inspection also includes everything that is done
in advance to prepare for the inspection - "preinspection
activities" — and all the steps taken after the inspection until
the file on that inspection is closed — "post inspection
activities"
8-1
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
The notes next to each bullet
item in the Suggested Content
column list activities associated
with each activity category.
This section of the session
should be very brief; use only
a few of these examples (or
your own), since these topics
will be covered in detail later.
Give examples as to why a site
might be inspected
Overhead 8-2
Preinspection Activities
Preinspection Activities
Careful advance preparation is needed to ensure that an
inspection is executed efficiently and effectively. While not
necessarily an exhaustive list, this slide shows some of the key
components of preinspection activities.
Selection of Inspection Site — Which specific facility is to
be inspected; how will it be or was it selected for
inspection and why
Review of Agency Records -- What do we already know
about this facility (for example, permit or regulatory
requirements that apply, types of processes and operations,
self-monitoring data, and compliance history)
Preparation of 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, safety plan,
etc.
Coordination — As needed among program office, field
inspectors, counsel, and states; also within inspection
team. Includes meetings, logistical discussion, etc.
Administrative Planning — Planning and paperwork for
travel, pay administration, and procurement aspects of the
inspection such as petty cash, purchase of special sampling
equipment, packing supplies, etc.
Overhead 8-3	On-Site Activities
On-Site Activities
Entry and Opening Conference -- Entering the facility and
opening meeting with facility managers to determine "lay
of the land"
8-2
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Data Collection — The heart of the inspection, collecting
the data that wtll answer the compliance questions that
have been posed. There are four basic data collection
techniques-
Records review
Physical sampling
Observations and illustrations (photographs)
Interviews
Closing Conference — What can and cannot be said to
facility managers, receipts
Inspection Report — The government's record of what
happened during the inspection; reports the facts and is the
basis for the government's action
Official Files -- All pertinent documents, forms,
photographs, receipts, custody records, and other items
Laboratory Analysis - If samples were collected,
laboratory analysis is part of the inspection; results of
analysis are often crucial substantiating evidence
Enforcement Action - Based on inspection report,
recommendations of the inspector, EPA policy, a decision
is made whether and what type of enforcement action
should be taken and, if so, what type
Settlement Negotiations ~ 98 percent of cases are settled;
inspector has important role in government's side of
negotiations
Hearing or Trial — If the case is not settled, it goes to
trial; inspector is key witness
Overhead 8-4
Postinspection Activities
Post Inspection Activities
8-3
JULY 1997

-------
INSTRUCTOR NOTES	SUGGESTED CONTENT
LECTURE	FIELD NOTES AND LOGBOOK AS CORE
DOCUMENTATION
Overhead 8-5	The logbook should contain accurate and inclusive
Field Logbook	documentation of all inspection activities. It ts the basis for
preparing the report and for refreshing an inspector's memory
about sample collection and other procedures, if testimony is
required. This material is covered in Chapter 15A of the text.
All samples, documents, and other evidence collected should
be documented fully in the logbook, so that they can be traced
to a particular date, location, purpose, and inspector.
Document and photo logs, each document collected should be
assigned a unique number, and each photo should be
documented in the log book (preferably on a separate photo
log page(s)) with the date and time noted, a brief description
of the photo subject, and the photographer noted.
Language in the logbook should be objective, factual, and free
of personal opinions and conclusions of law. It is subject to
discovery and can be seen by the opposing side.
The logbook should be bound, and have pages numbered in
sequence to demonstrate that no pages have been removed.
The following information should be entered in the logbook:
General information about the facility
Notes on entry activities
Identification numbers for samples, photographs, and
records
Sampling procedures
Interview notes
Observations of general conditions and practices
Discussion of unusual conditions or problems
8-4
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Other observations
Descriptions of general procedures and any changes in
SOPs, along with the reasons for changes
Administrative data
Inspectors should avoid entering confidential information,
particularly TSCA CBI, in the logbook. Confidential data
should be entered 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 be placed
in the file for that inspection, and there is never a danger
that information about another inspection would be
revealed inadvertently under discovery related to the
inspection of concern
Use a logbook that will fit in your pocket. There is a
government-issued, small notebook that meets the
requirement that the logbook be bound, with pages
numbered in sequence.
Make sure the ink used for entries in the logbook is
waterproof. Not all inks that are described as waterproof
really are.
Tape any business cards you receive - at an opening or
closing conference, for example ~ into the front of your
logbook. Later, when writing the inspection report, you
will have all the necessary names, titles, addresses, and
telephone numbers in one place.
If two or more inspectors are present during an interview,
there may be apparent "contradictions" in notes taken by
different people. Those contradictions must be
clanfied/resolved as soon as possible. The notes are
subject to discovery, and unresolved differences might
damage the government's credibility.
8-5
JULY 1997

-------
Elements of an Inspection
•	Preinspection activities
•	On-site activities
•	Postinspection activities
Text: Chapters 11,15A, and 16
8-1

-------
Preinspection Activities
•	Selection of inspection site
•	Review of agency records
•	Preparation of inspection plan
•	Coordination
•	Administrative planning

-------
On-Site Activities
•	Entry and opening conference
•	Data collection
-	Records review
-	Physical sampling
-	Observations and illustrations
-	Interviews
•	Closing conference

-------
Postinspection Activities
•	Inspection report
•	Official files
•	Laboratory analysis
•	Enforcement action
•	Settlement negotiations
•	Hearing or trial

-------
Field Logbook
•	Full record of the inspection
•	Factual; no opinions
•	In ink

-------

-------
Notes

-------
SESSION 9
TOPIC: INSPECTION PLANNING
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose
Key Points
Advance
Preparation
Stress the importance of planning and advance preparation.
Present information about key planning activities.
Plan in advance what to look for, how to look, and what
documentation to collect; saves time and money and ensures a
thorough inspection
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 punched for
insertion in text.
Equipment	Overhead projector
Flip chart
List of Visuals	9-1 Planning the Inspection
9-2 Goal of Inspection Planning
9-3 Know What To Look For
9-4 Know How To Find It
9-5 Know How To Collect, Document, and Preserve Evidence
9-6 Be Safe and Efficient in the Field
9-7 Define Scope and Objectives
9-8 Reviewing EPA Records
List of Handouts 9-1 Generic Inspection Check List
i
July 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Overhead 9-1
Planning the Inspection
Introduce yourself, mentioning your background and EPA
experience and your role in the course Explain how the
session is organized.
DISCUSSION
WHEN PLANS WENT AWRY
From your own experience or
the anecdotes described in the
Suggested Content column, tell
the group some horror stones
about the results of inadequate
planning. Then ask the group
to discuss examples of cases in
which they were unprepared
and the results, including how
they handled the situations.
Remember that "Murphy's Law" applies to inspections as well
as everything else:
"If anything can go wrong, it will."
Horror stones about lack of planning:
A PCB inspector entered a facility to conduct a "routine"
inspection. Once inside, he came upon some smashed
capacitors, sitting 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 the camera
to document the spill, but when he reentered the facility,
the capacitors had been swept up, and the puddle was
gone.
An National Pollutant Discharge Elimination System
(NPDES) inspector failed to put his container away on a
windy day and it blew down the open access into the
sewer system. When he tried to retake the sample, the
inspector discovered that he had not brought any extra
containers with him.
The new inspector was going into the field with hts
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 check list and reached into his
pocket, only to discover he had forgotten to bring a pen.
An inspector was denied entry to a facility because he did
not have a hard hat.
9-1
July 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask the group for additional
examples of plans that went
awry.
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
These situations may seem funny (when they happen to
someone else), but such mistakes are embarrassing (when they
happen to you) and can prevent you from conducting a
successful inspection
We still may have to contend with Murphy's Law, but we can
try to minimize problems through careful preinspection
planning.
LECTURE
IMPORTANCE OF PLANNING AND PREPARATION
Overhead 9-2
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, and other needs will
be available
Ensure that proper procedures are followed
DISCUSSION
KEY PLANNING ACTIVITIES
Ask the group to suggest
important planning or
preparation activities that
should be conducted before
going to a site for an
inspection and to discuss
briefly the importance of each
activity. List them on a flip
chart. At the conclusion of the
discussion, the list should
What are the most important planning activities?
Understand the objectives of the inspection and know what
the specific areas are to be inspected
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
9-2
July 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
include at least the points
shown in the Suggested
Content column.
Review available records to become familiar with the
facility
Assemble materials and equipment
Overheads 9-3 through 9-6
Prepare QA/QC plan and safety plan
Use overheads to summarize
key planning activities
Coordinate activities with supervisors, attorneys, state
agencies, and others, as appropriate
LECTURE
DEFINING SCOPE AND OBJECTIVES
Overhead 9-7
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
Topics: specific control and treatment systems, records,
self-monitoring, contingency plans and emergency plans,
employee training
While not always necessary, it may be useful to consult with
the appropriate attorney to ensure complete understanding and
an effective plan of action.
9-3
July 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
DISCUSSION
GENERIC INSPECTION CHECK LIST
Distribute Handout 9-1, the
Generic Inspection Check List.
This generic inspection check list asks the kinds of questions
that should be considered before any inspection. It helps
organize the planning process to ensure that no steps are
omitted.
LECTURE	REVIEWING EPA RECORDS
Overhead 9-8	The inspector should review EPA records to:
Reviewing EPA Records
Become familiar with the type, size, and operations of the
facility
Discover inadequacies, inconsistencies, or voids in the
information, thus determining the need to request
additional information from the facility
Minimize inconvenience to personnel of the facility or
unnecessary use of their time by not requesting information
that EPA already has
Clarify technical and legal issues before entry
Develop an appropriate inspection plan that documents this
information and applies it to shaping a methodology for
the most efficient use of inspection time and manpower
resources
The inspector should look for:
Facility information
Facility information, diagrams, and photographs
Special entry requirements
Process operations and production levels
9-4
July 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Control equipment
Recordkeeping systems
Safety requirements
Permits, permit applications, and special exemptions
Prior inspection reports and reports on enforcement
actions
Self-monitoring reports
Laws and regulations
Technical reports relevant to processes and contracts
This information can be found in:
Facility files in the appropriate EPA office
Computer data systems
9-5
July 1997

-------
GENERIC INSPECTION CHECK LIST
HANDOUT 9-1
OBJECTIVES
-- What is the purpose of the inspection9
TASKS
-- What records, files, permits, and regulations will be checked9
-- What coordination with laboratories, other programs, attorneys, and state or local governments
is necessary?
—	What information must be collected9
PROCEDURES
--	What specific processes of the facility will be inspected?
—	What procedures will be used?
—	Will the inspection require special procedures?
—	Has a QA/QC plan been developed, and is it understood?
—	Has a safety plan been developed, and is it understood?
—	What are the responsibilities of each member of the inspection team?
RESOURCES
~ What personnel will be required?
—	What equipment will be required?
SCHEDULE
—	What will be the time requirements?
-- What will be the order of inspection activities?
-- What will be the milestones (What must be done, compared with what is optional)9
1	July 1997

-------
Planning the Inspection
When plans went awry
Importance of planning
Key planning activities
Defining scope and objectives
Check lists
Reviewing EPA records
Text: Chapter 9
3-1

-------
Goal of Inspection Planning
Identify all activities necessary to gather
information to assess whether a facility is in
compliance and to use as evidence in possible
enforcement action
HOW TO ACCOMPLISH GOAL?
BE PREPARED!

-------
Know What To Look For
•	Identify TYPE of inspection
-	Compliance evaluation
-	Routine
-	For cause
-	Oversight
•	Define OBJECTIVE of inspection
•	Decide FOCUS of inspection
5NET
9-3

-------
Know How To Find It
Review records and permits
Know compliance history
Talk with attorneys and other inspectors
Contact state and local officials
inet!
9-4

-------
Know How To Collect, Document, and
Preserve Evidence
Know what nontechnical evidence
is needed
Identify the kind and quantity of physical
samples needed
Identify necessary equipment and check
condition
Prepare QA/QC plan for documentation, chain
of custody, transportation

-------
Be Safe and Efficient in the Field
Develop safety plan
Use personal protective equipment
Define tasks of all members of
inspection team
Arrange logistics in advance
-	Travel
-	Pay
-	Transportation
-	Lodging
-	Special equipment

-------
Define Scope and Objectives
•	Reason
•	Scope
•	Depth
•	Topics

-------
Reviewing EHA Records
Become familiar with the facility
Discover inadequacies in the information
Minimize inconvenience to facility personnel
Clarify technical and legal issues before entry
Develop inspection plan
9-8

-------
10

-------
Notes
10

-------
SESSION 10
TOPIC: SOURCES OF INFORMATION
INSTRUCTOR'S OVERVIEW
Time: 45 minutes
Purpose
Key Points
Advance
Preparation
Equipment
List of Visuals
Acquaint the participants with the wide range of information that ts
available to the inspector before the inspection
Prior planning, including extensive review of all sources of
information, is crucial to the successful and professional
accomplishment of an inspection
Review handouts and be prepared to answer questions about databases,
paying particular attention to the Integrated Data for Enforcement
Analysis (IDEA) database.
Overhead projector
10-1, 10-2, and 10-3 Review of Federal, State, and Local Files
10-4 and 10-5 Databases
List of Handouts
10-1 Sources of Information
i
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Introduce yourself, mentioning your background and inspection
experience and your role in this course.
In this session, we will cover the need for review of
background information and provide jLnfopnation^pff sources of
information.	U>
LECTURE
REVIEW OF BACKGROUND INFORMATION AND
SOURCES OF INFORMATION
Overheads 10-1, 10-2, and 10-
3
Review of Federal, State, and
Local Files
Explain where info in
Overhead 10-1 can be located
The inspector must collect and analyze b^kprrt"nH infrirmation
to better plan and perform rhp.	The objective of the
review is to allow you to (1) become familiar with the facility.
(2) clarify technical and legal issues before the inspection, (3)
use resources wisely, and (4) develop a list of-questions to be
answered and documents to Jy. obtained during the on-site
inspection. For example, the inspector should understand the
facility's process(es) as much as possible and know what
problems have occurred in the past, as determined by reviews
of files or data. Much of the total time spent on an inspection
should be spent on planning and preparing for the insp^'O"
Good planning will prevent such classic oversights as being on
the road and not knowing where the facility is, or failing to
examine the operation that received a notice of violation after
five previous inspections. The inspector should check with the
program staff (federal, state and local) to gain as much
knowledge as possible about the site.
Review of Federal, State, and I -oral Kil<^
Reviewers of federal, stafp, anH fjfac should pay
particular attention to the following:
Permits and permit applications
Process and wastewater flow charts
Prior inspection reports
Enforcement documents, including administrative orders,
complaints, consent decrees and agreements, notices of
noncompliance (NON), deficiency notices, compliance
schedules, cease and desist orders, closeout documents, and
notices of violations
— Facility responses to all of the above
10-1
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overheads of 10-4 and 10-5
Databases
Distribute Handout 10-1.
Records, reports, and self-monitoring data maintained by
the facility
Quality assurance (QA) documentation
Exemptions and waivers
Maps showing layout of the facility and waste management
and discharge sites
Records of citizen complaints
Consultant's reports
Documentation of potential cross-program issues
Annual reports and hazardous waste manifests
Spill reports
Reconnaissance
A reconnaissance visit of the facility may be conducted in
conjunction with the gathering of background information from
state and local files. Administrative	anH IffTHirs
usually are discussed during a reconnaissance visit that will
increase the efficiency of the on-site inspection. A
reconnaissance visit is particularly important if the facility
being inspected is complex or if the inspector has never before
inspected the facility. At least the inspector should participate
in the reconnaissance visit. No reconnaissance visit is
conducted if the inspection will be unannounced, or if the
inspector has extensive knowledge of the facility,	,
fmB U usm
Reviews of EPA Databases
Additional background material about the facility should be
obtained from EPA databases. (Acronyms are defined in
handout). At a minimum, the inspector should review the
following:
TRIS (beginning in 1987, provides data by facility on past
releases of toxic or hazardous substances to the
environment, as required by Section 311 of EPCRA —
Title III of SARA)
DUNS Market' Identifiers (Commercial system that tracks
the owners and financial information for publicly- and
privately-owned companies in the U.S.)
PCS (provides information about CWA and NPDES
permits, discharge monitoring report (DMR) data, receiving
stream data, some enforcement information, and inspection
history for "major" wastewater discharges)
10-2
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
RCRIS (provides information required under RCRA, such
as location, hazardous waste handled, inspection history,
nature of past violations, and results of enforcement
actions)
FTTS (provides information required under TSCA, such as
inspection history and case development information,
including violations and types and results of enforcement
actions)
FINDS (EPA database identifies regulations applicable to
the facility, including some related to compliance and
enforcement actions)
CERCLIS (Superfund's national database system provides
information on CERCLA sites)
AFS and AIRS (the Air Compliance Program's national
database system provides air compliance information about
major sources)
IDEA (a computer system which integrates compliance and
enforcement data from EPA's program office data
management systems)
A more extensive list of sources of information, both computer
_	databases and other sources, is included as handout 10-1.
\r'

10-3
JULY 1997

-------
SOURCES OF INFORMATION
HANDOUT 10-1
I General References
A RCRA Orientation Manual, 1990 Edition. USEPA, Office of Solid Waste/Permits and State
Programs Division and the Association of State and territorial Solid Waste Management
Officials GPO 1990-261-069/2413H
C Standard Operating Safety Guides. USEPA, Office of Emergency and Remedial Response,
Emergency Response Division. July 1988 GPO 1988-548-158/87012.
D.	EPA Publications Bibliography. Quarterly listing of all EPA publications distributed through
the National Technical Information Service (NTIS), indexed alphabetically, numerically, and
by key word. NTIS, U.S. Department of Commerce, Springfield, VA 22161 (703) 487-4650.
E.	Access EPA Libraries and Information Services. NTIS, U S Department of Commerce,
Springfield, VA 22161 (703) 487-4650
F.	Computer Data Systems. A description of the automated data systems accessed by NEIC.
Indexes 41 sources accessing more than 1,000 databases.
II. Technical References
A.	Kirk-Othmer Encyclopedia of Chemical Technology. Wiley; 3rd ed., 1981; 4th ed in
publication process.
B.	Merck Index: Encyclopedia of chemicals, drugs, and biological compounds. Good source for
chemical properties and safety plan details.
C.	Directory of Chemical Producers. Lists major chemical producers and the products they make.
SRI International, Menlo Park, California Annual.
HI. Legal and Regulatory References
A.	Statutes at Large: The official publication of public and private laws and resolutions enacted
during a session of Congress.
B.	United States Code: A codification of the general and permanent laws of the United States.
New editions appear approximately every six years with cumulative annual supplements.
I
JULY 1997

-------
HANDOUT 10-1
Regulations
1	Federal Register Daily publication of proposed and final rules.
2	Code of Federal Regulations: Annual compilation of regulations.
3. LSA (Lists of CFR Sections Affected) Monthly updates of CFR by section
Computer Data Systems A description of some of the automated data systems accessed by
EPA follows.
2
JULY 1997

-------
HANDOUT 10-1
EPA INTERNAL INFORMATION SYSTEMS CURRENTLY ACCESSIBLE THROUGH NEIC
Aerometric Information Retrieval System (AIRS)
AIRS Facility Subsystem (AFS)
Chemicals in Commerce Information System (CICIS)
Comprehensive Environmental Response, Compensation, and Liability
Information System (CERCLIS)
Docket System
DUNS Market Identifiers (DMI)
Emergency Response Notification System (ERNS)
.Enfwo^ment Document Retrieval System (EDRS) »—
Facility and Company Tracking System (FACTS)
Facility Index System (FINDS)
Federal Reporting Data System (FRDS)
NPDES Industrial Permit Ranking System
Permit Compliance System (PCS)
Pollution Prevention Information Exchange System (PIES)
Potentially Responsible Parties System
Records of Decision System (RODS)
Resource Conservation and Recovery Information System (RCRIS)
Site Enforcement Tracking System (SETS)
STORET
Superfund Financial Assessment System (SFFAS)
Toxic Release Inventory System (TRIS)
PUBLICLY AVAILABLE EXTERNAL INFORMATION SYSTEMS CURRENTLY
ACCESSIBLE THROUGH NEIC
Chemical Information System (CIS)
Colorado Alliance of Research Libraries (CARL)
DataTimes
DIALOG Information Services, Inc.
Dun and Bradstreet
Groundwater On-Line (GWOL)
NEXIS/LEXIS
National Library of Medicine (NLM)
Scientific and Technical Information Network (STN)
WESTLAW
3
JULY 1997

-------
EPA INTERNAL INFORMATION SYSTEMS	HANDOUT 10-1
CURRENTLY ACCESSIBLE THROUGH NEIC
System
Description
Application
Aerometnc Information
Retrieval System
(AIRS)
Chemicals in Commerce
Information System
(CICIS)
/tjip'5	d
AIRS Facility Subsystem
(AFS)
Comprehensive
Environmental
Response, Compensation,
and Liability Information
System
(CERCLIS)
A national system in AD ABAS maintained by the
National Air Data Branch, which incorporates
information from many of the Agency's air databases.
Emissions data (formerly in NEDS) is now available in
AIRS.
A national system containing the results of the 1977
TSCA inventory and later cumulative supplement of
approximately 60,000 unique chemical substances
(7,000 claim confidentiality) used commercially in the
United States.
A national system containing compliance information
including compliance status, agency actions (e.g.,
inspections), and other information for major sources of
the five primary air pollutants. Recently converted from
the Compliance Data System (CDS), AFS is one of five
AIRS subsystems.
A national system containing names and locations of
uncontrolled hazardous waste sites jn the U.S., summary
response event status information, aliases, and site
characteristic data. Recent modifications include
provisions for tracking enforcement activities, and
technical and chemical information at CERCLA sites.
Superfiind Comprehensive Accomplish Plan (SCAP) data
are also available through CERCLIS.
Data currently available from AIRS consists of
the ambient air quality data collected by states,
utilized for trends analysis and pollution control
strategies and emissions and compliance data
collected by EPA and state agencies.
NEIC can access the system by company name
and geographical area and generate listings by
company name, CAS registry number, or
geographical area.
NEIC can acquire the Significant Violators list
and compliance event data for individual
sources, entire facilities, sources within a certain
geographical area and sources of a specific
industrial classification.
NEIC can generate site inventory listings for
geographical area, the National Priorities List,
technical event status reports, and enforcement
history for any uncontrolled hazardous waste site
and cleanup expenditure reports.
4
JULY 1997

-------
EPA INTERNAL INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE THROUGH NEIC
HANDOUT 10-1
System
Description
Application
Consent Decree Tracking
System
A national system containing a computerized inventory of
consent decrees to which EPA is a party and
computerized summaries of the contents of decrees by
facility. NEIC maintains a hardcopy library of all
consent decrees in the system. This repository has been
converted to a full-text database_ol0QRlS:—"
NEIC can produce hard copies of all decrees in
the inventory and produce computer reports of
the inventory, the entire contents of decrees, the
milestones to be met under specific decrees or
for decrees in a Region, and the contents of all
decrees for a specific issue (e.g., groundwater
monitoring).
Docket System
DUNS Market Identifiers
(DMI)
Emergency Response
Notification System
(ERNS)
Enforcement Document
Retrieval System
(EDRS)
A national system containing all pertinent information
regarding a civil or administrative enforcement action
taken by EPA or designated states against violators of all
federal environmental statutes.
Leased by the Agency from Dun and Bradstreet, DMI
contains basic business information for privately and
publicly owned companies in the United States.
A national system containing information on reported
releases of oil and hazardous substances and responses by
EPA, the U.S. Coast Guard, and others to the reported
releases.
EDRS is a full-text national database of EPA
enforcement documents, including the General
Enforcement Policy Compendium and the Policy
Compendiums for FIFRA, TSCA, RCRA,
CERCLA/SARA, and CWA/FWPCA.
NEIC can access the entire system to produce
reports of enforcement actions in a geographical
area, for a specific statute or media, or for a
specific source classification.
NEIC can generate reports with business
information, such as number of employees,
amount of sales, telephone number, title of
principal officer, and line of business.
Reports can be generated to identify specific
releases and to aggregate data on the number
and types of releases throughout the country and
in specific states and regions.
EDRS can be used to retrieve all enforcement
documents containing a particular word, such as
"landfill," or those relevant to an issue, law, or
regulation.
5
JULY 1997

-------
EPA INTERNAL INFORMATION SYSTEMS	HANDOUT 10-1
CURRENTLY ACCESSIBLE THROUGH NEIC
System
Description
Application
Facility and Company
Tracking System
(FACTS)

Facility Index System
(FINDS)
Federal Repotting Data
System
(FRDS)
NPDES Industrial Permit
Ranl^ng System
Permit Compliance System
(PCS)
A national database that provides basic business
information for privately and publicly owned companies
in the United States, and facility information for EPA-
regulated facilities. FACTS comprises the DMI and
FINDS subsystems.
A national database that serves as a cross-reference index
on a facility basis to point to media-specific EPA
databases to acquire additional data. This is the link with
other EPA data systems.
A national system containing an inventory of public
water supplies in support of the Safe Drinking Water Act.
It contains identification and statistical summary
information for each public water supply, including type
of data collected or monitored and analytical procedures.
An NEIC-operated and maintained system that contains
criteria, ranking factors, and calculation mechanisms to
rate (1) a facility's effluent discharge pollution potential,
including toxics; (2) health impact potential; and (3)
water quality impact potential, which is then used in PCS
for differentiation of major and minor status.
A national computerized management information system
containing an inventory of NPDES permits, milestone
forecasts, inspection events, effluent measurement data,
effluent and compliance violations, and enforcement
actions.
NEIC can generate facility listings for any
geographical area, type of business, or
corporation DMI locates business information,
such as number of employees, amount of sales,
telephone number, and principal officer. FINDS
provides facility information for EPA-regulated
databases.
NEIC can generate facility listings for any
geographical area, as well as tabulated listings
indicating whether other databases contain
information about that facility.
NEIC can acquire source information and
location, service areas, geographic areas, and
historical information. Information on
noncompliance and enforcement actions can also
be obtained.
NEIC can access the specific data for any of 12
criteria, ranking factors, and resultant ratings for
each of the 12, as well as the total ranking for
any or all of the three potentials. NEIC can
access the data by Effluent Guideline
subcategory, as well as by Standard Industrial
Classification Code.
NEIC can acquire limit and measurement data
for individual discharges or entire facilities,
facilities within a geographic area, or sources in
a specific industrial classification and the
Quarterly Noncompliance Report (QNCR) by
region by state. Information on effluent and
compliance schedule violations and enforcement
actions and tracking can be obtained.
6
JULY 1997

-------
EPA INTERNAL INFORMATION SYSTEMS	HANDOUT 10-1
CURRENTLY ACCESSIBLE THROUGH NEIC
System
Description
Application
Pollution Prevention
Information Exchange
System f) y
(PIES) 'All
Potentially Responsible
Parties System , - i
, \ rlaxslp &Ci,
Records ol Decision System^^
(RODS)
Resource Conservation and
Recovery Information
System (RCRIS)


Site Enforcement Tracking
System (SETS)
STORET
A national computerized information network providing
access to technical, programmatic, and legislative
pollution prevention information. Includes a calendar of
events, case studies, directory of contacts, an interactive
message center, and document ordering capability.
An NEIC-automated system that links PRPs from SETS,
SFFAS, and TECHLAW files.
^full-Text national database of more than 2,000
Superfund records of decision.
Conversion to RCRIS from HWDMS is currently
underway. RCRIS is scheduled to be operating as the
official automated source of information on RCRA
program activities by January 1992.
A centralized national database tracking notice letters
which have been sent to potentially responsible parties.
A national database containing water quality data for
some 1,800 unique parameters from more than 200,000
collection points including lakes, streams, wells, and
other waterways. New STORET software provides an
interface between STORET and PCS data.
NEIC can use the system to stay abreast of
policy and program activities at Headquarters
and in the regions as well as industry specific
technical information. Case studies of
enforcement settlements incorporating pollution
prevention projects can be obtained.
This system is used as an inventory of specific
generators or parent corporations identified at
and among hazardous waste sites.
NEIC can retrieve a specific ROD by searching
on-site name or ID number or can identify all
RODS covering selected media, contaminants, or
remedies.
NEIC is planning to use the RCRIS National
Oversight Database, which is derived from the
10 regional RCRIS databases. Information
available will include handler identification,
information on permitting, closure, and post-
closure care, compliance monitoring and
enforcement, and corrective action and program
management.
NEIC uses this database to supplement currently
available responsible party information.
NEIC can access and produce reports on water
quality, including groundwater quality, for
specific geographical areas, for specific
parameters (e.g., organics), and for a specific
station.
7
JULY 1997

-------
EPA INTERNAL INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE THROUGH NEIC
HANDOUT 10-1
System
Description
Application
Superfund Financial
Assessment System
(SFFAS)

s
Nationally available computer application designed to
calculate the remedial costs a responsible party
theoretically can afford to pay for cleanup of a site.
Three common financial ratios are used to make this
determination: (1) cash flow to total debt, (2) total debt
to equity, and (3) the interest coverage ratio.
A national database containing information directly
related to the Toxic Chemical Release Inventory Report
Form R. Two types of submissions will be present:
Partial (facility and chemical information) and Complete
(off-site transfers, emission and releases, waste treatment,
waste minimization, activities and uses, and maximum
amount stored on site).
NEIC has used the SFFAS to provide financial
assessments for potentially responsible parties in
response to HQ/Regional requests for several
sites including the following. Seymour
Recycling (several hundred responsible parties),
Re-Solve (more than 200 responsible parties),
and MIDCO I and II (approximately 100
responsible parties).
NEIC can generate reports for facilities,
geographic areas, and chemical compounds,
listing facility and chemical information with
emissions, releases, activities, and other
information for complete submissions.
8
JULY 1997

-------
PUBLICLY AVAILABLE EXTERNAL INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE BY NEIC
HANDOUT 10-1
System
Description
Application
Chemical Information
System (CIS)
Colorado Alliance of
Research Libraries
(CARL)
DataTimes
Knight-Rider Information
Services, Inc.
Dun and Bradstreet
Groundwater On-Line
(GWOL)
The CIS is a collection of scientific and regulatory
databases containing numeric, textual, and some
bibliographic information in the areas of toxicology,
environment, regulations, spectroscopy, and chemical
and physical properties.
The CARL system includes the catalogs of the
member libraries, an index of more than 10,000
periodicals, a full-text encyclopedia, Choice book
reviews, and a bibliography of GPO publications.
DataTimes provides on-line access to numerous full-
text databases, including newspapers, wire services,
and Dow Jones News/Retrieval.
The DIALOG system contains more than 330
databases covering a variety of disciplines: science,
technology, engineering, social sciences, business, and
economics. The databases contain more than
120,000,000 records and are regularly updated to
provide the most recent information.
Dun and Bradstreet, a credit-reporting firm, provides
business information reports for privately and publicly
owned companies and government activity reports that
list federal contracts, grants, fines, and debarments for
specific companies.
The National Groundwater Information Center
database is a bibliographic database containing
references to materials on hydrogeology and water
well technology, with emphasis on reports or projects
sponsored by EPA.
NEIC uses the CIS to locate mass spectral
information; environmental fate information;
formulation ingredients for commercially available
products, such as pesticides; and waste disposal
methods for hazardous substances.
CARL is searched by NEIC staff for general
reference, to locate books, and to identify articles
and documents.
DataTimes is a source of national environmental
news. Newspaper databases from all regions are
updated daily.
NEIC uses the DIALOG databases to obtain: (1)
expert witness information, including biographies,
publications, and congressional testimony; (2) up-
to-date pollution control technology for hazardous
waste, air, and water; and (3) business information
such as corporate officers, subsidiaries, and line of
business.
NEIC uses the Dun and Bradstreet system to locate
corporate information, such as business done by the
company, company history, financial condition,
subsidiaries, and corporate officers for privately
held companies.
NEIC accesses GWOL to locate publications on
groundwater topics and to verify or locate
groundwater experts.
JULY 1997
9

-------
PUBLICLY AVAILABLE EXTERNAL INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE BY NEIC
HANDOUT 10-1
System
Description
Application
NEXIS/LEXIS
National Library of
Medicine (NLM)
Scientific and Technical
Information Network
(STN)
WESTLAW
NEXIS/LEXIS contains the full text of more than 600
business and general news files, including the
Washington Post and New York Times. Statutory and
case law are provided for computer-aided legal
research.
The National Library of Medicine system contains
more than 5 million references to journal articles and
books in the health sciences published since 1965.
The STN system contains databases covering
chemistry, science, and engineering that are regularly
updated to provide the most recent information. STN
has strong coverage of European and Japanese
scientific databases.
The WESTLAW system contains legal information,
including the full text of cases from the Supreme
Court, U.S. courts of appeals, U.S. district courts, and
state courts. It contains Shepards* Citations,
regulatory information from the Code of Federal
Regulations, Federal Register, and U.S. Code and
expert witness information from the Forensic Services
Directory.
NEIC uses NEXIS/LEXIS to keep informed of the
latest EPA and environmental news stories and to
track the corporate and financial status of U.S.
businesses involved in environmental litigation.
NEIC uses the NLM system to obtain: (1)
information about toxicity and environmental health
effects for individual chemicals or groups of
chemicals, (2) physical and chemical properties of
specific compounds, (3) analytical methodology
references, and (4) carcinogenic bioassay
information from the National Cancer Institute.
NEIC uses the STN databases to obtain: (1)
chemical structures and synonyms for a chemical
compound, (2) analytical methods and techniques,
and (3) toxicity of a chemical compound.
NEIC can acquire source information and location,
service areas, geographic areas, and historical
information. Information on noncompliance and
enforcement actions also can be obtained.
NEIC uses WESTLAW to identify precedent cases,
to locate all cases decided by a certain judge or all
cases represented by a certain attorney, and to
locate possible expert witnesses.
10
JULY 1997

-------
PUBLICLY AVAILABLE EXTERK. ^ INFORMATION SYSTEMS
CURRENTLY ACCESSIBLE BY NEIC
HANDOUT 10-,
System
Description
Application
Scientific and Technical
Information Network
(STN)
VU/TEXT
WESTLAW
The STN system contains databases covering
chemistry, science, and engineering that are regularly
updated to provide the most recent information. STN
has strong coverage of European and Japanese
scientific-.databases.
VU/TEXT contains the fxill text of 30 daily
newspapers, including nationally recognized papers
such as the Boston Globe, Chicago Tribune, Detroit
Free Press, and Philadelphia Inquirer, and regional
papers^such as the Orlando Sentinel, the Sacramento
Bee and the San Jose Mercury News.
The WESTLAW system contains legal information,
including the full text of cases from the Supreme
Court, U.S. courts of appeals, U S. district courts,
and state courts.. It contains Shepards' Citations,
regulatory information from the Code of Federal
Regulations, Federal Register, and U.S. Code and
expert witness information from the Forensic Services
Directory.
NEIC uses the STN databases to obtain: (1)
chemical structures and synonyms for a chemical
compound, (2) analytical methods and techniques,
and (3) toxicity of a chemical compound.
NEIC can acquire source information and location,
service areas, geographic areas, and historical
information. Information on noncompliance and
enforcement actions also can be obtained.
NEIC uses VU/TEXT to keep informed of the
latest EPA and environmental news stories and to
track the corporate and financial status of U.S
businesses involved in environmental litigation
NEIC uses WESTLAW to identify precedent
cases, to locate all cases decided by a certain judge
or all cases represented by a certain attorney, and
to locate possible expert witnesses.
11
JULY 1997

-------
Review of Federal, State,
and Local Files
Permits and applications
Processes and wastewater flow charts
Prior inspection reports
Enforcement documents
Facility responses to enforcement actions
(continued)
.0-1

-------
Review of Federal, State,
and Local Files
Records, reports, and self-monitoring data
of the facility
QA documentation
Exemptions and waivers
Facility maps
SNETt
(continued)
10-2

-------
Review of Federal, State,
and Local Files
Citizen complaints
Documentation Of potential cross-program
issues
e manifests
Spill reports
\J ^ i '~
£f\ <-VDi	/GJ'l f&itou ftMdfjktdMnC)
JNET
t
0-3

-------
Databases
• RCRIS and HWDMS
J • FTTS
(continued)
INETt
10-4

-------
VOCfcZT
\R\£
FINDS F«Ci/rH	^
crass r
"r**
•! Pa
~ CERCLIS
t p^Jn&Mir'¥> - fiAfiti
MmpMd	NfoMDmjiW'fy#*
and AIRS ^ribuL
o rv	y5(
IDEA- -' m/4^C
Cms, t QzM	imatpZ
qmmA H' mw*ti
ft
0-5

-------
11

-------
Notes

-------
SESSION 11
TOPIC: ENTRY, OPENING CONFERENCE, AND SITE TOUR
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose
Explain the extent and limits of EPA's authority to enter and inspect
facilities
Explain EPA policy and practice governing consensual entry
Explain procedures for proper, lawful entry.
Provide guidance for handling sensitive situations regarding entry
Discuss the role of the inspector in securing a warrant and conducting
an inspection under a warrant.
Discuss the issues to be covered during an opening conference
Discuss the initial tour of the site.
Note In this session, the role play is crucial in illustrating the key points
that have been made.
Key Points
Advance
Preparation
It is EPA policy to obtain a warrant when the owner has denied
consent to entry
The opening conference is held to advise personnel of the facility of
the objectives of the inspection and to discuss and arrange for logistics
and scheduling of inspection activities
The general site tour provides inspection team members an orientation
and identifies and verifies activities that require further evaluation.
Review handouts 11-2 and 11-3 and prepare for the role-play. Ask
two or three experienced inspectors to play the roles. Give them
handouts in advance to allow preparation time. If possible, ask others
to play roles so you can observe them carefully.
Locate a file on an inspection that was conducted under a warrant
Make transparencies of the warrant documents or sufficient copies for
handouts
i
JULY 1997

-------
SESSION 11
TOPIC: ENTRY, OPENING CONFERENCE, AND SITE TOUR
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Equipment	Overhead projector
List of Visuals
11-1
Summary of Federal Environmental Acts

11-2
Entry

11-3
Basis for Entry
List of Handouts
11-1
Summary of Federal Environmental Acts

11-2
Entry Scenario (inspector)

11-3
Entry Scenario (plant official)
11
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Introduce yourself, mentioning your background and
experience and 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 We also will discuss
the opening conference and the initial site tour.
LECTURE
EPA'S ENTRY AUTHORITY, POLICY, AND PRACTICE
Overhead 11-1
Summary of Federal
Environmental Acts
Distribute handout 11-1.
Use the handout to fill in gaps.
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 such
individuals may enter, the scope of inspection activities, and
required presentation of a notice of inspection
Provisions of the Constitution reinforce EPA's authority to
enter, provided by Congress in the individual environmental
statutes.
Article 3 empowers the courts to issue orders confirming
entry powers granted by the legislature. This is the source
of power under which the courts issue warrants.
The 4th Amendment does not prohibit searches; it prohibits
unreasonable searches.
Over the years, there have been many court cases concerning
authorized entry and the protection of individual constitutional
rights.
A case that has affected EPA's policy and practice directly,
with regard to entry, is Marshall versus Barlow (1978)
In the case, an Occupational Safety and Health
Administration (OSHA) inspector was not given consent to
enter the workplace. The company challenged the
constitutionality of the law giving OSHA the authority to
enter
11-1
JULY 1997

-------
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 nonpublic 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) selection of the facility for inspection
because of a preexisting administrative plan for entries
The plan itself need not be neutral or random, but the basis
of the plan must be neutral.
Essentially, the Court's message was that the government
cannot "pick on" people (through its Field agents or otherwise)
with subtle harassing techniques or through exercise of rights
or powers of entry, search, inspection, investigation,
information gathering, or correction.
EPA's entry authorities under the various statutes are
somewhat different from OSHA's and have not been
challenged successfully on constitutional grounds.
Consequently, it is uncertain whether EPA is required to
follow the rules announced in the Barlow case Rather than
risk the necessity to litigate the issue under each EPA law,
EPA practice and policy is to conduct its affairs as if Barlow
applies.
EPA policy is to obtain a warrant when the owner has
denied consent to enter.
When consent is lacking, EPA obtains a warrant to "validate,"
"confirm," or "credentlalize" 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.
Despite the Barlow decision, there are some areas in which a
right of warrantless entry still exists:
Emergency situations, such as potential imminent hazard
situations or circumstances in which there is a potential for
the destruction or disappearance of evidence.
11-2
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
As a practical matter, if entry is refused during an
emergency, EPA would need the assistance of a U S
marshal to gain entry. During this time, a warrant
probably could be obtained, and doing so would be
prudent.
Heavily regulated industries that have been subject to a
longstanding and pervasive history of government
regulation.
"Open fields" and "in plain view" situations in which the
inspector can observe things in plain view of anyone in a
lawful position or place to see them, such as an inspector
who makes observations from a public area of a facility.
Inspectors should follow proper procedures when entering a
facility so that no questions or challenges can be raised about
the legality of the inspection
Arrive at the facility or site during normal working hours
(to meet statutory requirements regarding entry at a
"reasonable time"). Note your arrival time in the field
logbook.
Enter the facility or site through the mam gate, unless the
facility has specified use of another entry.
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 requires
that they be presented to authenticate that the inspector is a
federal official who has authority to conduct inspections.
-- A note in the field logbook that credentials were
presented and to whom such presentation was made
may prove useful later.
-- Keep your credentials in your sight at all times. Do
not allow facility staff to take them from your
presence Business cards can provide an introduction
Overheads 11-2 and 11-3
Entry
Proper Entry Procedures
11-3
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
-- If inspecting under the authority of FIFRA, SDWA, or
TSCA, present a written notice of inspection, as
required by law
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
It is EPA policy to obtain access to a facility or site by
consent.
What does consent mean7 Consent is the intentional forgoing
of the right to privacy that has not resulted from fear,
ignorance, or trickery
Express consent is not necessary, absence of express denial
constitutes consent.
If entry is denied, the inspector should take the following
steps:
Make certain that the arrival and attempt to enter 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.
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 the directions of your supervisor or the Regional
Counsel about next steps
11-4
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT

Later in this session, we will discuss how to obtain a warrant

and inspect under a warrant
ROLE PLAY
CONSENSUAL ENTRY
Distnbute handouts 11-2 and
The inspector, Ms. A Greer, is inspecting a small business that
11-3 and introduce the scenario
only recently has become subject to EPA authority because of
to the entire group.
new regulations. This is the first inspection this facility has

had. When the inspector arrives, the secretary greets her
Conduct the role-play. End the

role-play when the action
Questions that can be used to stimulate a critique and
begins to fail or becomes far-
discussion of what happened (or didn't happen) during the role
fetched.
play:
Open discussion of the
Would it have been acceptable to conduct the inspection if
exercise. During the
the plant owner had not arrived'' How do you know
discussion, be sure to ask for
whether an employee of the facility has the authority to
positive as well as negative
give consent?
feedback.


Was the inspector prepared adequately 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 consent7

What other techniques might the inspector have used?

Did the inspector overstep any boundaries in the effort to
gain consent (for example, use any threatening language)?
Should the inspector have left the premises?
Did the inspector enter into any inappropriate agreements
about the scope or content of the inspection?
11-5	JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
QUESTION-AND-	ENTRY
ANSWER SESSION
Invite trainees to ask any	This question-and-answer period is intended to provide an
questions they have about	opportunity for inspectors to obtain advice from the
entry.	mstnictor(s) and each other about how to handle a variety of
entry situations.
Answers to frequently asked questions include'
Any effort on the part of officials of the facility to restrict
the inspector's activities is considered a denial of consent
and should be handled as such. Such efforts include.
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 that
contain restrictive language, waivers, indemnity
agreements, or releases.
The inspector can begin the inspection even if consent to
take photographs has been denied. Frequently, the issue
can be discussed during the inspection with the individual
in charge and consent can be obtained.
If entry is made with consent, but, during the inspection,
facility personnel attempt to place restrictions, such acts
should be considered a revocation of consent and handled
accordingly. In such cases, keep all samples taken before
revocation.
It is acceptable that the inspector agree to reasonable
requests, such as the wearing of an identification badge or
hardhat.
11-6
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
EPA inspectors are encouraged to use the same safety gear
that is used by employees of the facility 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 EPA will obtain a warrant,
nor suggest that there are any penalties for failing to allow
entry
LECTURE	WARRANTS
A warrant is a judicial authorization for an appropriate official
(that is, an EPA inspector) to enter a specifically described
location and perform specifically described inspection
functions
EPA can obtain an administrative warrant in any of three
circumstances:
In advance of an inspection
When officials of the facility have denied entry
If consent is withdrawn during an inspection.
The decision to seek a warrant is made by the Regional
Program Office, in conjunction with Regional enforcement
attorneys and Headquarters.
Inspectors and attorneys must work together as a team in
drafting warrant documents.
The inspector plays several important roles in the process of
obtaining a warrant. The inspector's knowledge of the
circumstances and experience with personnel of the facility are
crucial to the drafting of warrant documents. The inspector is
responsible for
11-7
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Obtaining the information that will permit very specific
descriptions of the premises to be inspected
Providing specific information about the items to be
searched or seized
Helping to determine what laws, regulations, and
requirements apply or may have been violated
Providing information amounting to "reasonable" cause or,
as an alternative, supplying the predetermined inspection
schedule
To obtain a warrant in the field, inspectors can call ORC or
consult the nearest 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 still will be refused or there
is risk 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 through 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
requirements governing provision of split samples,
establishment of chain of custody, and similar procedures.
Provide receipts for all samples and documents that are
removed from the premises.
Copies of model warrant documents are included in the
manual.
11-8
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE	OTHER TOOLS FOR GATHERING INFORMATION
In addition to inspection authorities, EPA has other
investigative tools that can be used to obtain information about
compliance. They include administrative investigative
subpoenas (AIS), warrants, orders, and requests
An AIS can be used to compel the production of tangible
information (that is, records or documents) or the
appearance of a person for the purpose of obtaining
information through questioning
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 issued 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.
LECTURE	OPENING CONFERENCE
The opening conference is held to advise personnel of the
facility of the objectives of the inspection and to discuss the
logistics and scheduling of inspection activities. An important
aspect of this meeting is to set the "proper tone" with
personnel of the facility (that is, to encourage cooperation). A
typical conference agenda includes
Introduction of inspectors and presentation of credentials
(be prepared to cite inspection authorities - Appendix J)
Description of the objective of the inspection
The objectives of the inspection generally have been
identified in the project plan; however, the project plan
should not be shown to the facility As noted earlier, this
11-9
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
is an internal document that is not to be released by the
field inspector to the facility. In addition, during the
discussion of the objectives, the inspector should be careful
not to limit the inspection if, as a result of the findings, a
new objective becomes apparent.
The purpose of identifying the objectives of the inspection
to the officials of the facility is to enable the facility to
identify what people and what documents are necessary to
assist in the inspection.
Description of procedures and personnel needed
(development of a schedule of events)
Let the management know approximately how long the
inspection will take so they can assist with the least
interruption of their regular schedules. The inspection
often lasts as long as it takes to obtain the information
requested from the facility.
While the government has a right to inspect at any time
during normal working hours, it is appropriate to give
some consideration to the needs of the facility. For
example, perhaps giving facility personnel one-half hour in
the morning to tend to their business would be beneficial
and would win good will for the inspector.
Escorts - determine where escorts are needed and make
sure that right people are available to answer questions
Presentation of inspection notices and forms
Discussion of prospective sampling and whether split
samples will be made available to the facility
Discussion of safety issues, including the facility's safety
requirements (Appendix F)
The government inspector may not be subject to the same
constraints as facility personnel. However, it is prudent to
determine what safety requirements the personnel of the
facility are required to follow and to follow those, if they
are more stringent than government requirements. Of
particular importance is identification of emergency signals
and escape routes, in case of an emergency Commonly,
the inspector may attend a short safety briefing and be
11-10
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
asked to sign a statement that the inspector attended that
briefing It is appropriate to sign an acknowledgement that
a safety briefing was attended, it is not appropnate to agree
to anything else or to relinquish any rights. CHECK
WITH EPA'S ATTORNEYS IF YOU HAVE ANY
QUESTIONS
Discussion about photographs
Photographs are used to prepare a thorough and accurate
inspection report, as evidence in enforcement proceedings,
and to explain conditions found at the plant.
Representatives of the facility, however, may object to the
use of cameras in their facility and on their property. If a
mutually acceptable solution cannot be reached and
photographs are considered essential to the inspection, the
inspector should contact EPA supervisory and legal staff
for advice.
Personnel of the facility also may request that photographs
taken during the visit be considered confidential; EPA is
obliged to comply, pending further legal determination.
Self-developing film, although often of less satisfactory
quality, is useful in such situations. A facility may refuse
permission to take photographs unless its staff can see the
finished prints. Duplicate photographs (one for the
inspector and the other for the facility) should satisfy this
need. When photographs are taken that are considered
CBI under TSCA, self-developing film eliminates
processing problems; otherwise, the film processor also
must have TSCA CBI clearance Note, however, that
some self-developing film may have disposable negatives
that also must be handled in accordance with requirements
under TSCA governing CBI Giving the facility the option
of developing the film may resolve problems related to
national security in cases in which self-developing film is
not satisfactory
Photographs must be documented fully, according to
procedures for handling evidentiary materials (Appendix
K).
Arrangements for availability and copying of documents
The federal statutes provide broad authorities for review
and copying of documents. If the inspector decides that
11-11
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
documents must be copied, then the inspector should
attempt to use the facility's copier, paying a fee if
necessary, or come equipped with a portable copier (Note
renting a portable copier from a local business store often
requires advance reservation) A facility's refusal to
provide documents or refusal to allow copying can be
considered similar to denial of entry (note that the facility
is NOT required to copy documents for the government
without a court order, refusal to copy, even with payment,
is not the same as refusal to provide the documents). The
inspector should note the refusal in the logbooks (including
names, titles, and times) and continue with the inspection.
At the earliest possible time, the inspector should consult
supervisors and federal attorneys.
Overview of facility operations provided by the facility
The overview provides the inspector an opportunity to
learn process operations and to make initial identification
of waste sources.
LECTURE	SITE TOUR
At the conclusion of the opening conference, information
gathering activities begin in earnest As discussed in the
preceding section on inspection strategy, the next steps may
include:
A general "windshield" tour of the facility
Inspections according to media and process and waste
management responsibilities
Inspections of processes and laboratories
Review of records and documents
Follow-up interviews
The purpose of the general tour of the facility is to provide the
inspector an "on-the-ground" orientation and to identify and
verify activities that require further evaluation. The inspector
should compile a list of "must-see" items, based on review of
the background information and information obtained during
the overview of facility operations during the opening
conference Such items could include key processes and
operations, waste management areas, and areas where
11-12
JULY 1997

-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
violations are suspected. The facility tour should include those
items, whether facility personnel are provided the specific list
depends on whether the facility could hide or correct
violations. It may be prudent to present the list of specific
items as general areas of the facility to be toured.
The facility tour must be structured properly and
knowledgeable personnel of the facility must accompany the
inspector The route taken may be dictated by the layout of
the facility, but material flow should be followed to the extent
possible The tour should include, at a minimum, raw material
storage facilities, manufacturing areas, and waste management
units. The inspector should be constantly alert for operations,
processes, materials, and waste management activities not
previously identified If a potentially significant operation,
unit, or activity (for example, a waste spill) is observed, "stop
the car" and take a closer look. Any regulatory violations
should be documented properly at that time.
The general site tour also provides a good opportunity to
document conditions with photographs.
11-13
JULY 1997

-------
HANDOUT 11-1
SUMMARY OF FEDERAL ENVIRONMENTAL ACTS REGARDING
RIGHT OF ENTRY, INSPECTIONS, SAMPLING, TESTING, ETC.
..'0lSa!Sir
l	- —
it-'



a'
SUtHik
. ^
-------
HANDOUT 11-2
ENTRY SCENARIO
(Inspector)
Instructions for inspector:
Before you go to the facility to conduct the inspection, you learn that you will be inspecting a small
business that only recently has become subject to EPA authority because of new regulations
Your role-play should last approximately 10 minutes The instructor will be the timekeeper
1
JULY 1997
-------
ENTRY SCENARIO
(Plant Owner)
HANDOUT 11-3
(Secretary and plant owner can be played by the same person 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 cannot 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 are not quite sure whether you are in
compliance. You fear that if EPA learns that 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, and ask the inspector to talk to your lawyer (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 establish conditions on where the inspector can go and what the inspector can look at, you also tell
the inspector that you do not want any photographs taken in the facility because there are some trade
secrets in your plant.
Your role play should last approximately 10 minutes. The instructor will be the timekeeper.
1
JULY 1997
-------
Summary of Federal Environmental Acts
Return of
Designated	Credentials Notice of Sampling Records Sample Receipt for Sample
Act Respresentative Required Inspection Permitted Inspection Splits Samples Results
CWA
FIFRA
CAA
RCRA
X
X
X
X
X
X
X
X
X
X
SDWA
TSCA
X
X
X
X
X
X
CERCLA
X
X
I SNETt
11-1
-------
Entry
Legal bases for entry
Consensual entry
Warrants
Other information-gathering tools
Text: Chapter 7
1-2
-------
Basis for Entry
•	Consent
•	Warrant
•	Emergency
•	In plain view
inetI
11-3
-------
12
-------
Notes
-------
SESSION 12
TOPIC: INTERVIEWING
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose
Present basics of planning, conducting, and documenting interviews.
Key Points
Advance
Preparation
Demonstrate interview techniques through role-play (note this role-
play is crucial to the session).
Improve trainees' interviewing skills through discussion of techniques
and practice
The person you are interviewing knows more than he or she thinks.
Select experienced inspectors to play the roles in the scenario. Give
them handouts 12-1 and 12-2 and allow them time to prepare for the
presentation.
Equipment
list of Visuals
List of Handouts
Overhead projector
12-1	Interviewing
12-2 and 12-3 What Is Wrong With These Questions?
12-1 Interview Scenario Instructions (Ms. Functionary)
12-2 Interview Scenario Instructions (Ms. Candoo)
i
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Overhead 12-1
Interviewing
Introduce yourself, mentioning your background and
experience and your role in the course.
After discussing the steps m 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
CONDUCTING INTERVIEWS
Try to encourage participation
throughout this session.
Demonstrate techniques for
eliciting information through
your questioning of the group.
Purpose and Products of Interviews
Interviews can provide valuable information for developing
leads, providing evidence, or assisting in cross-examination.
Both oral and written statements are generally admissible in
court
An interview can result in an affidavit, a verbatim record, an
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 in which the
interviewee feels comfortable and make sure that the
setting is sufficiently private.
Nonverbal cues- Shake hands, maintain eye contact, and
keep an adequate distance.
Pace Give the interviewee time to think about his or her
responses, do not be afraid of short silences.
Questioning. Avoid asking leading questions or using
gestures or words that indicate positive or negative
response to statements by the interviewee.
12-1
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask the group to suggest
specific techniques for
obtaining the most positive
results from an interviewee.
Try to encourage the group to
suggest responses to these
questions
Planning, Conducting, and Documenting the Interview
What are key steps in planning an interview''
Identify interviewees by examining 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 an interview?
Establish a positive climate and rapport with the
interviewee.
Ask the interviewee to describe his or her responsibilities,
particularly in reference to the topics being reviewed in the
inspection.
Gather detailed information about specific topics.
Verify information with the interviewee
What are key steps in documenting an interview7
Prepare a formal affidavit or written statement.
Make written notes.
Tape record the interview (although this approach is less
desirable than others).
Techniques for Improving Interviewing Skills
What are key types of questions to be asked?
What happened?
When did it happen?
Where did it happen?
Why did it happen?
How did it happen9
12-2	JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Ask the group to comment on
the following hypothetical
questions
Overheads 12-2 and 12-3
What Is Wrong With These
Questions?
Who was involved?
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 questions9
Didn't you see the unmarked drums on the loading dock?
(Leading; elicits yes or 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)
What are key elements in sequencing questions?
Work from the general to the specific.
Work backward in time (and what did you do before that9)
Work from the known to the unknown (Ql: What means
of transportation did you use? Al: A car. Q2. Who
drove? A2: I did)
Useful tools in helping the interviewee to estimate quantities
more accurately include.
Use simple reference points (one-half mile downstream
from City Hall)
12-3
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Relate your question to commonly observed quantities (a
truckload or a given number of barrels)
Compare quantities in question with similar items (further
than from here to that wall or more than that group of
drums over there)
Effective 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
INTERVIEW SCENARIO
Select experienced inspectors
to play roles and allow them
time to prepare
Give all trainees a copy of
handouts 12-1 and 12-2.
Conduct the scenario.
DISCUSSION
ROLE-PLAY DISCUSSION
Role-Play Discussion
After the role-play, discuss the
strengths and weaknesses of
the interview. Some questions
Overall, what part of the interview went well? What did
not9
you might wish to pose are
listed in the column to the
right
How well did the inspector open the interview? Did the
inspector try to make the employee feel more comfortable9
What worked and what did not?
What techniques did the inspector use to probe for
answers7
12-4
JULY 1997
-------
INSTRUCTOR NOTES	SUGGESTED CONTENT
Did the inspector overuse or underuse any particular type
of question''
Was the inspector's note-taking obtrusive?
12-5
JULY 1997
-------
HANDOUT 12-1
INTERVIEW SCENARIO
(Ms. Functionary)
Instructions for 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, make certain that their
manifest paperwork is in order, and log in the shipments. After they have completed your routine, you
send the trucks on to Mr. Zyleen, who works in a different building. You do not 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 are afraid you will be fired if you say something that
causes the company trouble.
You should let important pieces of information slip out "unintentionally," such as the fact that your
post is unattended if you go to the restroom or to get a snack.
Allow the interviewer to demonstrate to the group that important information can be obtained by a
good interviewer who listens carefully.
1
-------
HANDOUT 12-2
INTERVIEW SCENARIO
(Ms. Candoo)
Instructions for Ms. Candoo:
This is a small, commercial hazardous waste facility that has a permit to dispose of only certain types
of wastes. The facility has a history of record-keeping violations, and EPA has reason to suspect that
unpermitted wastes are being disposed of there. You are going to interview Ms Functionary, having
been told that she is the first employee to have contact with waste trucks when they arrive and that she
"keeps the records."
You are looking for clues about where the facility's system might be breaking down You want to
know, for example.
Whether it is possible for a truck to get past Ms. Functionary without stopping. (What happens
when she takes a break to go to the restroom9)
How the facility'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 facility is allowed to accept the wastes listed on the
manifest.
What kind of training Ms Functionary has had.
Where the trucks go after they are passed by Ms. Functionary.
As the inspector, you will take notes during the interview so that you can reconstruct it later.
1
-------
Interviewing
The planning and conduct of an interview
Techniques for improving interview skills
Interview scenario
Text: Chapter 14
-------
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 unmarked drums on the loading
dock?
(continued)
-------
What Is Wrong With These
Questions?
Why were you on the loading dock, and
what did you do when you left?
Are most drums around the facility
generally marked correctly?
-------
13
-------
Notes
-------
SESSION 13
TOPIC: EVIDENCE
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose	Introduce the rules of evidence and their relevance to the activities of
the inspector
Provide guidance on documenting evidence to help ensure its
admissibility in a court proceeding.
Present procedures for recording and documenting observations.
Present tips for improving techniques.
KEY POINTS	Many of the procedures being taught in this course are based on
considerations related to evidence; they are designed to ensure the
admissibility of information collected during an inspection and to
enable the inspector to provide credible testimony in a court
proceeding.
Photographs are excellent evidence ¦
Advance
Preparation
From your experience, develop examples of problems or successes in
obtaining evidence that is admitted; use the examples to illustrate
concepts related to evidence.
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 illustrations and what they represent. For
that reason, it is recommended that the instructor prepare his or
her own visuals to augment or substitute for those provided. Ideally,
the instructor's visuals should include photographs and other visuals
that were admitted as evidence and those that illustrate a particular
problem in technique
The instructor should be prepared to answer questions about cameras
typically used during inspections in the Region.
Equipment
Overhead projector
Slide projector
1
JULY 1997
-------
SESSION 13
TOPIC: EVIDENCE
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
List of Visuals
List of Handouts
JULY 1997
13-1	Evidence
13-2	FRE901: Authentication and Identification
13-3	FRE 401 ¦ Definition of "Relevant Evidence"
13-4	FRE 602. Lack of Personal Knowledge
13-5	"Who Cares If .
13-6	Collection Conditions and Surroundings
13-7	General Identity and Sameness
13-8	Precautions To Ensure Identity
13-9	Present Conditions That Vary
13-10	Representativeness of Item
13-11	Connecting the Chain of Custody
13-12	FRE 612: Writing Used To Refresh Memory
13-13	FRE 803 (5). Recorded Recollection
13-14	FRE 803 (6): Records of Regularly Conducted Activity
13-15	Evidence Is in "Custody" If .
13-16	Basic Chain-of-Custody Procedures
13-17	FRE 406 Habit, Routine Practice
13-18	Observations and Photographs
13-19	through 13-24 Overheads of drawings and illustrations
None
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Introduce yourself, mentioning your background and EPA
experience and your role in the course
Overhead 13-1
Evidence
In this session, we will discuss evidence - what it is, what
criteria it must meet to be admissible, and how it should be
documented.
LECTURE
INTRODUCTION TO EVIDENCE
Collecting and documenting evidence is a core activity during
an inspection; that supports case development and helps an
inspector prepare for testimony.
Understanding the rules of admissibility of evidence and the
kinds of testimony an inspector might be required to provide
helps explain the need to adhere routinely to proper procedures
for collecting and handling evidence
What Is Evidence?
Evidence is the facts, items," and documentation we use to
prove our case. It is any information or proof that helps
establish the truth of a point.
Not all evidence is admissible, but evidence that is not
admissible still can be useful to EPA. Remember, most cases
are settled before trial, and all evidence may be helpful during
negotiations.
Types of Evidence
Testimonial: Inspector's testimony to what he or she saw,
smelled, heard, or felt
Real: Objects, such as contaminated dirt
Documentary: Reports, logs, accounting ledgers, and
computer printouts
Demonstrative• Something prepared to illustrate or clarify
a point, such as photographs, maps, and schematics
13-1
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Judicially noticed. Scientifically accepted testing devices
or geographic location
Federal Rules of Evidence
Used in federal civil and criminal judicial proceedings, FRE
are quality assurance and quality control (QA/QC) "procedures
for truth."
The principal tests for the admissibility of evidence are
Overhead 13-2
FRE 901: Authentication
and Identification
Authenticity and identification: It must be demonstrated
that evidence is what it is claimed to be.
Overhead 13-3
FRE 401: Definition of
"Relevant Evidence"
Relevance Evidence must pertain to the fact in question
and tend to make that fact more or less probable; the
inspector should record everything and should not make
judgments in the field about relevance.
Overhead 13-4
FRE 602: Lack of Personal
Knowledge
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 The person presenting evidence is capable of
speaking authoritatively, as an expert or based upon that
person's observation and experience.
Credibility The person presenting evidence is reliable.
Hearsay Evidence
Hearsay is any out-of-court statement (verbal, written, or
gesture) that is offered to prove the truth; it is not based on the
first-hand knowledge of the witness
Hearsay statements usually are not admissible. However, there
are exceptions, many of which are valuable to EPA in
establishing the admissibility of information as evidence We
will discuss a few of those exceptions as we go along
13-2
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
DISCUSSION
ILLUSTRATION OF CONCEPTS OF EVIDENCE
Ask the group to provide
suggestions about how EPA,
through testimony of the
inspector and others, would go
about answering the question
(See the more detailed
explanation in Chapter 8.)
Overhead 13-5
"Who Cares If..."
"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
else7"
In this hypothetical situation, what points must EPA be able to
make to have this "gunk" and the results of analysis of samples
of it entered into evidence?
(The group makes suggestions about how the evidence can be
authenticated.)
After about five minutes of
discussion, use an illustration
to describe authentication
Overheads should be shown
after each bullet point is
covered.
Overhead 13-6
Collection Conditions and
Surroundings
Overhead 13-7
General Identity and
Sameness
Overhead 13-8
Precautions To Ensure
Identity
Collection conditions and surroundings
The inspector testifies that the sample was collected on a
relevant date at the site of concern, 50 paces southwest of
the office door; the inspector has a photograph taken at the
time. The inspector says the "gunk" was oozing from a
transformer he also has a photograph of.
General identity and sameness
The inspector testifies that the initials on the sample bottle
are his and that he entered the date on the bottle; color and
consistency of the material in the bottle are as he
remembers. He states that there is less "gunk" in the bottle
than he put in it.
Precautions to ensure identity
The inspector testifies that he initiated chain-of-custody
records, carried and protected the sample until he delivered
it to laboratory personnel later that day, and did not see the
sample again until just before the hearing
13-3
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 13-9	Present conditions or features that vary
Present Conditions
That Vary	The inspector testifies that the exhibit seems to be the
container in which he had placed the sample of concern,
but there currently is less "gunk" in the container than he
put in it.
Representativeness of item
The inspector testifies that there were 88 other transformers
at the same site on the date in question that also were
oozing "gunk" of the same color, viscosity, and odor. He
said he took the same amount of "gunk" from each, using
the same identifying and marking procedures.
Connecting the chain of custody
The laboratory personnel testifies that she received the
sample from the inspector and used EPA-approved and
other authoritative techniques to analyze the "gunk." She
describes how she took raw data notes and printouts from
the various machines used, all initialed, and locked them in
her safe, along with the container of "gunk " Only she has
a key to the safe
Because the connection of the "gunk" with the site already
has been established, her testimony and documents about
the test results are relevant and admissible.
LECTURE	DOCUMENTATION OF EVIDENCE
FRE treats all evidence (except for "real" evidence - that is, the
"gunk") as statements.
Verbal. Testimony of the inspector
Written: Documents, reports, sample tags, and other
materials
As noted earlier, hearsay statements are not admissible, unless
one of the exceptions applies The exceptions help the
inspector tell his or her story through testimony and
documented evidence
Overhead 13-10
Representativeness of Item
Overhead 13-11
Connecting the Chain of
Custody
13-4
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Inspector's Written Documentation
To ensure its admissibility, documentation must be created
routinely and contemporaneously with the events being
described.
Field Logbook
The logbook is core documentation, preferably in a bound
notebook. The logbook should contain notes on every
aspect of the inspection, correlated to all evidence
collected, such as physical samples, interviews,
photographs, and copies of documents.
Notes can be concise, but should be sufficiently detailed to
refresh the inspector's memory for writing a narrative to
prepare for testimony. Notes should contain facts only,
with no conclusions expressed Notes are subject to
discovery.
Inspection Report
The narrative report expands on notes in the logbook and
adds other relevant and "important details the inspector
remembers The report should be written as soon as
possible after the inspection and should be as thorough as
possible.
The report should be accurate, objective, and relevant and
should cover all major items of concern. Other documents
related to the inspection (for example, photographs, chain-
of-custody forms, notices, and receipts) should be included
by reference.
The information in the report should be first-hand or the
source of the information should be identified.
Overhead 13-12	The logbook and inspection report are subject to disclosure to
FRE 612: Writing Used To	the opposing side because the inspector will review them to
Refresh Memory	refresh memory in preparation for testimony.
The inspector can be cross-examined about the contents of
such documents without necessarily being shown the
documents beforehand Keep this in mind when preparing
such documents.
13-5
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 13-13
FRE 803 (5): Recorded
Recollection
If the inspector is expected to make recommendations or draw
conclusions about compliance status, that expectation should be
set forth on a separate page and addressed to ORC or the
inspector's supervisor; the attorney-client or deliberative
process privilege then can be invoked
The logbook and report can be admitted in evidence in lieu of
the inspector's testimony, if a proper foundation for doing so is
laid.
Overhead 13-14
FRE 803 (6): Records of
Regularly Conducted Activity
The logbook and report may be admitted as a record of
regularly conducted activity. They must have been created
contemporaneously and must be kept in the regular course of
EPA's activity; it must be regular practice to keep such
records.
Overhead 13-15
Evidence Is in "Custody" If..
Chain of Custody
The purpose of chain-of-custody records is to trace possession
of evidence from the time it was obtained until the time it was
introduced as evidence.
Documentation of chain of custody requires an accurate written
record.
Evidence is in "custody" if it is
In the actual possession, control, and presence of the
inspector
In the inspector's view
In a storage place to which only the inspector has access
In a storage place to which only the inspector and
identified others have access
Overhead 13-16
Basic Chain-of-Custody
Procedures
The basic procedures for establishing chain of custody are:
Establish custody: Seal the evidence with a seal that
readily shows any damage; sign and date seal
Prepare documentation of the evidence: Prepare written
information describing the collection, shipment, and
storage of the evidence. Documentation can include
entries in the logbook, description of the seal, chain-of-
13-6
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
custody record, field sample data forms, and shipping
records
Ensure custody during transit The chain-of-custody
record should indicate each person who has custody of the
sample and where the sample is stored, any special care in
storage (for example, refrigeration), and any deviation from
the custodian's usual practice
Note if the seal is found broken or an irregularity in
documentation is discovered Make notes on the form and
contact prior custodians to remedy the problem or
determine whether a new sample is needed.
For shipping, the chain-of-custody record must accompany the
evidence; the inspector keeps a copy of the record. The
inspector should obtain the bill of lading and include all
receipts and shipping documents with the chain-of-custody
record
Applicable FRE are essentially the same for sample tags and
custody forms as for logbooks and reports.
Other tips on chain-of-custody include
Take only as many samples as needed.
If the inspection is a team effort, ensure that the
identification of the particular inspector who is responsible
for the evidence is noted on the record for that evidence.
[f any errors have been made in completing forms, make a
single-line crossout, then initial and date the correction
Obtain the signature of the next person in the chain of
custody before relinquishing custody.
When receiving custody, check the integrity of the seal and
cross-check documents.
Minimize the number of people in the chain of custody.
13-7
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 13-17
FRE 406: Habit; Routine
Practice
Another FRE, Habit, Routine Practice, also is particularly
applicable
Under FRE 406: Habit; Routine Practice, the inspector can
testify about habits or the routine practice of the organization
to prove that the inspector or the organization was conforming
to habit. No eyewitness to the inspection is required under this
rule
The 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, the
inspector can testify that even though he or she cannot
remember actions specifically, he or she followed standard
procedures or there would be a note in the record about any
deviation
Photographs and Other Demonstrative Evidence
Chain-of-custody procedures do not apply (although they must
be followed if the camera was triggered automatically and no
one was present to view the scene actually being
photographed)
It is required only that the inspector verify that the photograph
"fairly and accurately" represents the scene on the day in
question
To ensure this is possible, the inspector should enter the
following information in the field logbook:
Identifying number
Date and time
What is seen
Specific location on premises (schematic is helpful)
Other descriptive information
Maps and diagrams also are 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
13-8
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
The FRE define admissions by opposing parties 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 they are not used as evidence, oral statements are
extremely useful in developing leads and making cases. In
sum, ask questions!
Documenting Eacility Records
Records include documents, reports, receipts, messages, notes,
telephone logs, printed manuals, accounting ledgers, computer
printouts, tape recordings, photographs, and other materials.
All records are considered "statements" and are admissible as
such
As statements, they are admissible under the same FRE as the
statements of individuals. They also may be admissible under
the business record exemption (FRE 803 (6)).
The absence of records - frequently the most important
records -- is admissible under FRE 803 (7).
To authenticate records, the inspector must be able to show, at
a minimum, that they were gathered during the particular
inspection and demonstrate their authorship, location, and
distribution. Ideally, the inspector also will be able to show
that the records were safeguarded between the time of
collection and the time of the enforcement proceeding.
Documentation procedures include:
Note in the field logbook the exact source and location of
the records
Assign an identifying number to each record
Date and initial the logbook entry
Exercising Judgment in the Field
Constraints on time and resources, as well as logistical
considerations, make it impossible to inspect for and document
every potential violation; the inspection plan and application of
judgment in the field determine what actually happens
13-9
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Inspectors may find more potential violations than it is possible
to document fully on one visit In such situations, inspectors
should use their knowledge of program priorities and the
hierarchy of violations, fully documenting the most serious
violations. As a second priority, other violations should be
documented to the extent possible.
The more thoroughly an inspector understands environmental
statutes and regulations, the better judgments he or she will
make in the field.
DISCUSSION
ISSUES RELATED TO EVIDENCE
The topic of evidence is
perhaps the most complex and
misunderstood of all subjects
pertinent to the inspector's
duties At this point, allow 10
minutes at the end of the
session to provide an
opportunity for questions and
answers
(Take questions from the trainees.)
This material is covered more thoroughly in Chapter 8 of the
text.
LECTURE
OBSERVATIONS AND PHOTOGRAPHS
Overhead 13-18
Observation and Photographs
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 notes in the field logbook, there are several other
ways to record your visual observations during the inspection
Photographs
Drawings
Maps
Schematics
13-10
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Diagrams
Of course, when you use these techniques, make notes in the
field logbook that properly identify such documents
In this session, we will discuss the importance of this type of
documentation and will present some tips for improving your
skill in using them.
Why are techniques of recording visual observations, especially
photographs, important?
They show what was there to a person who was not at the
site (such as your supervisor, the attorney on the case, or
the judge).
They support other evidence and enhance credibility
They can be evidence in and of themselves
They can help jog the inspector's memory
Take as many photographs as you can - you can never have
too many!
Photographs are excellent physical evidence. To be
admissible, they must "fairly and accurately represent" what
the inspector saw on-site The inspector need not have taken
the photographs personally.
Inspectors have a right to photograph anything. If the facility
restricts the inspector's ability to photograph, such action is
considered a denial of consent.
There may be sensitivity about inclusion in a photograph of
CBI that is not relevant to the inspection Although you have
the right to take the photograph, you may want to shield CBI
before you do so.
The inspector should be comfortable with the camera and
should not attempt to use a camera that is beyond his or her
LECTURE
TIPS ON PHOTOGRAPHS
13-11
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
capabilities. Single lens reflex and instant cameras are
generally the simplest. In general, the best film for inspeclions
is high-speed color print film
Documentation
Photographs should be documented in the field logbook Some
inspectors use a separate photograph log to record the
information If an instant camera is used, some documentation
can be written on the back of the photograph itself.
At a minimum, documentation should indicate-
The location where the picture was taken (name of the
facility and exact location at the site where the picture was
taken)
Date and time the photograph was taken
An identifying number or other means of matching the
photograph with the particular inspection and the particular
location and activity at the site
If relevant or necessary to explain the picture, notes also can
include:
Lighting and weather conditions
A brief description of the scene
The numbers) of any related physical samples
Any special filters or lenses that were used
If the inspector is not using a standard camera and film, it can
be useful to record a description of the film used, the type of
camera and attachments, the focal length of the lens, the F-
stop, and the shutter speed.
(Additional documentation may be necessary under the
requirements of some programs, such as stationary air.
Consult program-specific guidance.)
Each inspector should develop a quick and easy system for
recording the necessary information. Do not allow a
13-12
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
cumbersome system to discourage you from taking
photographs
Tips on taking photographs for documentation include-
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
the violation.
If lighting conditions are poor, take several photographs of
an item, using different settings for shutter speed and depth
of Field.
Videotape equipment is not readily available to inspectors but
may become more widely used Similar instructions would
apply.
DISCUSSION OF SLIDES
WHAT'S WRONG WITH THIS PICTURE?
Use the nine slides of photos	I am going to show you photographs from EPA RCRA and
from EPA inspection reports,	NPDES inspection reports,
or select from among them
The purpose is to offer tips on	I am going to offer tips on taking good photographs under
taking good photographs You	some of the conditions you are likely to encounter in the field.
are encouraged to use your
own slides in addition to or in
place of the slides that are
provided and discussed here.
Slides 1-5 are photographs
from a RCRA inspection at the
facility of a hazardous waste
generator.
Depicted in the photograph are-
1) Collection of waste paint
and paint thinner
Comments on photographs-
Use of flash with strong backlighting resulted in labels
showing clearly.
2) Hazardous waste storage
area
Strong natural light from left can affect exposure, but proper
exposure shows drums in shadows at far right
13-13
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
3)	Drum labeled waste
rubber tile
4)	Hazardous waste label
5)	Hazardous waste label
Slides 6-9 are photographs
from a NPDES diagnostic
inspection at a publicly owned
treatment works (POTW)
facility
6)	Influent and bypass
channel with weir sub-
merged (evidence of
overflows)
7)	Close-up of influent and
bypass channel
8)	Aerobic digester
Label is overexposed
Label is too far away, and too small to read.
Label is a good combination of size and exposure.
In this good photograph, a very bright day highlights shadow
and light. Don't shoot into the sun.
This photograph shows water going over the weir into the
bypass channel.
This photograph provides a better vantage point on the digester
from above, rather than at ground level.
9) POTW facility
The view from above may be more advantageous.
LECTURE	OTHER EVIDENCE
Drawings, sketches, and maps, which can provide useful
clarification, might include*
Schematic drawings of equipment
Simplified diagrams or schematics to clarify items
photographed
General map of the facility
Map showing locations at which photographs and samples
were taken
Map showing locations at which potentially noncomplying
situations were observed
13-14	JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
The following illustrations are
taken from EPA inspection
reports; some are computer-
generated, and others are
handmade. You may use other
material in addition to or in
place of these illustrations
Overhead 13-19
Mark-Up of an Architectural
Drawing
Overhead 13-20
Drawing of a River Segment
Showing the Mile Post
Overhead 13-21
General Schematic
Overhead 13-22
Specific Schematic
Overhead 13-23
Map Showing Size of
Inspector to the Stack and
Boiler House
Overhead 13-24
Drawing of a Landfill
Map showing the layout of a particular part of the facility
In some situations, very detailed maps are needed Such maps
must be prepared by technical experts.
Some tips on drawings, diagrams, schematics, and maps
include:
Keep illustrations as simple as possible.
If possible, draw to scale and note lengths, heights,
distances, and other pertinent information on the
illustration.
Note colors or textures, if they are 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 a stack test observation at a
boiler house
Illustration of the sampling location for a 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 and
slurry mixture at a company landfill.
13-15
JULY 1997
-------
Evidence
•	Identifying evidence
•	Documenting evidence
•	Ensuring admissibility
Text: Chapter 8
-------
FRE 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."
13-2
-------
FRE 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."
3-3
-------
FRE 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's own testimony..."
INETl
13-4
-------
"Who Cares If..."
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, not from somewhere else?
inetI
13-5
-------
Collection Conditions
and Surroundings
What activities were performed at the site
Why the sample was taken
How the item was discovered
What physical items were identified in the
immediate vicinity
Aids: Notations in field logbook
Photographs of area and exact
location of sample
iNETt
-------
General Identity and Sameness
Item has the same characteristics as the item
collected by the inspector
Aids: Routine documentation procedures
Sample tags with signature of the
inspector and date
Notations in logbook about color,
consistency, and other sensory
perceptions
inetI
-------
Precautions To Ensure Identity
Other precautions taken to ensure later
identification
Aids: Assignment of sample number
Initiation of chain-of-custody
procedures
13-8
-------
Present Conditions That Vary
Any features or conditions about the item being
offered in evidence that vary from what was
collected
Aids: Full description in logbook
-------
Representativeness of Item
Establishes the relationship to other items
of the item offered as evidence
Aids: Notations in logbook on sampling
strategy used to select the
particular sample plan
Sampling plan
13-10
-------
Connecting the Chain of Custody
The meticulous process of showing the
succession of persons who handled or
had access to the evidence
Aids: Chain-of-custody forms
Testimony regarding adherence to
routine sampling security measures
-------
FRt 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..."
13-12
-------
FRE 803: Hearsay Expectations 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's
memory and to reflect that knowlege correctly..."
3-13
-------
FRE 803: Hearsay Expectations 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 it was the regular
practice of that business activity to make
the memorandum, report, record, or data
compilation..."
13-14
-------
Evidence Is in "Custody" If...
It is in the actual possession, control, and
presence of the inspector
It is in the inspector's view
It is in a storage place to which
only the inspector has access
It is in a storage place to which
only the inspector and identified
others have access
-------
Basic Chain-of-Custody
Procedures
Establish custody
Prepare documentation of the evidence
Ensure custody during transit
Note if the seal is found broken
SNETl
13-16
-------
FRE 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."
3-17
-------
Observations and Photographs
•	Photographs
•	Other techniques
Text: Chapter 15
-------
14
-------
Notes
14
-------
SESSION 14
TOPIC: SAMPLING AND LABORATORY ISSUES
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
NOTE: Whenever possible, it is highly recommended that trainees be given a tour of the Regional
laboratory as part of the course. 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 tour would be
substituted for a portion of this classroom session.
PURPOSE	Explain the importance of physical samples as evidence
Present considerations involved in ensuring that samples meet quality
requirements
Provide an overview of the sampling process from planning through
disposal of contaminated equipment
Provide a basic understanding of the functions of a laboratory and the
relationship between the laboratory and the inspector
Note- This session is not intended to teach inspectors how to sample.
Key Points	• Physical samples are collected to establish the presence and
concentration of regulated substances and the extent of contamination.
Sampling data help determine whether a violation exists (for example,
exceeding a standard) and, if so, the gravity of that violation (for use in
determining penalties).
Before the inspection is conducted, sampling objectives and data quality
requirements and the methods by which they will be met should be
established in a quality assurance plan.
Standard collection should be followed or deviations noted in field
notes/log book
•	Chain-of-custody procedures MUST be followed
•	Inspectors should be aware of capabilities and limitations of laboratory.
Laboratory personnel can be a valuable source of technical expertise
•	Advance planning for laboratory work helps ensure prompt analysis
1
JULY 1997
-------
Advance	If possible, bring some typical sampling equipment to the session.
PREPARATION	Otherwise, select several slides of sampling equipment from among
those provided to use in explaining how samples usually are collected.
See Attachment 14-1 for a list of slides
Hand out copies of the Region's format for a quality assurance project
plan, if one exists.
Bring examples, 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.
Prepare a brief, nontechnical presentation on the capabilities of the EPA
laboratory in your Region, including key equipment it has available and
analyses it can perform.
Prepare a handout that shows formats of analytical reports from your
laboratory and be prepared to explain how to read the reports.
EQUIPMENT	Overhead projector
Slide projector
Calculator
Sampling equipment
Packing and shipping supplies
List of Visuals	14-1	Physical Sampling
14-2	General Guidelines for Sampling
14-3	Representative Sampling Factors
14-4 and 14-5	Common Sampling Errors
14-6	Quality Assurance and Quality Control Samples
14-7	Quality Assurance Project Plan (QAPP)
14-8	Changes in the QAPP
14-9	Evidence Is in "Custody" If..
14-10	Chain of Custody Procedures
14-11	Field Logbook Entry: Sampling
14-12	Example of the Sample Tag
14-13	Example of the Sample Seal
14-14	Sample Holding Time
14-15	Packing and Shipping of Samples
14-16	Laboratory Analysis
Slides of Sampling Equipment (Attachment 14-1)
LIST OF Handouts prepared by the Regional laboratory
Analytical reports
n
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
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 the development of evidence.
Such an 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 during your program-specific classroom and on-the-
job training.
Those of you who do not expect to take samples personally,
but who may ask for sampling support from others, such as the
Environmental Services Division or a contractor, will find that
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
• Make realistic projections of the costs and time required for
carrying out sampling and obtaining results
During the rest of this session, we will cover these topics:
Later in this session, we will discuss laboratory analysis.
Technical considerations in sampling
•	Common sampling errors
•	QA/QC
Documentation of samples and chain of custody
•	Management of samples in the field
Later in this session, we will discuss laboratory analysis.
Overhead 14-1
Physical Sampling
Policy considerations in sampling
14-2
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE	POLICY CONSIDERATIONS IN SAMPLING
Samples as Evidence
The physical samples taken during a compliance inspection are
often the key evidence that substantiates a violation (or
demonstrates 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
(for example, that a drum contained PCBs and therefore
should have been labeled)
That a permit standard has been exceeded (for example, that
a waste stream has a higher concentration of pollutants than
is allowed under the facility's permit)
The extent of a contamination problem (for example, that
contamination has seeped from the soil under a leaking tank
to the groundwater)
If samples are to be accepted readily as evidence in court, they
must be of known quality, must have been collected according
to sound technical procedures, and must be representative of
materials and/or population being sampled.
Further, EPA must be able to show that a sample offered in
evidence was in custody from the time of its collection until
the time of the trial — that is, that only authorized persons had
access to the sample. Each individual who had access must be
identifiable.
14-3
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Determining When to Sample
In planning and carrying out sampling and field measurement
activities, many factors must be considered During this part
of the session, we will discuss key aspects of the sampling
process.
Guidance specific to each regulatory program provides basic
direction on when to sample at a facility or site.
Such guidance usually includes SOPs for the collection of
samples, covering such topics as equipment to use, size of
samples, locations from which the samples should be drawn,
methods to ensure representativeness, and other technical
factors. Deviations from SOPs should be avoided, if possible
If such deviations are necessary, they must be thoroughly
documented in the field logbook
Program guidance serves as the starting point for establishing
and meeting the sampling objectives for a particular inspection
Take a sample whenever one is needed to prove a violation.
For example:
To demonstrate that a release should have been
reported to EPA under CERCLA, there must be proof
that a substance subject to regulation under CERCLA
was involved.
To show that a transformer should have borne a PCB
label, there must be proof that it actually contains
PCBs at a concentration that is subject to regulation.
To show that an industrial discharger is exceeding the
limit established in its permit for a parameter, there
must be proof that the discharge actually contains that
constituent in a concentration above the 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
usually would not be sampled
Overhead 14-2
General Guidelines for
Sampling
While each program has its own specific requirements, the
general principles set forth below should guide sampling
efforts'
14-4
JULY 1997
-------
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
For example
A company's self-monitoring reports show levels in
excess of the limit established in its permit for a given
constituent or constituents
A nameplate on a transformer states that it is a PCB
transformer
A facility employee states that waste oil is placed in
certain drums.
Ideally, every potential violation observed by the inspector
should be documented fully, including collection of physical
samples, when appropriate. In reality, constraints on time and
logistical considerations may make it impossible to do so,
particularly if many potential violations are observed
As a guideline for such situations, violations that 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 the inspector in making
such decisions.
DEMONSTRATION
SAMPLING EQUIPMENT
The purpose of this section is
to give inspectors an
Briefly describe the use of various types of sampling
equipment.
understanding of 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.
If sampling equipment cannot
be brought to the classroom,
use the slides you have
selected from among those
14-5
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
provided to support a
discussion of various types of
sampling equipment See the
list of slides in Attachment
14-1
LECTURE	TECHNICAL CONSIDERATIONS IN SAMPLING
Assuring Data Quality
EPA Order 5360.1 requires that all data EPA generates or uses
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 also is the most expensive and time-consuming. You
must weigh the objectives of the inspection against those
factors to select a sampling plan that will provide data of
required quality within the allocation of resources specified for
a given inspection.
As we will discuss in moreidetail later, a principal method
through which EPA implements this order is the requirement
that a quality assurance project plan (QAPP) be prepared for
every field sampling activity.
The technical considerations involved in sampling that we will
discuss now are included in planning for the sampling effort
and ultimately in developing and carrying out the QAPP.
Standard Operating Procedures
Over the years, most programs have developed a series of
SOPs that cover sampling in a variety of environmental media,
some SOPs are set forth in regulations.
SOPs should be followed carefully. Deviation from a SOP not
only weakens EPA's case, it also can undermine the integrity
of the SOP itself
SOPs are, of course, tailored to meet the specific needs of a
particular situation
14-6
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 14-3
Representative Sampling
Factors
Solicit class discussion about
the kinds of variations that
must be accommodated in
developing a representative
sample. Mention the items in
the Suggested Content column,
if they are not brought up
during the discussion.
If 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 in 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 evidence that a violation exists
For many types of samples and locations, there are SOPs that
prescribe in detail how sampling sites should be selected.
These SOPs are the first line of guidance on representative
sampling
The sampling objectives should determine how and from where
samples should be collected Representative sampling plans
are designed to reflect specific conditions, the word
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 consideration 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, or lagoons)
Differences in statistical conditions that affect
concentrations of contaminants (such as changes in
manufacturing schedule; differences between peak and off-
peak production rates; and differences in wastes generated
at different times, depending on manufacturing cycle)
Differences that might result in variability over time,
including*
Process changes
14-7
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Solicit class discussion about
how trainees determine the
number of samples to be
drawn.
Schedule changes
Manufacturing changes
Changes in raw materials
Changes in management practice
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, or different "weights" of the
waste constituents moving at different speeds)
Determining the Number of Samples
A variety of factors are considered when deciding how many
samples should be collected. Those factors 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
collected, stored, packaged, and shipped safely, given the
resources available
Legal considerations, such as the nature of the regulatory
requirement and the degree to which challenges to evidence
based on sampling is anticipated
Considerations of representativeness, such as differences in
operating or temporal conditions or the need to balance 7-
day, 30-day, or one-year limitations against what it is
practical to do
Cost considerations, both in time and resources
Sample Volume
The size of the sample 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
hazardous or toxic material is being sampled. Remember that
disposal of any "leftovers" is governed by RCRA or other
statutes.
Program-specific guidance usually specifies the volume of
sample needed
14-8
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Consult with laboratory personnel for additional guidance; they
also should inform you if specific types of quality control
samples are needed as a check on laboratory procedures.
Preventing Cross-Contamination
Sampling procedures generally are designed to prevent cross-
contamination.
However, since some contaminants now can be detected at the
trace parts-per-billion or even parts-per-trillion level, minuscule
amounts in a sample caused by 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
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, and complete other records
Special Considerations Affecting Split Samples
Split samples are samples that have been divided into two
portions for analysis by separate laboratories.
In some cases, officials of the facility will request splits of all
samples that are collected during an inspection. They have the
right to such samples under some EPA statutes.
Address this issue during the opening conference. Reach
agreement about the logistics necessary to collect split samples,
especially about who will supply the additional collection
equipment and containers
14-9
JULY 1997
-------
INSTRUCTOR NOTES	SUGGESTED CONTENT
Decontamination of Equipment and Waste Disposal
Decontamination of equipment and sampling devices in the
field may produce a nnsate that is subject to regulations under
RCRA. Contaminated sampling devices and protective
clothing also may be subject to regulations governing their
disposal.
Generally, EPA inspectors should package contaminated
equipment and clothing properly and take it back to the EPA
Regional office (or laboratory) for disposal as required by
regulations.
Some laboratories now request 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 cannot dispose of the material.
DISCUSSION
COMMON SAMPLING ERRORS
Ask the class to suggest
sampling errors that could
affect the validity or integrity
of samples or their value as
evidence. As suggestions are
made, ask trainees to describe
what they think the effect of an
error would be.
Use the list of common
sampling errors, presented in
the Suggested Content column,
to point out items that are not
mentioned by the class.
Overheads 14-4 and 14-5
Common Sampling Errors
The most common errors related to sampling are:
Failing to calibrate instruments (such as the pH meter, DO
meter, and other instruments)
Failing to maintain equipment properly
Forgetting equipment or supplies
Misreading instruments
Making miscalculations
Mislabeling
Transposing of data in the field logbook
Recording poor field notes
Allowing loss or leaking of samples during shipping and
transport
Shipping sample with high pollutant concentration in same
container as samples with low pollutant concentration
14-10
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE	QUALITY ASSURANCE AND QUALITY CONTROL
Planning for quality assurance and quality control is one
method of integrating the many policy and technical factors
involved in a quality sampling effort.
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 QA/QC also depends on
laboratory procedures.
•	Quality Control (QC)
Quality control is a series of methods built into the
sampling process to ensure that the data collected are the
data desired
It includes all the technical controls used, such as sampling
and analytical methods, use of blanks and replicate samples;
inclusion of performance or standard samples; and use of
standard curves and statistics
•	Quality Assurance (QA)
Quality assurance refers to the procedures used by
management to ensure that quality control plans meet
requirements 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 before field
data are collected, 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 to perform special, steps with regard to a sample
as a check on the sampling itself or on the laboratory.
Overhead 14-6	Types of samples used for QA/QC include*
Quality Assurance and
Quality Control Samples	Replicate Samples: These separate samples are taken from
the same source at the same time
14-11
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Split Samples This sample has been placed in two
containers for analysis by separate laboratories
Spiked Samples A known quantity of some substance has
been added to the sample
Preservative Blanks A known quantity of a preservative
has been added to the sample of distilled water.
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 seeking9
Precision. The reproductibihty of the data
Accuracy: The closeness of a measured value to the true
value
Throughout the session, use the
term for the QAPP that is
common in your Region.
Overhead 14-7
Quality Assurance Project
Plan (QAPP)
Representativeness: The extent to which the data
characterize the population being sampled
Comparability: The equivalency of the data sets
Completeness: The measurement of the confidence with
which the data resulting-from a collection activity meet the
sampling objectives
Quality Assurance Project Plan (QAPP)
Agency policy mandates a quality assurance project plan for
every inspection involving sampling
Generally, the QAPP is prepared before the inspection.
However, if a decision to sample is made while the inspector is
in the field, the inspector should record in the field logbook,
the information that would be in a QAPP.
The QAPP is prepared to ensure that the sampling plan reflects
a careful thinking through of sampling objectives and what
must be done to ensure that those objectives are met.
In many cases, the QAPP will be rather short and will include
by reference the appropriate SOPs for the inspection. Such
routine QAPPs usually will require some modification in light
of the particular situation to which the SOPs are being applied
For nonroutine situations, a more complex and lengthy
operating procedure may be necessary
14-12
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Elements of a Quality Assurance Project Plan
Modify the 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.
While the name and format of a quality assurance plan vanes
by Region and office, the content generally will be roughly the
same. Of course, the SOPs already may have addressed some
of the content; if so, they can be incorporated by reference into
the QAPP Some of the information may be set forth in a
document other than a QAPP but nonetheless is part of the
planning for sampling.
We will go through some of the key items here briefly to give
you a sense of the necessary aspects of quality assurance
planning.
Project description and site location: This is a "what,
where, and why" section that includes the history of the site
and the justification for sampling, describes the physical
aspects that define project area, and discusses environmental
concerns.
Project measurement objectives: This section sets forth the
information requirements of the project, defined by
regulation or the specific needs of the inspection.
Sample rationale and network design: This section
describes the process used to select specific sampling
points, getting forth a rationale that is site-specific and that
makes use of applied statistics, regulatory requirements,
enforcement needs, and common sense.
Analyses rationale: This section initiates the paper trail of
physical accountability for the project.
Data quality objectives: This subsection lists the
elements, compounds, classes of compounds, or
physical data needed; methods selected to obtain the
data, and usually the detection limit; it helps to define
precision and accuracy for the project or for specific
analyses
Sample procedures to be used
Custody and documentation of samples: This
subsection provides the core of the paper trail and
should be sufficiently detailed to allow the sampler to
testify years later
Calibration procedures and frequency: This subsection
14-13
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
sets forth procedures for physical measurements in the
Field and laboratory, usually addressed through SOPs
that define standard calibration procedures
Preventive maintenance- This subsection generally is
concerned with instruments, and sets forth "procedures
that usually are established by SOPs that list
manufacturer's operational and maintenance
recommendations.
Laboratory data reduction and QA review: The
planner can designate here the degree of QA effort a
project needs.
Sysiem and performance audits This subsection may
be a request for an audit by the project planner or
under the office's overall quality assurance program.
QA report to management. If there was an audit, what
were the results. If corrective action were needed,
what steps would be taken to solve the problem.
Corrective action. This subsection indicates that,
drawing on professional judgment, the sampler may
make changes m the plan while in the field, as long as
those changes are justifiable; U also states that all
changes must be documented
Sample alterations: This subsection states that, if
changes in the actual measuring or analyzing protocols
occur in the field or laboratory, they must be justifiable
and documented.
Safety plan: This subsection incorporates the safety
plan, which technically is a part of the QA plan, but
usually is a plan that has been approved previously.
Deviations from the plan must be approved by a safety
officer or team leader
When faced with an unexpected or unanticipated situation, the
inspector may find it necessary to modify the QAPP in the
However, the plan cannot be modified to an extent that
compromises the original sampling objectives. Questions to
ask in making a decision to modify the QAPP are.
Overhead 14-8
Changes in the QAPP
Modifying a Quality Assurance Plan
field.
14-14
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
-- Can the original objectives still be met7
-- Can the sampling be done satisfactorily with the existing
equipment?
-- Is it safe to sample?
All changes must be documented and the rationale for such
changes stated.
LECTURE	DOCUMENTATION OF SAMPLES AND CHAIN OF
CUSTODY
If the results of sampling are to be admissible in court as
evidence, EPA 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 the time of trial, so that it was
impossible to tamper with the samples
Documentation of Precision and Accuracy
• Field Measurement and Sampling Process
Procedures used for collecting and handling samples should
be described in the field logbook.
The procedures should be described in sufficient detail to
make it possible to determine from the description:
- Exact location from which the samples were collected
Types of sample containers used
Manner in which the sample containers were prepared
Sample collection process
Methods of preservation and handling of samples
Methods of calibration and maintenance of equipment
For the actual collection procedures, a citation of the
appropriate SOP that was followed generally is adequate.
Any deviation from the SOP, however, must be explained
fully and documented.
Analytical Methods in the Laboratory
Similarly, the laboratory methods used to analyze the
14-15
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
sample must be documented The methods would include
such items as analytic methods employed in analyzing the
data; procedures for receiving and handling samples,
reduction and reporting procedures, and procedures for
calibration of equipment and instruments, all records
pertaining to the sample, including conclusions derived and
determination of the reliability of the data, also must be
made available.
Documentation of the Chain of Custody
If the results of analysis of a sample are to be accepted as
evidence, EPA must be able to show that the sample is what
EPA says it is: that it came from a particular location at a
particular time The sample's unique identifying number,
along with the other information recorded in field notes, are
the principal means of establishing those facts.
EPA also must be able to show that the sample has not been
tampered with or contaminated during collection, transport,
storage, or analysis To do so, we show, through written
"chain of custody" records, that access lo the sample was
controlled and that everyone who had handled the sample can
be identified (and, if necessary, can testify).
An accurate record must be maintained to trace each sample
from the moment of collection through its introduction into
evidence. Because of the importance of this subject, I want to
briefly review what you were provided during the previous
hour on chain-of-custody procedures.
Elements of Custody
Overhead 14-9	A sample is in "custody" if:
Evidence 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 could
not be tampered with
It is kept in a secured area, with access restricted to
authorized personnel only.
Overhead 14-10	Custody requires the maintenance of several procedures,
Chain-of-Custody Procedures	including:
Establishing custody - for example, by sealing the sample
14-16
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
with a custody seal.
Preparing documentation that describes the collection,
shipment, and storage of the sample.
Coordinating the sample and documentation to ensure that
the sample number and date and inspector's initials appear
on all forms*
Ensuring continuity of custody during transit through proper
documentation.
Chain-of-Custody Record
The forms and procedures used to establish and record the
chain of custody vary somewhat, depending on the office and
program under which the sampling is conducted.
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 conditions under which the samples
were collected and analytic requirements with the custody
record
The examples we will show you today actually are in 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 about the
results 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 the
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.
Entry in the Field Logbook
Overhead 14-11	The inspector's entry in the field logbook is the principal
Field Logbook Entry:	reference for the sample Each entry should record:
Sampling
14-17	JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Identification number of the sample
Unique identifying remarks (if any)
Date and time of collection
Specific location of collection
Method of collection
•	Rationale for sampling
Description of any deviations from standard protocols
•	Indication of split samples, or other types of samples, if
applicable
In Chapter 13D, your textbook provides examples of sample
tags, seals, and chain-of-custody records. I am now
distributing (going to show you) some of the forms we use in
our Region for recording chain-of-custody.
explain the Region's chain-of-
custody procedures
Overhead 14-12
Example of the Sample Tag
Overhead 14-13
Example of the Custody Seal
Using the overheads or
handouts of the Region's
sample tags, seals, and chain-
of-custody records, briefly
LECTURE AND	MANAGEMENT OF SAMPLES IN THE FIELD
DEMONSTRATION
Overhead 14-14	Samples always should be handled in accordance with safety
Sample Holding Time	procedures appropriate for specific substances. Two other
considerations are:
Preservation of samples' Most analyses require that a
chemical preservative be added to the sample immediately
upon its collection. Consult program- and media-specific
guidance for requirements for preservation of samples, or
ask laboratory personnel
• Holding time of samples Prompt analysts is the best way
to ensure that no error occurs because of deterioration of
14-18
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
the sample. Again, holding times are specified in program-
and media-specific guidance
The purpose of this portion of
the session is to explain the
general shipping requirements
established by DOT for
hazardous samples and to
demonstrate how to pack a
hazardous sample properly for
shipment.
Overhead 14-15
Packing and Shipping
Samples
Arranging for analytical support in advance of the inspection
helps avoid delays that could affect the quality of the analysis
Packing and Shipping Samples
Because of the potential hazards (and time delays) associated
with shipping samples, the best method of transport is personal
delivering by the inspector. When this is not feasible, samples
are shipped by common earner.
Department of Transportation Hazard Classification
It is the inspector's responsibility to pack and ship samples in
accordance with the Department of Transportation (DOT)
requirements for the particular DOT hazard class of concern
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
Cautionary note DOT's roles are very complex and are based
on the type of sample, its size, and its contents
The general rules governing shipment of samples that contain
hazardous materials are set forth in 49 CFR 172.702, which
states in part:
Everyone "who performs any function subject to the
requirements of this subchapter may not perform that
function unless trained in accordance with the requirements
of this subpart..."
Each person who packs hazardous materials or offers such
materials for shipment must be trained and recertified every
two years
The penalties for violation of this requirement are a minimum
of $250 per day; they can run into the thousands. DOT takes
action against the individual, not against EPA or the state.
If the inspector has not had the required DOT training and is
preparing to ship sample materials, regardless of the sample
materials, before any sample is shipped, a person certified in
DOT procedures must be consulted to determine whether the
inspector can in fact ship those materials or whether a certified
14-19
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
individual must pack and ship
One real life example of ail EPA employee who did not follow
the proper procedures follows:
During the early I980's, a regional ESD inspector was
actively involved in conducting numerous NPDES
compliance sampling inspections throughout the region
However, an employee (a supervisor) of the Regional
Office had a desire also to conduct compliance sampling
inspections independent of the ESD inspector. In this
particular incident, the ESD inspector received a telephone
call from the individual, stating that he was going to collect
approximately 20-25 samples of acid mine drainage or
discharges for nutrient analysis He requested that the ESD
inspector provide him with the containers and a sufficient
amount of HN03 for sample preservation. After several
days of agonizing over the request, the ESD inspector
finally decided to respond favorably to the request and
provided the sample containers, an Igloo cooler, and a
container of HN03. Unknown to the ESD inspector, the
person had not had sufficient training in order to know
what was acceptable and what was not acceptable.
Consequently, he put about 2 mis of the HN03 in each
sample container and placed the sample containers in the
Igloo cooler. Then the excitement began. He proceeded to
the airport and boarded an Eastern Airline flight to the
sampling location. However, the Igloo cooler and its
contents were checked as baggage on the flight. Somewhere
over Tennessee, a major problem occurred. The contents of
at least one of the sample containers leaked in the baggage
compartment. The HN03 went through the Igloo cooler
into the surrounding baggage and created smoke which was
immediately picked up by the smoke detectors. The
Eastern Airline plane ended up making an emergency
landing in Chattanooga, Tennessee and another airplane was
deployed to Chattanooga to pick up the passengers to
complete the flight. Who was responsible for the
problems? Obviously, the person placing the restricted
dangerous goods on the airplane was responsible. For
many months, it appeared that the employee would have to
pay (out of his own resources) a major fine. However, due
to the diligent negotiations of EPA attorneys, the
appropriate regulatory authority decided not to prosecute
In the end. the EPA employee transferred to Washington.
DC for a promotion.
Each EPA office has designated an individual who is
responsible for compliance with DOT regulations. Inspectors
14-20
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
can consult with this person if they are not sure what to do
with a given sample
In this Region, the person who can be consulted about DOT
regulations governing transportation of samples is:
Insert name of Regional
contact here.
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 ordinarily would not be subject to
requirements governing shipment of hazardous matenals
because the concentrations of contaminants in such samples are
low.
Generally, samples of unknown hazard are shipped as
"flammable liquid "
Advance Planning
Shipping needs should be identified and planned for during the
inspection planning process. Be sure to obtain any needed
shipping containers, completed and signed forms, and hazard
labels.
Packing a Hazardous Sample
Using the appropriate	Explain packaging steps as they are being performed.
containers, packing matenals,
and hazard labels, demonstrate
how hazardous samples are
packed for shipment by
common carrier.
Explain, as appropriate, how
different procedures would be
required for a different hazard
class. Refer trainees to the text
for specific information on
hazard classes
Ask the class to remember
their sampling planning
exercise. How many thought
14-21
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
ahead to bring shipping
materials and labels?
LECTURE
LABORATORY OPERATIONS
The purpose of this session is
to give a brief overview of the
laboratory and how it
functions, and in particular, to
explain why the inspector
should consult with laboratory
personnel on technical matters.
Overhead 14-16
Laboratory Analysis
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 have been reported
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 analyzing samples We then will discuss what to
consider when interpreting the results you receive from the
laboratory
In the short time we have today, I can provide you only with
some highlights of how laboratories function. I know that
some of you may not take samples, but it is important that you
understand sample analysis because almost everyone at one
time or another at least will, review results of analysis or will
request others to perform sample analysis.
I hope that, when I am through, you will have an appreciation
for what the laboratory does and why it is important to consult
with the laboratory on technical questions related to sampling
and analysis.
Laboratories carry out many functions related to all
environmental monitoring projects, including compliance
monitoring. Analysis of samples involves several activities:
Preparing the samples
Conducting specific analyses
Calculating and verifying the data
Preparing reports
The amount of time required for and the complexity of a single
analysis generally depend on the number of answers that can
be gleaned from that analysis.
Other functions that the laboratory performs include:
14-22
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Explain the procedures for
scheduling analytical work,
noting in particular the lead
time usually required. Explain
what can be done if there is an
emergency need for analysis.
. Maintaining quality assurance and quality control
Maintaining effective chain of custody
Storing samples
Disposing of samples and waste
Meeting maintenance requirements for equipment and
supplies
Advance Scheduling
The laboratory has limited time, personnel, and equipment, so
advance scheduling is essential to ensure prompt analysis of
samples.
Relationship With Laboratory Personnel
Laboratory personnel are technical experts They can assist
inspectors in such matters as:
Developing sample plans
Determining the types of samples that will provide the most
useful data
Interpreting analytical data
Time and Costs Involved in Analysis of Samples
When planning an inspection, inspectors should factor in both
the costs of analyzing samples and the time it will take to
obtain results.
Cost estimates will help establish the budget for 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 from the
laboratory will help the inspector make more realistic schedule
projections.
Exhibit 18-1 in your text (pages 18-10 through 18-11) show
average times and fees for analyzing typical samples. These
averages can help you make projections when no other
information is available.
14-23
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Data Quality Objectives
The laboratory 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 laboratory, will
select the analytical methods, instruments, parameter detection
limits, and other analytic requirements that are capable of
producing data of the quality required by the data quality
objectives.
Chain of Custody in the Laboratory
Each laboratory has procedures to ensure that the chain of
custody that was established in the field continues in the
laboratory. Generally, the procedures require a new (or
continued) sample numbering system for samples in the
laboratory and controlled access to the samples, including
maintenance of logbooks that show who has had custody of the
samples.
LECTURE AND
DISCUSSION
LABORATORY CAPABILITIES
In this portion of the session,
present a brief, nontechnical
discussion of some of the key
analyses that can be performed
by the laboratory and the kinds
of equipment used.
Provide about five minutes at
the end of the discussion for
trainees to ask specific
questions about the laboratory
or laboratory procedures.
Explain some of the key equipment available in the laboratory
and analyses that it can perform.
Solicit questions from the group.
DISCUSSION
INTERPRETING ANALYTICAL RESULTS
Inspectors should be able to read and interpret results of
analysis and to incorporate them meaningfully into an
inspection report.
14-24
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
more formats for reporting
results of analysis Explain
how to read such reports.
Use the example on pages
18-14 and 18-15 of the text to
illustrate how the application of
different methods results in
different conclusions. Give the
trainees five minutes to read
the text, and then go through
the example, answering
questions as needed
laboratory
Evaluation of Data
The data from analysis of samples must be evaluated before
any conclusions can be drawn. This process usually is
accomplished through statistical analysis.
Several statistical methods can be used, but inspectors are
cautioned that different methods will produce different, and
sometimes contradictory, results.
On pages 18-14 and 18-15, your text presents a good
illustration of what happens under different types of statistical
analysis. Read it for a few minutes, and then we'll look
through it
Go through the example, answering questions as needed.
Remember, the limits or standards to be applied should be
determined before the data are evaluated.
14-25
JULY 1997
-------
1
2
3
4
5
6
7
8
9
10
II
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
ATTACHMENT 14-1
EQUIPMENT SLIDES
DESCRIPTION OF SLIDE
Level A protective clothing
Level B protective clothing
Level C protective clothing
Level D protective clothing
Miscellaneous equipment (boots, rope, cold weather gear,
gloves, and other items)
Cooler for carrying and shipping samples
Cooler with bottles and sample tags
Cooler with custody tag and official seal
Labels, official seal, and chain-of-custody tag
Sample containers
Oxygen meter for DO and conductivity bridge
pH meter
Automatic sampler for water samples
Sediment sampling equipment
Van Dorn sampler and water sampling tubes
EPA van
EPA trailer
EPA boat
Automatic sampler in insulated box
Flow meters
Sample preservatives
Teflon bailer
Miscellaneous field equipment (map, compass, notebook,
camera, film, flashlight, and other items)
Flame-retardant protective clothing
Records
Vacuum filter
Sample container with packing material
Water sampling equipment
1
SEPTEMBER 1995
-------
Physical Sampling
Policy considerations in sampling
Technical considerations in sampling
Common sampling errors
Quality assurance and quality control
Documentation of samples and chain of custody
Management of samples in the field
Text: Chapter 13
14-1
-------
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
14-2
-------
Representative Sampling Factors
•	Operating conditions
•	Types of waste
•	Statistical considerations
•	Temporal considerations
•	Spatial considerations
-------
Common Sampling Errors
•	Calibration
•	Maintenance
•	Forgotten equipment
•	Misreading
•	Miscalculations
(continued)
14-4
-------
Common Sampling Errors
•	Mislabeling
•	Transposing of data
•	Poor field notes
•	Loss of samples
14-5
-------
Quality Assurance and
Quality Control Samples
IINET
•	Replicate
•	Split
•	Spiked
•	Preservative blanks
-------
Quality Assurance
Project Plan (QAPP)
Must be prepared for every sampling
inspection
Two types
-	Routine
-	Nonroutine
n i im urn SEBSB—
1NETI
14-7
-------
Changes in the QAPP
Can the original objectives still be met?
Can the sampling still be done with the existing
equipment?
Is it safe to sample?
4-8
-------
Evidence 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 could not be tampered with
It is kept in a secured area with access
restricted to authorized personnel only
14-9
-------
Chain-of-Custody Procedures
Establishing custody
Preparing documentation
Coordinating the sample and documentation
Ensuring continuity of custody during transit
-------
I
<3-
D)
C
¦
Q_
E
co
C0
LU
JX.
o
o
n
O)
o
TD
0
Ll
fkb
k lulm,
' sTtnoiaf
drhh
River
See. .A«M sheet-for Savpk info,
© | <2> | d> | <2>|
It""1
W
z
Vd3'>
-------
Example of the Sample Tag
o
I
t
a
J
I
1
r« ~ no ~

ANALYSES
BOO Mom 1
So*d» (TSS) fTDSl fSSl

I
HI -
rnwvio
Mmcwv
Uotris
crantd*
TT«T7H5S	

!
1
^orta«VMS

Print* Mutanta
MMkOwnlci
rwnw
1
J
L'Tr-r-r^BMi
BcdiriQ^^
Remarks:
I
}
T«f M*. La* Sampta NoJ|
0-68S69 11
1 1
FRONT
UNITED STATES ENVIRONMENTAL PROTECTION AQ6NCY

REGION 4

Eflvtromww StrvtM OMaton

Cotog* Stttton Road

Atf*m,OA 30013
O
sssz EPA
BACK
if -L-L . JBi1 . . 1 1	_	__
SNET
4-12
-------
Example of the Sample Seal
UNfTED STATES
ENVIRONMENTAL PROTECTION AGENCY
INSPECTOR'S SEAL
Swnpte No
1

Oa»
2



Signttji*

4

6
6
3
Print Nam* ar
td Tito
5



(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
INET
14-13
-------
Sample Holding Time
Prompt analysis is the most positive assurance
against error from sample deterioration
INETt
-------
Packing and Shipping Samples
49 CFR 172.702 states in part:
Everyone "who performs any function subject to
the requirements of this subchapter may not
perform that function unless trained in
accordance with the requirements of this
subpart..."
Each person who packs hazardous materials or
offers such materials for shipment must be
trained and recertified every two years
-------
Laboratory Analysis
•	Laboratory operations
•	Laboratory capabilities
•	Interpretation of analytical results
Text: Chapter 18
-------
I
-------
Notes
15
-------
SESSION 15
TOPIC: RECORDS REVIEW
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose
Key Points
Advance
Preparation
Equipment
List of Visuals
List of Handouts
Present key elements of reviewing records.
Ability to follow the paper trail is a key skill of the inspector.
Prepare problems as handouts if to be discussed by small groups.
Overhead projector
15-1	Records Inspection
15-2 and 15-3	Problem A
15-4 and 15-5	Problem B
15-6	Problem C
15-7	Problem D
15-8 and 15-9	Overview of Steps in Sampling Records
15-10
15-1
15-2
Sampling Techniques
Sample Manifests
Problems in Sampling Strategies
i
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
introduction
Introduce yourself, mentioning your background and
experience and your role in this course
Overhead 15-1
Records Inspection
This session will cover records review — its purposes and some
techniques
LECTURE
CONDUCT OF RECORDS REVIEWS
Purpose of Record Reviews
Inspecting records for compliance purposes is an art; the
necessary investigative skills are developed largely through
experience
The purposes of records reviews are:
•	To determine whether a facility is maintaining records
required by statute or regulation
To verify compliance or noncompliance
Plan what types of records you will review before you go on
site. Records that might be reviewed include-
Annual reports
Production records
Shipping records and manifests
Inventory records
•	Sales records (invoices, receiving records, and similar
material)
¦ Process records
Quality control records
Disposal records
Labels and literature
15-1
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Distribute manifests (Handout
15-1). Let the group review
the manifests until someone
identifies the problem.
Permits: state, local, and federal
Correspondence
Exemptions
Personnel records
Self-monitoring records
Operation and maintenance records
Real property records
During a records review, the inspector should
Compare current reports with past reports to identify
possible discrepancies or false reports
Check required records and reports for completeness and
accuracy
Ascertain compliance with requirements for retention of
records
Compare information in the records with first-hand
observations; compare information in computer files or
pnntouts with that in 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 on the manifests indicate that material
was held too long.
Manifest No. Date Shipped Date Delivered
MI0649382
MI0649386
MI0649387
01/07/87
02/11/87
02/27/87
01/29/87
03/03/87
03/12/87
It is crucial that the inspector know what records the facility is
required to keep.
15-2
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Documentation of Records Copied
Ability to positively identify the particular records copied or
taken is essential, each inspector should use a system that
enables him or her to verify the validity of the records easily
Each copy of a record should be identified with:
• Inspector's initials or code and date
Unique document identification number
Records of copies of documents obtained during the inspection
then should be entered in the field logbook by a logging or
coding system based on the two elements listed above The
logbook entry also should include
Reason for obtaining the document
Source of the document
Physical location of the original document
EXERCISE AND
DISCUSSION
PROBLEMS ENCOUNTERED IN REVIEWING
RECORDS
Ask the group to discuss how
they would approach these
problems.
Overheads 15-2 and 15-3
Problem A
Deciding what records to review and how to review them is an
art. There are no right or wrong approaches.
Following are some typical compliance questions an inspector
might attempt to answer, at least in part through records
review.
Problem A
A company has not submitted any reports of exceeding the
limits set forth in its discharge permit. Your inspection of
the facility indicates poor operation and maintenance of
pollution control equipment, leading you to suspect that the
equipment 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
15-3
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overheads 15-4 and 15-5
Problem B
Overhead 15-6
Problem C
Overhead 15-7
Problem D
would you be looking for'' What evidence would you
attempt to collect?
Problem B
EPA has a tip that a company has begun manufacturing and
distributing a new chemical (di-benzo-horrible) before
completing the required premanufacture review process (as
required under 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
determine whether a company was making a new product if
EPA had no tip?
Problem C
A company's records of storage of hazardous waste are
sloppy and incomplete. You easily can document the
violation of recordkeeping requirements, but you suspect
they are storing wastes for much longer than the period
allowed What records might help to confirm or refute that
suspicion — by their presence or absence9 What evidence
could you collect?
Problem D
• A citizen has notified EPA that a dredging company
allegedly has disposed of dredged material into wetlands
owned by the town of Clarksville. What records might help
to confirm this allegation? What evidence would you
attempt to collect?
LECTURE
RECORDS SAMPLING TECHNIQUES
When there are too many items (records, documents, individual
data entries, and pieces of equipment) to be reviewed,
sampling techniques are used to select a portion of them that
will support reasonable conclusions about the facility's
compliance. Our focus here is on statistical methods as an
auditing technique, not as a method for ensuring statistical
reliability.
15-4
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overheads 15-8 and 15-9
Overview of Steps in
Sampling Records
The advantages of sampling, compared with complete
coverage, are: (1) sampling saves money, (2) sampling saves
labor, and (3) sampling saves time
Our focus in this session will be on records review, although
the principles and methods set forth can apply to selecting
samples from a population of any kind.
Overview of Steps in Sampling Records
The basic steps in drawing a sample of records are
Determine the objective of the records review
Identify the total population - all relevant records
Select the sampling method
Determine the sample size
Conduct the sampling
Document the methodology used in sampling
Each of the basic steps is discussed in more detail below
• Determine the objective for the particular review - for
example, compliance with required hazardous waste training
for employees.
Identify the total population subject to review — that is, all
relevant records, people, equipment (for example, all
employees who should have received hazardous waste
training) Identify whether there are groups within the
population that are of particular interest (for example, new
hires, temporary employees, or employees who have
changed shifts).
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
15-5
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
population in which problems or deficiencies are likely
to exist. For example, the inspector may have learned
during the opening conference that, during the previous
three months, there had been a turnover of personnel
responsible for maintaining air pollution control and
monitoring equipment. Because of that 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 such a case, the
inspector should choose a method of selecting records
that is most likely to detect any problems that exist.
Therefore, he or she should look at records that represent
all (or a majority) of the materials that cannot be
reviewed
-	Random sampling: Each item in the population has an
equal chance of being included in the sample, items are
selected without bias.
The basic type of random sampling, simple random
sampling, is conducted 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 m 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 level of accuracy needed, it may be
enlarged one item at a time until the desired level of
accuracy is reached. In other types of sampling, it is
necessary to decide in advance the exact size of sample
that is needed; during the process of selection, the
sample does not become truly representative until all
sample elements have been drawn
-	Systematic or interval sampling. This variation of
simple random sampling does not require use of a table
Overhead 15-10
Sampling Techniques
Sampling techniques include the following:
15-6
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
of random numbers. Every fifth, tenth, or fiftieth item is
selected, beginning from a randomly selected starting
point.
To generate a systematic or interval sample, the
inspector must first decide the sample size. Divide the
desired sample size (for example, 50) into the total
number of items (for example, 500) to determine the
sampling interval (for example, 50/500 = 1/10);
therefore, the interval will be every tenth item.
-	Stratified sampling¦ This method involves breaking the
population down into subgroups or categories based on
relevant characteristics The random or interval
techniques then are applied to the subgroups. More
records can be sampled from subgroups believed to be
potential problems
-	Block sampling This approach 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 of the week (for example, all analyses
performed on Wednesdays) over a period of time.
-	Judgmental sampling. This approach is used frequently
when the inspector has reason to suspect that a violation
or violations have occurred. The inspector focuses
review of records on the suspected problem.
Determine the sample size. Base the decision upon the
judgment, as well as constraints on time and resources. A
suggested approach for determining minimum sample size is
presented in Chapter 12 of the manual.
Conduct sampling Apply the selected approach and
determined sample size
Document the sampling methodology. Document the
methodology used in the field logbook, including:
-	The population, subject, or topic under review, and why
that population was selected
-	The sampling method employed and why that sampling
method was used
15-7
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Any potential bias in the sample selected
The sample size and reasons for selecting that sample
size
How the sample actually was selected
The results of the sampling (unless physical samples that
require laboratory analysis are the subject)
EXERCISE
PROBLEMS IN SAMPLING STRATEGIES
This exercise is designed to
stimulate discussion of various
ways a large population of
items can be approached, in
light of the amount of time
available and the purpose of
the review
Distribute handout 15-2 You
may assign problems to small
groups of trainees or discuss
each problem as a whole
group. If small-group
problem-solving is chosen,
reconvene the class after 10
minutes and ask someone from
each group to explain the logic
of the group's approach.
If the full class is to discuss
each problem, allow
approximately three minutes
for the trainees to read the
problem before discussing it.
Some points you may wish to
make if they are not brought
out by the group are listed in
the Suggested Content column
Inspectors often are confronted with more items than they can
actually review or inspect in the time available.
The problems I am distributing to you simulate inspections in
which the use of sampling methods as an auditing approach
might be useful.
We are not seeking statistical reliability here; rather, we want
to identify a sampling strategy that will give us a reasonable
conclusion about compliance.
Points to raise if they are not brought out in the discussion
include:
1 Dumpstump, Inc.
Are all employees in the files (that is, part-time, new hires,
and day and night shift)?
Are there some groups that more likely have not been
trained (new hires, old employees, night shift, or part-time
employees)?
No sampling method is most ideal:
Interval sampling is useful as a random method; block
sampling is not so useful, but, for example, all files
under a letter of the alphabet could be selected
Judgmental sampling based on length of
employment, shift, or other factors could focus on
15-8
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Note. During the discussion,
trainees might suggest methods
other than or in addition to
records inspection to
investigate This is a desired
outcome, it indicates that they
are thinking like inspectors.
more likely violations (categories selected should
be identifiable without examining individual files
or the purpose is defeated -- for example, length of
employment should appear on a separate company
roster)
2. The Spewforth Company
An 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 (for
example, all entries in second week of the month).
Judgmental -- attempt to learn more about
neighbors' complaints (for example, did they occur
in a particular time of year) and focus there, or
determine when production output is highest.
15-9
JULY 1997
-------
HANDOUT 15-1
Sample Manifest 1
TEXAS WATER COMMISSION
P.O. Box 13087, Capitol Station
Austin, Texas 78711-3087
Please print or type. (Form designed for use on elite (12-pitch) typewriter.)
Form approved. OM8 No. 2050-0039. expires 09-30-91
UNIFORM HAZARDOUS
WASTE MANIFEST
1. Generator's US EPA 10 No.
Manifest
I Document No
2. Page 1 Information in the shaded areas
of	is not required by Federal law.
3 Generator's Name and Mailing Address
4 Generator's Phone (
)
5 Transporter 1 Company Name
US EPA ID Number
7. Transporter 2 Company Name
US EPA ID Number

	m$mi
KSKiH asssai
mmwmm
9 Designated Facility Name and Site Address
US EPA ID Number
13
Total
Quantity
11. US DOT Description (including Proper Shipping Name. Hazard Class, and ID
Number)
12 Containers
no Type
14
Unit
Wt/Vol


15. Special Handling Instructions and Additional Information
16. GENERATOR'S CERTIFICATION: I hereby declare that the contents of this consignment are fully and accurately described above by proper shipping name and are
classified, packed, marked, and labeled, and are in all respects in proper condition for transport by highway according to applicable international and national
government regulations, including applicable state regulations.
If I am a large quantity generator. I certify that I have a program in place to reduce the volume and toxicity of wasie generated to the degree I have determined to be
economically practicable and that I have selected the practicable method of treatment, storage, or disposal currently available to me which minimizes the present and
future threat to human health and the environment; OR. if I am a small quantity generator. I have made a good faith effort to minimise my waste generation and select
the best waste management method that is available to me and thai I can afford
Printed/Typed Name
Signature
Month Day Year
17 Transporter 1 Acknowledgement of Receipt of Materials
Date
Printed/Typed Name
Signature
Month Day Year
18. Transporter 2 Acknowledgement of Receipt of Materials
Date
Printed/Typed Name
Signature
Month Day Year
19 Discrepancy Indication Space
20 Facility Owner or Operator Certification of receipt of hazardous materials covered by this manifest except as noted in Item 19.
Date
Printed/Typed Name
Signature
Month Day Year
III
TWC 0311 (Rev 01/01/89)
White - original Pink-TSO Facility Yellow-Transporter Green-Generator's first copy
-------
HANDOUT LS-1
Sample Manifest 2
DNR
MICHIGAN DEPARTMENT
OF NATURAL RESOURCES
0*f **
(SA
00 NOT yVRITE IN THIS SPACE
ATT n Pis n QEJ ~ •
0><
3 daftarttor¦ fiamc aoJ" -assr
S »v\ iTW- wi&TArL. Wo <5-<_S
a mvvv' v+eft. Ej uSa.
* Giwtoci'vnpft#
"5 Trartaponar 1 Cottony
ruMi. ^
B Sttti Oftn«rttor a 10
US EPJT ID
tStlv'i^o ^r^e^Vz^A y^oVCv^S hKaJ.O.P1^.^ .T.i^V.
Ttanaponar 1 Corvnt Nam*	I	US EPA ID humbar
C Slit) Tnniportir'i i0
D*wgnM*d.FK>lit« tlT* #nd S'l# Addrtw
VvJA'STE rt-OL.t)lrvt6 InJC
Evgftvuneft-£ , u s A
IJ ' ' l I.J J J 1 1 '
10	US EPA ID NumtMf
11 US OOT Dt&criplion (including Proptr Snipping Ntmi HMIMrd Clmst tnti
HM	'0 NUU8ER)
|FG tA \ ~S (C tn fJO f a
lionl*>oe'i
Rmrrtoui Malta Solid
-0 Tr«iiftpori*( I PtiOna
E St CIS Tranaponar I IQ
f Trtn»port«r t PhOAa
0 Stlla Ftcillly i ID
H ricHlly • Pr\on«
•jy*
I
\)
lo<*<
»u^*l I ,
I 14 I > WMIl
I U"'« I N*
r
1 '31»
JOUUtJDLflU.
1 I I
J	L
'ii'
l i l
J. Addltlmtl 0«tcrtpUont lor Mdarttti UtlM Uom
1<
K Handling CoO«J 
Contain ¦olid and n
to disposal aita.
to transport uhlclt. transport
li. OEMERATOfl*S CEATlFtCATiOM I htnOy daclara thai irt* conn Mi ol Ihlt comionmtnl art tulty «nd iccuriKtv dncrlMd tfwvi~br
proper •hippfno r\ama and are claMJffed. ptckad, marled, and IMM, and tr* in all r*$p«cu In p*op* condition tot tranapofl by
htghway acco^ing to applicant* lni«rr>aflk>na< and national gorsmmenial r»gulai»ona Including app*caft*a atata reguUUonr
HI
•> m
!t
I!
35
!i
Pitfitad/Tvpad Nam*
M#nr* Oi>
17 Ti
m»*lA 0iy
W.M

Svwtu
II Tr
5*0natur
19 OtacrapAney tnd<«i«on Sp*o«


20 facility Owni* o* Op+fHo* Can»f>e«lion of (•c«*o< oi hai«r^out	cov«'*4 fry trm	•« «%oi«d >*
Kttn It
funtad^rpad Name
S^n«iur«

0*r
&£l
EPA Form *700 12 13 «4|
TR AM<^PORTf- R rnov
-------
HANDOUT 15-1
Sample Manifest 3
STATE Of LOUISIANA . . . .
DEPARTMENT Of ENVIRONMENTAL QUALITY :
HAZARDOUS WASTE DIVISION
PjO. BOX 82173
BATON ROUGE. LOUISIANA 70884-2178
PLEASE PWNT 0« TYPE (Form <*>s«jne<3 Ipfuwon efcte {12-ptcftl type*»nte< >
Uniform hazardous
WASTE MANIFEST
Form Acoroved Om8 No 2050-0039 Exms 9-30 94
1 Generator s US £P* © No	Ma/viest
Oocu^eoi No
o't! i a: ai «! q! ei a i tl ^ j g A
ln»ildt, n. o. s. , 3, IHIW3,
P6 II

c • 3 c
ti « nwwteel a*ceo» *a noted item 10 ''
rm-77T
Prtraad/Typed Nama

iw-u uv. r^Uou, u oULC~
Sionature
•' •1 1" - A*Wh 1 Oey >%er
»i\ 90 » V.r-"'v '•
Tl M I 1
COPY 6: (XmmTpnFWPoimrwnM—		
-------
HANDOUT 15-2
PROBLEMS IN SAMPLING STRATEGIES
1	Regulations require that all 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 determine whether the company has complied with these regulations EPA records indicate
that the company employs 525 people You plan to review records and then conduct follow-
up interviews with several employees to verify those 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 includes a record that shows
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 name of the
employee There are 389 files
What factors would be important to support a reasonable conclusion about compliance at the
firm9 What are the potential biases in the files7 How might the discrepancies between the
number of personnel files and EPA's records of the number of employees be explained9 Is
there a particular category(ies) of employee that you want to focus on9 Is there any category
of employee that you want to exclude9 Which sampling method or methods could you use to
select specific records for review9 How would you select the individuals to be interviewed9
2	The Spewforth Company is required to submit a written report to EPA if it has had a minor
discharge exceeding the limit established in its permit, the reports must be submitted within
five working days of the end of the month Reports of major discharges must be filed within
five days of their occurrence Spewforth's permit requires the company to take and analyze
samples of discharge from three locations twice a week and to maintain records of the
sampling and results of analysis for review by EPA upon request
For the past 24 months, EPA has received only one monthly report about a minor
exceedance, no major discharge has been reported The last inspection of the facility took
place more than two years ago Although EPA has no direct knowledge that discharge
exceedances have occurred, neighbors have complained that orange-colored, smelly liquid
comes out of the pipe occasionally — but no dates have been reported
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 would you go about
selecting log entries for review9
1
SEPTEMBER 1995
-------
Records Inspection
•	Conduct of records reviews
•	Records sampling techniques
Text: Chapter 12
-------
Problem A
A company has not submitted any reports of
exceeding the discharge limits imposed in its
permit. Your inspection of the facility indicates
poor operation and maintenance of pollution
control equipment, leading you to suspect that
the equipment may have failed. You want to
determine whether there were any excursions
that should have been reported to EPA.
(continued)
-------
Problem A
What records would you look at?
What would you be looking for?
What evidence would you attempt to collect?
-------
Problem B
EPA has a tip that a company has begun
manufacturing and distributing a new
chemical (di-benzo-horrible) before
completing the premanufacture review
process required under TSCA or FIFRA.
(continued)
-------
Problem B
What kinds of records and documents
would you look for?
What other evidence might there be?
How would you approach an inspection
to determine whether a company was
making a new product if EPA had no tip?
15-5
-------
Problem C
A company's records of storage of
hazardous waste are sloppy and incomplete.
You easily can document the violation of
recordkeeping requirements, but you suspect
the company is storing waste for much
longer than the period allowed.
What records might help to confirm or refute
this suspicion -- by their presence or absence?
What evidence could you collect?
-------
Problem D
A citizen has notified EPA that a dredging
company allegedly has disposed of dredged
material into wetlands owned by the town of
Clarksville.
What records might help to confirm this
allegation?
What evidence would you attempt to collect?
.umumni
15-7
-------
Overview of
Steps in Records Sampling
Determine the objectives of the records review
Identify the total population
Select the sampling method
(continued)
5-8
-------
Overview of
Steps in Records Sampling
Determine the sample size
Conduct the sampling
Document the sampling methodology

15-9
-------
Sampling Techniques
•	Random sampling
•	Systematic or interval sampling
•	Stratified sampling
•	Block sampling
•	Judgmental sampling
-------
16
-------
Notes
16
-------
SESSION 16
TOPIC: CLOSING CONFERENCE
INSTRUCTOR'S OVERVIEW
Time: 30 minutes
Purpose
Key Points
Equipment
List of Visuals
List of Handouts
Explain the purpose, scope, and limitations of a closing conference
Provides an opportunity for inspectors to discuss preliminary findings
Resolves any outstanding questions or issues and verifies information
Provides an opportunity to complete final paperwork (for example,
TSCA CBI forms).
Overhead projector
16-1	Never Say ...
None
i
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Introduce yourself, mentioning your background and
experience and your role in this course
LECTURE
CLOSING CONFERENCE
The purpose of a final meeting with officials of the facility is
to provide receipts, answer questions, and fill any remaining
information gaps.
The primary purpose of the closing conference is to provide an
opportunity for the inspectors to discuss preliminary findings
with representatives of the facility, including any potential
violations or problems that were uncovered during the
inspection. Judgment must be exercised in deciding what
findings are presented and how they are represented to
personnel of the facility. Almost any finding can be discussed
if it is presented in the right context However, the less certain
the inspector is about a specific violation or issue, the more
reason there is not to discuss that subject at the closing
conference. In any case, the inspector must state clearly that
information provided during the closing conference is
preliminary and may change as a result of additional review.
Pollution prevention strategies also can be discussed
Another important purpose of the closing conference is to
resolve any outstanding questions or issues and verify
information. Questions or outstanding information requests
that cannot be resolved in the closing conference should be
compiled in a written document agreed upon by both parties
That document is provided to representatives of the facility
before the inspector leaves the facility, if possible. In the
document, each question or information request should be
numbered. Responses provided subsequently should refer to
the number of the item they address.
It may be necessary to complete some additional paperwork
during the closing conference. Signing appropriate inspection
forms, such as a receipt for samples or documents received,
and declaration of TSCA CBI or the issuance of field citations
are examples. The inspector must be cleared for CBI before
he or she can accept any company information that is
considered CBI under TSCA.
16-1
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Finally, the inspector should be prepared to discuss with
personnel of the facility how and when a copy of the Final
inspection report can be obtained (for example, through a
FOIA request)
Did You Find Any Violations?
Needless to say, officials of the facility are interested in what
the inspector has found. Handling questions at the end of the
inspection is one of the delicate and difficult aspects of the job
Different offices and inspectors have somewhat different
opinions about what can be said
However, under no circumstances should the inspector say
anything that could compromise the government's ability to
determine later whether a violation occurred and whether to
pursue an enforcement action, and, if so, what type of action
An inspector never should say what equipment a facility
should put in place or indicate other actions a facility
should take to come into compliance.
The inspector can say that there are some items the facility
might want to recheck for compliance. An example would
be: "You might want to check regulation x governing
label requirements."
The inspector can say that he or she thinks he or she did
not discover matters that he or she personally felt were
violations of law or regulations, except certain items about
which an "institutional" decision has not yet been made by
Some programs now have inspectors issue citations for
certain violations. This practice may seem counter to the
admonition against telling the facility its status
immediately; however, such citations are carefully worded
so that future action by EPA never is precluded or
compromised.
Overhead 16-A
Never Say . . .
An inspector never should say "everything checks" or
"there are no violations."
EPA.
16-2
JULY 1997
-------
INSTRUCTOR NOTES	SUGGESTED CONTENT
There are several reasons, for the protection of both the
inspector and any potential government case, for EPA's policy
of not telling facility managers immediately whether violations
were or were not found
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 that there is a violation, the
company might spend money on new equipment to try to
attain compliance. The company might attempt to hold the
inspector liable for the costs if it becomes evident later that
there was no violation
The inspector has not had time to reflect on everything that
was observed.
Results of laboratory analysis of the samples collected
during the inspection will not be available for some time
The intricacies of the laws and regulations EPA enforces
do not lend themselves to "off-the-cuff answers.
Findings of the inspection may represent only one portion
of an enforcement case.
Can I See (or Copy) Your Notes?
Officials of the facility know that you have been taking notes.
Sometimes they will ask to see or copy them.
EPA policy is that representatives of facilities are not to see
notes in the absence of a FOIA request. (The request often is
complied with, but EPA has a 10-day period to decide and to
respond.) Do not let facility staff see notes on site.
Receipts
Some statutes require that EPA issue receipts for samples,
documents and other evidence also may be listed on the
receipt. The receipt should include
Descriptions of all physical samples taken
16-3
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Descriptions of all records, photographs, or other property
The receipt is especially important when the inspection is
carried out under a warrant The detailed receipt protects EPA
by showing that officials of the facility know exactly what was
taken; it also facilitates confidentiality claims.
When the statute provides for confidentiality claims, the
closing conference — and the receipts — provide an opportunity
for officials of the facility to make such a claim.
Are there any circumstances under which an inspector
should tell a company that it definitely is in violation?
Do any of the offices or programs in your Region issue
"deficiency notices" while on site? Immediately upon
return to the office? What are the advantages and
disadvantages of doing so''
taken
Use these questions to
stimulate discussion.
Discussion Questions:
16-4
JULY 1997
-------
Never Say
•	"Everything checks"
or
•	"There are no violations"
-------
17
-------
Notes






-------
SESSION 17
TOPIC: INSPECTION REPORT
INSTRUCTOR'S OVERVIEW
Time: 90 minutes
Purpose
Key Points
Advance
Preparation
Equipment
List of Visuals
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
The inspection report should be factual, free of opinions and
conclusions of law
The report should explain in detail what happened during the
inspection and substantiate in full any potential violations.
Several options are given for this 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 evaluation; if you select that
option, remember to notify trainees in advance.
Overhead projector
Flip chart

17-1
Inspection Report
17-2
Write To Express - Not 1
17-3
Keep it Simple
17-4
Keep the Reader in Mind
17-5
Who''
17-6
What9
17-7
When9
17-8
Where7
17-9
Why7
17-10
How7
17-11
Avoid the "It" Habit
17-12
Avoid Vague Reference
17-13
Be Concise
17-14
Use Active Voice
JULY 1997
-------
SESSION 17
TOPIC: INSPECTION REPORT
INSTRUCTOR'S OVERVIEW
Time: 90 minutes
List of Handouts
17-15
Use Action Verbs
17-16
Be Concise
17-17
Be Coherent
17-18
Answer to Request for Information
17-19
Beginning a Report
17-20
Reporting Interview Results
17-21
Reason for Inspection
17-1
Inspection Report Evaluation Guide
17-2
Sample Inspection Reports
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
In this summary, it is assumed
that trainees were given the
inspection reports before the
session If they were not,
allow time for thorough
reading of the reports, rather
than the review called for here.
Overview 17-1
Inspection Report
Introduce yourself, mentioning your background and
experience and your role in this course.
Today, we have a long session about 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 evaluate the inspection reports
that you read last night.
LECTURE AND
DISCUSSION
OFFICIAL FILES
The official files related to an inspection comprise EPA'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 found in the official files for the
facility or site being inspected Such records include permit
applications, previous inspection plans and reports, site maps,
plans, drawings, and descriptions.
The inspection file usually contains all the records associated
with an inspection; the inspector is responsible for creating the
file and ensuring its completeness and accuracy. Case
development personnel must have a complete file to review
when deciding whether enforcement responses are appropriate,
and, if so, what kind All material in official files should be
factual; such material should not contain opinion or other
extraneous comments.
Ask the group to list the items
that should go into the official
file for the inspection record.
Record the list on the flip
chart. Be sure to include any
items in the Suggested Content
column that are not listed by
the group.
The types of records that should be kept in the inspection file
include:
Inspection requests (if issued)
Communications such as official correspondence and
records of telephone and personal conversations
Notices of inspection, if the statute requires that a written
notice be presented
17-1
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Verification of credentials, if the statute requires
presentation of credentials to the owner or operator
Inspection confidentiality notice for all inspections
conducted under TSCA
Declaration of confidential business information, if the
facility has claimed that materials are confidential
Confidentiality clearance references, as required under
TSCA
Receipts for samples and documents
Inspection report form
Narrative inspection form
Other evidence
Custody records
Laboratory analyses, if applicable
Subpoena, if issued
Warrant, if issued
Field logbook
LECTURE AND	THE EFFECTIVE INSPECTION REPORT
DISCUSSION
Proper documentation of an inspection is a key aspect of an
inspector's job. It is the vehicle through which the inspector
communicates his or her findings from the inspection. If your
report does not communicate your findings well — clearly,
accurately, and convincingly ~ you have wasted your time, and
the environment will suffer. If you discover evidence that
indicates senous violations, but your report fails to include the
information that allows that case to be made, the facility
probably will be able to continue its violation If, on the other
hand, you prepare a highly effective report, EPA probably will
be able to take strong action and obtain a favorable settlement
or court decree.
17-2
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
In other words, nothing else 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 time when analysis of
samples and other data collected during the inspection has been
completed. An inspection report must be complete and
accurate, because it will provide the basis for potential
enforcement actions and might 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.
Ask the group to identify the
reasons why the inspection
report is important. Record
answers on the flip chart. Be
sure the points in the
Suggested Content column are
listed if the group does not
identify them.
A report is a written record of the results of the inspection
and provides the permanent record that may be used later
as evidence itself or to refresh the inspector's 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 inform fully other
inspectors who may become responsible for subsequent
inspections.
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 inspection or report, or the opportunity to
verify violation may be lost altogether because of inability
to reconstruct the evidentiary foundation for an
enforcement action
17-3
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
The report should identify the processes or areas of the
facility that were not examined, if any. That information
will provide assistance for future inspections; it also will
make clear the extent of the evidentiary foundation for any
enforcement action that might be based on the report
The report should discuss pertinent conditions. For
example, the inspector should include facts about the
background of a witness if those facts reflect on the
credibility of the witness. Small details that the inspector
ordinarily would not recall six months to a year after the
inspection also should be included.
Finally, as one long-time EPA manager said: "The quality
of your inspection reports can make or break your career."
Essentials of Good Reports
Factual. The report should contain only facts. No
opinions, particularly about 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
saw someone loading bags marked "toxic chemicals."
Avoid the use of 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 about the compliance
situation. Tips to help you ensure the completeness of a
report include:
Each individual should be identified completely by first
name, middle initial, and last name, the first time they
are mentioned in a report.
The chronology of occurrences should be stated
clearly
The location of the occurrences should be identified
specifically
17-4
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
The reason a situation occurred is particularly
significant with respect to violations for which intent is
an element of the offense and should be stated
specifically in the report
Source. Always report the source of evidence
Exhibits: The report should be complete in that it is one
single document.
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	CHECK LISTS OR NARRATIVE REPORTS
Some EPA offices use check lists in lieu of narrative reports
for routine inspection reports. There are arguments both for
and against the use of check lists.
Proponents of checklists favor them for routine inspections
because
They remind inspectors of items to look for, SOPs to use,
and other factors.
They provide a bare-bones record of what happened.
Their use reduces 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 check
lists plus narrative reports) find them valuable management
tools and legally the safest approach.
17-5
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
As management tools, narrative reports serve the following
purposes:
Ensure the inspector knows how to inspect and how to
report and regularly does so correctly
Provide a baseline for tracking the long-term conduct of a
particular entity
Provide the inspector with experience in writing narrative
reports, increasing the inspector's personal proficiency
Preparation of the report forces the discipline of
writing down notes on activities and observations
The notes are analyzed and reflected on several times
during the preparation of a report (first on occurrence,
second when writing them down, and third when
typing them).
The mental reflection involved in preparing a report
reinforces an inspection attitude in the inspector.
A check list provides very sketchy information; if the
inspector should leave EPA, the agency will have only a
limited record of what was learned.
Legal considerations are crucial, affecting whether an
inspection report can be admitted as stand-alone hearsay
evidence.
A check list has little weight or credibility. It is difficult
to authenticate because check marks cannot be identified as
handwriting can.
A check list does not contain enough information to stand
on its own.
In short, "He who uses a check list can expect to be cross-
examined."
Unless the inspector has really good notes in the field
logbook, the inspector's testimony is not likely to be
credible.
17-6
JULY 1997
-------
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 affecting check lists as a bare-bones record
indicates problems related to admissibility on such bases
as:
Scarce or incomplete information
Lack of proof of how the record was made
Failure to identify the observations the record was
based on
Conversely, case law affecting narrative reports indicates
that such reports can be admitted as stand-alone hearsay
evidence (that is, without the testimony of the inspector).
Several FREs governing exceptions to the hearsay rule
apply if it is routine practice to make narrative reports.
Use of a check list alone is very risky
Hindsight can never cure an inspection report that has less
in it than prudence would counsel
The inspector may forget important observations,
statements, or corroborating details.
The inspector may have left EPA by the time a case comes
to trial; in such circumstances, a check list is of almost no
value.
The inspector may have little independent recollection of
the inspection, but the check list will not be admitted by
the court because it contains little or no information
recorded in the inspector's own hand.
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 check list that provides adequate space for inclusion of
handwritten details is preferable to a check list that does not
provide such space, but a narrative report is still better
17-7
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
An acceptable alternative to writing down notes during the
inspection is to dictate the details of the inspection into a tape
recorder.
DISCUSSION
EVALUATION OF INSPECTION REPORTS
Distribute the Inspection
Report Evaluation Guide
(Handout 17-1) Using the
guide, explain the various
elements of an inspection
report and why they are
necessary. Allow time for
questions and discussion.
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 if organized
in some other way - for example, by grouping data about a
particular suspected violation.
No matter what organization structure is used, the inspection
report should contain sufficient information to answer the
questions in the evaluation guide I am distributing
LECTURE
TIPS FOR WRITING AN INSPECTION REPORT
Use the overheads to illustrate
the principles of good writing.
Overhead 17-2
Write to Express
Overhead 17-3
Keep it Simple
Overhead 17-4
Keep the Reader in Mind
Overhead 17-5
Who?
In general, three rules apply to the 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
the individual's first name, middle initial, and last name, if
possible.
The individual should be identified by a brief descriptive
phrase identifying who that person is (for example, plant
manager, neighbor, or employee)
A complete description of the person should be given if
the name or other identifying information is not available
17-8
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 17-6	The "what" in reports:
What?
What happened? The report does not present what could
have happened or might have happened. It presents what,
to the inspector's knowledge, actually happened
Overhead 17-7	The "when" in reports.
When?
The when is the date and time of the observation, or an
approximation if the exact time is unknown. Time usually
is not of great importance, except in reporting an observed
event (for example, a process upset or a sampling
procedure)
Overhead 17-8	The "where" in reports:
Where?
A definitive place, to the exclusion of all other places,
should be identified clearly so that there is no confusion or
misinterpretation
Overhead 17-9	The "why" in reports:
Why?
This factor is the most significant with respect to violations
for which intent is an element of the offense (potential
criminal violation). In such cases, the report writer's
objective is to set forth the facts that demonstrate intent
with such clarity that there is no need for the inclusion of
the inspector's conclusions or opinions to be in the report.
If an individual states why he performed an act, the report
would be factual in stating: "Jones said that he dumped
the material because...."
Overhead 17-10	The "how" in reports:
How?
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 of indefinite
pronouns causes ambiguity, statements beginning with "it
is" or "there are" should not be substituted for precise
wording
Use active voice and avoid vague reference, which also
causes ambiguity.
Overhead 17-11
Avoid the "It" Habit
Overhead 17-12
Avoid Vague Reference
17-9
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 17-13
Be Concise
Overhead 17-14
Use Active Voice
Be concise. Conciseness is not omission of necessary
information; it is avoidance of all that is not essential.
Avoid passive voice
Overhead 17-15
Use Action Verbs
Use action verbs.
Overhead 17-16
Be Concise
Avoid wordiness Use short, simple sentences
Overheads 17-17
Be Coherent
Be sure your meaning is clear
Overheads 17-18 through 17-
21
Be clear and to the point Note the improvements in these
examples.
Avoid the use of jargon and explain abbreviations and
technical terms.
EXERCISE
CRITIQUE OF INSPECTION REPORTS
The purpose of this exercise is
to give inspectors experience in
evaluating inspection reports,
using the Inspection Report
Evaluation Guide (Handout 17-
1)
The instructor materials contain
three actual inspection reports
as a handout (Handout 17-2).
Critical comments from
supervisors about these reports
are included in the Suggested
Comment column. (You may
wish to substitute one or more
reports from your own Region
or ask each trainee to bring a
recent report of his or her
own )
Give the instructions for the
exercise and make group or
partner assignments before
Explain how this exercise will be conducted, including the
time that individual reading time (or group discussion, as
appropriate) will end
17-10
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
breaking for lunch. Those who
have not read the reports then
will have some extra time to
do so In addition, discussions
can begin over lunch among
those who have already read
the reports.
There are several ways to
conduct this exercise In any
approach, be sure to leave
enough time for discussion of
what was learned.
Option A Distribute the three
inspection reports the night
before this session is presented
so that trainees can read them
before class Doing so will
limit the amount of class time
needed for reading and will
allow for each trainee to
become involved in evaluating
all three reports.
Report A: Castings Manufacturing, Inc.
What problems did you identify in this report7
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
No documentation of proper entry — they may have been
trespassing
No observations reported about conditions inside facility
Mr. Apple and Mr. Banana not well identified (title)
Mr. Donut not well identified (title)
Reason for discarding one jar not specified
Inconsistencies between text and table
Poor sketch (no scale and name of road)
Date of analysis not provided
If you were this inspector's supervisor, what would you tell
him or her9
17-11
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Option B Separate the
trainees into three groups, and
have each group focus on only
one report during the class
Meet with each group to
provide comment. Then
conduct a wrap-up discussion
during which highlights of each
group's evaluation are
presented This approach
allows time for more in-depth
analysis, but sharing of views
among groups is limited.
Relevant authorities consulted
Chain of custody established
What problems did you identify in this report?
The narrative reports some sample locations imprecisely;
the table is clearer.
The report contains opinion and conjecture.
No diagram of facility is provided.
The inspector did not sample some dry material that was
being removed
The report does not identify Mr Lip clearly
The report does not describe proper entry or presentation
of credentials.
Report B: Gritty Wrecking
What are the good aspects of this report''
Thoroughness
Day-by-day sequence
Complete attachments
Description of neighborhood included
Many photographs included
Option C Ask each trainee to
bring in a recent inspection
report he or she wrote. Each
trainee would be paired with
another to evaluate and then
comment on the reports. The
advantage of this approach is
the personal interaction. The
disadvantages are that some
trainees may not yet have
prepared an inspection report
If you were this inspector's supervisor, what would you tell
him or her"7
Report C: Vigil Corporation
(No supervisor comments available)
What are the good aspects of this report?
What are the weaknesses in this report?
17-12
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
and others may find the
approach threatening. This
option also requires notice to
trainees before the course
Option D. Briefly evaluate the
inspection reports provided and
then use the approach
described in Option C
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. The comments can
be used to help stimulate group
discussion and to determine
whether trainees identified the
same problems with the reports
or focused on different aspects.
If Option C or D is used,
provide time for trainees to
discuss what they learned about
their own (not their partner's)
inspection report.
Trainees Own Reports
What did you leam about your own reports? Discuss strengths
and weaknesses
17-13
JULY 1997
-------
HANDOUT 17-1
INSPECTION REPORT EVALUATION GUIDE
The organization and format of an inspection report can vary, according to the practice of the office or
program under which the inspection is conducted, 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 answer the following questions
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 or site?
What is the mailing address and telephone number of the facility or site''
What is the name and title of the responsible official who was contacted?
What was the reason for the inspection (for example, routine, response to a complaint, or for cause)''
What are the names and titles of all of the government personnel who participated in the inspection9
Entry and Opening Conference
What are the facts about the entry (date, time, entry location, and 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 that information is
confidential?
Were there any unusual circumstances concerning gaining consent to enter (for example, reluctance,
attempts to limit the scope of the inspection, or attempts to place special requirements on inspectors)''
How were such circumstances handled?
Who was present at the opening conference'' What topics were discussed?
1
JULY 1997
-------
HANDOUT 17-1
Background of the Facility or Site
What is the type of the facility or site?
What types of activities and operations lake place at the facility or site''
Who owns the facility or site (for example, a corporation, an individual, a partnership, a federal or
state agency, or a nonprofit organization}?
How many years has the facility been in existence?
How many employees work at the site?
Have any major modifications been made at the facility? Are any modifications or expansions
planned7
At what level of capacity is the facility operating? For how many shifts does it operate, and how
many hours per day and days per week? What relationship does this information have to the
inspection that was performed?
Which operations, processes, and activities at the facility were examined during the inspection?
Which operations, processes, and activities at the facility were not examined9
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 records of the facility were reviewed?
How were the specific records selected for review (was an auditing technique used or were all
records reviewed)?
Are photocopied records or data manually copied from records adequately identified and
documented?
Were any suspected violations found? (Each should be fully documented, making sure that all
the information required for the section set forth below on suspected violations is included.)
Physical Sampling
What was the inspector's sampling plan for the facility or site7
What physical samples were collected at the site?
2
JULY 1997
-------
HANDOUT 17-1
Are the sampling techniques used explained adequately?
Are all samples clearly linked to an identification number, location, and purpose"'
Are sampling conditions and other physical aspects of the sample (for example, color, texture,
and viscosity) described7
Were any deviations from the sampling plan or SOPs explained and documented adequately''
Are chain-of-custody procedures documented?
Are the results of laboratory analysis presented clearly7
How do the results of analysis of samples compare with limits set forth in the facility's permit?
Illustrations and Photographs
Are photographs taken during the inspection included and properly documented?
Is there some information about the inspection that could be made easier to understand through
the inclusion of a diagram or sketch?
If sketches, diagrams, or maps are used, is the scale or other relationship shown clearly7
Interviews
What are the names and titles of officials of the facility and other personnel who were
interviewed?
Are their statements summarized clearly?
What are the names and addresses of any other individuals who were interviewed or who were
witnesses?
Closing Conference
Does the report include documentation that required receipts for samples and documents was
provided?
Does the report include documentation that officials of the facility were given an opportunity to
make confidentiality claims7
Does the report note statements the inspector made to officials of the facility about compliance
status, recommending actions to take, or other matters?
Documentation of Suspected Violations
The heart of the inspection report is really the documentation and substantiation of suspected
violations, which allows EPA to determine whether a violation occurred, how and why it occurred, and
3
JULY 1997
-------
HANDOUT 17-1
its seriousness This substantiating information includes all the evidence of various kinds that has
been collected In an actual inspection report, some of the questions on the preceding pages might be
answered in the portion of the report that discusses the evidence collected and other particulars of each
suspected violation.
Documentation of Suspected Violation
For each suspected violation, the inspection report should answer the following questions'
What regulation does the inspector suspect has been violated9
What information proves that the cited regulation applies to the facility or site?
According to the elements of the regulation, what information proves that the suspected violation
occurred7
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 apply7
Cause of Violation
Note: Not all programs require this information, but it may be useful, even when it is not
required, for such purposes as negotiating an appropriate remedy and penalty and
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 (for example, direct observations
of gauge readings, production logs, physical appearance of materials, or statements by facility
personnel)?
Is there any supporting information that confirms or disproves a possible claim of an upset or
other exempt activity7
Other Mitigating and Aggravating Factors
The level of enforcement response is based on the seriousness of the violation. Amounts of civil
penalties are based on the gravity and circumstances of the violation, which is usually a
calculation of the extent of the violation (amount of material involved) and the extent of the
actual or potential harm that was or could be caused by the violation. The base penalty can be
adjusted upward or downward because of 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
calculating a penalty
What is the seriousness of the violation (for example, amount of emissions, length of time of
excess emissions, nature of emissions, location of source, and perceived effect on the public)?
4
JULY 1997
-------
HANDOUT 17-1
What harm resulted or could result from the violation9
What efforts did the facility make to correct the violation''
How difficult will it be to comply (considering such factors as availability of technology, cost of
complying, and time required to correct the violation)?
What is the facility's past compliance history?
5
JULY 1997
-------
HANDOUT 17-2
SAMPLE INSPECTION REPORTS
This handout contains samples of actual inspection reports, only the names have been changed Each
report is of acceptable quality, although each has both strong and weak points
Using the Inspection Report Evaluation Guide, evaluate the sample reports
How well does each of these reports meet the criteria in the evaluation guide?
What are the strengths of each report9 What problems can you identify9
Which report provides the strongest support for case development? The weakest? Why?
If you were the supervisor of report writer A, what comments would you make on the
report? To writer B?
1
JULY 1997
-------
HANDOUT 17-2
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 arc 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
S13, the third jar was discarded and the last two jars were composited and split as sample S12. At the
very end of the dump a quantity of dry EAF dust was observed to float out on top of the discharge. A
sample of this dry material (S11) was collected from the top of the dumped material after it was on
the ground All samples collected except D09, S14, and S15 were split with the facility The
sampling results can be found in Attachment 1 Samples D09, SI 1, and S14 were all found to exceed
the EPA toxicity limit of 1 ppm for cadmium and 5 ppm for lead
2
JULY 1997
-------
HANDOUT 17-2
Figure 1 - Landfill
August 647, 1986
NO SCALE

2'VO L*°D
U v*	^
x. ($°rj
^XTi/AF
fl^fP #- >
(y/#- jiw)
p)LL
3 t
-------
HANDOUT 17-2
TABLE I
Sample Locations
August 6 4 7, 1986
STA.
NO.
DATE
1986
TIME
COMPOSITE
STATION
GRAB LOCATION
SOI
8-6
1006
X
Waste pile from load #2
SO 2
8-6
1030
X
Waste pile from load 11
so5
8-6
1327

X Carrier blast dust collector
SO 4
8-6
1338

X Knockout dust collector
S05
8-6
1415

X Cabinet blast dust collector
S06
8-6
1425

X Tumblast dust collector
S07
8-7
1045

X Soutn End sand system
S08
8-7
1100

X Sand «asn and wet scrubber slurry
S09
8-7
1100

X EAF dust (duplicate)
S10
8-7
1300

X EAF dust
Sll
8-7
1420

X After dump (dust/slurry mixture)
S12
8-7
1418
X
Last ha)f of dump "
S13
8-7
1414
X
First half of dump "
SI 4
8-7
1410

X Core of load "
S15
8-7
1700

Blank
4
SEPTEMBER 1995
-------
ANALYTICAL RESULTS Of AUGUST 6 AMD 7. 1986
(all results are In ppm)
Sample
Number

Ba
Cd
Cr
Pb
As
Se
Ma*Imum
Contaminant Level
for EP Toxicity:




5.0
100.0
1.0
5.0
5.0
5.0
1.0
86ER10







S01
<0.006
0.047
<0.01
<0.008
<0.07
<0.002
<0.02
S02
<0.006
0.058
<0.01
<0.008
<0.07
<0.002
<0.02
S03
<0.006
0.028
<0.01
<0.008
<0.07
<0.002
<0.02
S04
<0.006
0.150
<0.01
<0.008
<0.07
<0.002
<0.02
SOS
<0.006
0.049
<0.01
<0.008
<0.07
<0.002
<0.02
S06
<0.006
0.114
<0.1
0.08
<0.7
<0.002
<0.002
S07
<0.006
0.118
<0.01
0.00892
<0.7
0.006
<0.002
S08
0.006
0.114
<0.01
<0.008
<0.07
<0.002
<0.002
009
<0.006
0.950
4.32*
<0.08
14.1*
<0.002
0.012
S10
<0.06
0.796
4.3*
<0.08
14.5*
<0.002
0.04
Sll
<0.06
0.329
1.01*
<0.08
24.4*
<0.002
0.007
SI?
<0.006
0.130
0.0269
0.009
0.229
<0.002
<0.002
sn
<0.006
0.836
<0.01
<0.008
<0.7
<0.002
<0.002
S14
<0.006
0.715
3.13*
<0.08
11.3* •
<0.002
0.025
S15





<0.002
<0.002
•ConcentratIon over maximum contaminant level.
SAMPLING
Hg Fluoride Phenol Cjranlde
0.?
<0.0001	0.04
<0.0001	0.07
<0.0001	0.1
<0.0001	0.1
<0.0001	0.2
<0.0001	0.1
<0.0001	0.2
<0.0001	0.2
0.0005	2.0
0.0004	1.5
0.0004	1.0
<0.0001	0.28
<0.0001	0.2
0.0036	2.0
2.7
<1.0
6.8
<1.0
4.6
<1.0
37.8
2.0
15.2
<1.0
7.3
<1.0
68.2
2.0
15.6
<3.0
3.2
<1.0
3.3
<1.0
10
<3.0
16.5
<4.0
30.7
<3.0
2.2
2.0
-------
HANDOUT 17-2
INSPECTION REPORT B: GRITTY WRECKING
December 2, 1987
NESHAP Asbestos Demolition Inspection -- Gntty Wrecking,
Urban, Michigan (A24535:00)
K Eagle, Environmental Engineer
THRU J Medium
Engineering Section 5AC
ATTB: 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
buildings 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.
6
JULY 1997
-------
HANDOUT 17-2
On the morning of October 22, 1987, a call was made to the EDO from a contractor who had bid on
this particular job bud 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 Gntty 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,
1987,1 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 also was 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 again 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 Gntty 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
Acting on the information obtained, I went to Smallerville, Michigan, to inspect the facility in
question. I arrived at the site at 1615 EDT 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
7
JULY 1997
-------
HANDOUT 17-2
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 and
the suspected FACM (Attachments 4, 5, and 6).
Friday. October 23. 1987
On October 23, 1987, at approximately 0915 EDT, I returned to the site to see if there was, in fact,
demolition m 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 EDT 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 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
8
JULY 1997
-------
HANDOUT 17-2
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 dunng 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% tremohte-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 also were 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 dumped 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.
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
9
JULY 1997
-------
HANDOUT 17-2
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 the 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, analyses of samples taken during ACM removal, and the
field data collection checklists, will follow m Mr. Lip's report.
10
JULY 1997
-------
r:
. s • <
KtntfCriON tClNCf
int iiami niuiocr
Hi kL>^«(*
st»ni*c o*/r^^^32. l*»	»>*if IQ'%%-%"] oof o*i
	/		Werti>				 Cf?T^ HI

t»i LOC
NV^II«
88c»QJ
j2£L
job
son
TilQPl
^r
5/0 3
mnm etidiMita
Hrtw&t^-TTuACt J
Lfi&^ ves&t'
tL^mr£
Of&J BflO /M*pe *K H£>,
_. 	OiTT^C*- Pun,
r»J t>*i inhbr aw
0>E
Pt.jjuKt+.r
Sf
tMlTIICK «M
mi
uc/t
¦ loinsii
Ml BUI
fflGTlO UV&£j*X> _ —/
¦ futii. " .	'»ln»itr_Ji»_(
Ww >£.fKocr^5#7S
WS/l^'r
i 3 ¦ 30 7 »
' tr *t»/0~"''*
«•/./¦# r#<»w fi _ -» e *j
5- 301 S-i
5"-3o 7*5"
5-3o7*L
sf
~/v/A
(V
T
jCmtlMACfOR.

TA<£. mo:
IkljUUAj i+L ^tiri ^
J^ryyfUjL fa	Uuw
Lf~tb^L- iM,
"jUjU- S^.A<^y - fjj1
-------
HANDOUT 17-2
Summary of Samples Taken
SAMPLE NUMBER
TIME
SAMPLE DESCRIPTION SAMPLE ANALYSIS RESULTS
OCTOBER 22. 1987
88EH01S01	1647 EOT On red bricks
331-401 Amosite
502	1655 EOT On pipe
«
503	1705 EDT On boards 1n rubble
S04
1730 EDT In rubble
321-351	Amosite;
81-121	Tremo)ite-Actinollte
201-251	Amosite;
51-101	Tremolite-Actinolite
351-401	Amosite
SOS
1736 EOT Brown fluffy
Negative
OCTOBER 23. 1987
88EH01S06
1210 EOT Where visible emissions 251-351 Amosite
observed during demolition
OCTOBER 26, 1987
88EH01S07
508
509
S10A
1330 EST Hanging on wall and on
floor in bulldlng 2
1343 EST Large vessel
1630 EST Slumped on catwalk in
building 3
251-351 Amosite;
11- 51 Tremolite-Actinolite
51-101 Amosite;
101-151 Chrysotile
251-301 Amosite
1640 EST Open bag 1n building 3 151-251 Amosite
S10R 1640 EST Open^bag 1n building 3 Not Analyted-Ory
Sll	1710 EST Open bag outside
sheet material
151-201 Amosite;
U- 51 Chrysotile
-------
HANDOUT 17-2
Summary of Pictures Taken
October
22, 1987:


EOT



Picture
1
1647
On bricks, outside Building 2, Sample SOI.
Picture
2
1647
Outside Building 2, tn rubble.
Picture
3
1655
Pipe lagging in Building 2, Sample S02.
Picture
4
1705
On boards, in rubote, in Building 2, Sample SO3
Picture
5.
1710
In rubble, in Building 2.
Picture
6 & 7
1712
On ground lri Building 2.
Picture
8
1715
Pipe lagging in Building 2.
Picture
9 i 10
1720
Bui 1ding 2.
Picture
11
1730
On ground in Building 2, Sample S04.
Picture
12 £ 13
1732
Pipes in Building 2.
Picture
14 - 21
1735-1815
Rubble in and around Building 2.
Pict ure
22
1820
View of demolition site from street.
October
23, 1987:


EOT



Picture
23 i 24
1210
Building 2, where visible emissions were observed



during demolition, Sample S06.
Picture
25
1515
Truck driven by Paul Garvaglia, asbestos bags in



back.
October
26, 1987:


EST



Picture
26 - 31
1320
Appearance of Building 2 after the weekend.
Picture
32 i 33
1330
Inside Building 2, Sample S07.
Picture
34
1335
Inside Building 3.
Picture
35
1343
Large vessel inside Building 3, Sample S08.
Picture
36 & 37
1345
Pi pes i n Bui 1di ng 3.
Picture
38
1400
Rubble outside Building 2.
Picture
39 & 40
1405
Outside Building 5A.
Picture
41 - 45
1410
Bags outside, against fence. Sample Sll.
Picture
46
1630
ACM slumped on catwalk in Building 3, Sample S09.
Picture
4 7 S 48
1640
Open Dag of dry FACM in Building 3, Sample S10.
Picture
49
1655
Pallets m Bui1ding 5.
-------
Inspection Report
•	Official files
•	Effective inspection reports
•	Check lists or narrative reports
•	Tips for writing inspection
reports
Text: Chapter 17
-------
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.
-------
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.
-------
Keep the Reader in Mind
PROBLEM:
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 more than 90 days
after use of the unit for manufacturing
had ceased.
-------
	Who?
PROBLEM:
The degreaser mechanic
BETTER:
Elvis Ferguson, the degreaser mechanic
-------
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.
-------
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.
-------
Where?
WRONG
The tank behind the warehouse
RIGHT
The 1,000-gallon tank used to store
chloride catalyst before it is recycled
-------
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 per day
are generated by the #2 production line.
-------
How?
WRONG
Appropriate drums are used to avoid
corrosion.
RIGHT
The facility neutralizes hydrochloric acid
on detergent line #1 in plastic "poly"
drums.
-------
Avoid the "It" Habit
WRONG
I inspected tank A, still B, and lagoon
C. It was overflowing and its secondary
containment was inadequate.
RIGHT
I inspected tank A, still B, and lagoon C.
Lagoon C was overflowing. The secondary
containment around lagoon C was not
capturing all the overflow.
-------
Avoid Vague Reference
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.
n
A
17-12
-------
Be Concise
WRONG
Write your sentences as short as you possibly
can and avoid complicated terminology.
RIGHT
Use short sentences and avoid unnecessarily
complicated terms.
17-13
-------
Use Active Voice
PROBLEM:
It is recommended ...
BETTER:
I recommend ...
-------
Use Action Verbs
PROBLEM:
Distribution of pay checks is accomplished
by the Treasurer's office.
BETTER:
The Treasurer's office distributes
paychecks.
-------
Be Concise
PROBLEM:
It is not considered that a detailed
examination is necessary.
BETTER:
Detailed examination is not necessary.
-------
Be Coherent
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.
-------
Answer to Request
For Information
PROBLEM:
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.
E
17-18
-------
Beginning a Report
PROBLEM:
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, December 5,
1968, was in Greenville, Illinois.
BETTER:
This report concerns an alleged violation of Section
301, Title III, of the Clean Water Act, by the municipal
wastewater treatment plant in Greenville, Illinois. The
plant exceeded the limits of its NPDES discharge permit
on December 5, 1968.
17-19
-------
Reporting Interview Results
PROBLEM:
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:
17-20
-------
Reason for Inspection
PROBLEM:
It was reported by the Regional Office on November 30,
1968, that a letter was received bearing no signature
containing the following information, "Mr. Administrator,
something from that Greenville treatment plant smells bad,
tastes worse, and is killing fish downstream." The letter,
which had been prepared on a typewriter, apparently had
been mailed in an envelope whicn was marked with a
postmark of November 29, 1968. The letter and the
envelope, which were addressed to the Administrator, are
attached hereto and numbered as Exhibits 1 and 2.
BETTER:
On November 30, 1968, the Regional Office reported that
it had received an unsigned, typewritten letter (Exhibit 1)
in an envelope (Exhibit 2) addressed to the Administrator
and postmarked November 29, 1968. The letter stated:
"Mr. Administrator, something from the Greenville treatment
plant smells bad, tastes worse, and is killing fish
downstream."
17-21
-------
18
-------

















V




































-------
SESSION 18
TOPIC: ADMINISTRATIVE PROCEDURES
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose
Respond to questions concerning administrative procedures.
Key Points
Advance
Preparation
Advance
Preparation
Equipment
List of Visuals
List of Handouts
Note: This session is not long enough to cover all administrative issues —
it is essential that trainees read Chapter 10 in the manual before the
session. Further, this session concentrates on federal administrative
issues; state employees should check with their individual administrative
officers to determine their specific requirements. Nevertheless, this
session is generic enough to apply in most cases to both federal and state
inspectors
•	Anticipate administrative needs in advance and obtain the proper
forms, authorizations, and signatures, and meet other requirements
•	An inspector can be held financially liable for unauthorized purchases.
•	Refer to specific text reference. Chapter 10.
•< Review your office's administrative procedures.
•	Prepare a handout (three-hole punched for insertion into the text
notebook) that provides names, telephone numbers, and addresses of
people and organizations that ^inspectors should contact for information
or approvals of administrative matters.
•	Prepare handouts as needed,on administrative procedures of the
Region or of particular offices.
-* Review the case.
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction
Introduce yourself, mentioning your background and
experience and your role in this course.
If state inspectors are present,
the appropriate changes and
additions should be made.
This session primarily addresses federal administrative issues.
QUESTION-AND-ANSWER
SESSION
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. Since inspectors must make
decisions in the field about such issues, it is important that
they be familiar with correct administrative procedures, as
well as technical and legal procedures. As most of you know,
failure lo comply may result in denial of reimbursement.
The importance of preinspection planning cannot be
emphasized too strongly. It is far easier to comply with
administrative requirements if needs for tickets, equipment,
shipping of samples, boat rentals, and other items, are
anticipated. With advance planning, the necessary forms can
be obtained, filled out, and signed. Any questions'you may'
have can be answered. Chances oferrors are reduced greatly.
Even with good advance planning, unanticipated purchases
may be necessary while you are on the road. It is important
that you know what to do in such a case, because you may
have difficulty"getting reimbursed for unauthorized purchases.
You also must be familiar with procedures for changing travel
plans.
Some employees on an inspection might be entitled to
overtime pay, hazardous dutypay, or other special
compensation. Familiarity with pay administration can help
you in planning and budgeting:
Once you arrive back at the office,- it is essential that you
promptly complete travel vouchers and any otherKinfinished
administrative paperwork associated with the trip. If you fail
to submit travel vouchers within the time required, you might
be prohibited from receiving travel advances in the future.
18-1
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Each inspection will present unique travel and procurement
needs. A skilled inspector is able to anticipate those needs, as
well as adapt to changes in the field, and knows hgtv to
perform the administrative steps to ensure efficient processing
of the required paperwork.
Ask the group for questions.	Discuss any questions about:
Proceed through the list topic
by topic.	• Travel
Authorizations
Cash
Airline tickets
Hotels
Vehicles
Reimbursement vouchers
•	Pay administration
•	Procurement
Distribute handout(s) of
Regional contacts and Regional
procedures.
EXERCISE	ADMINISTRATION CASE STUDY
Many of you already are 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.
Overhead 18-1	As you work through the case study:
Case Study Questions
•	.Identify alt items that require an administrative action and
describe what kind of action is needed. Be prepared to
discus^ some of the trickier procedures.
•	Determine what steps might have been taken as soon as
the problem was discovered that could have reduced the
concision, rather than waiting for a final decision about
how to proceed
18-2
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Hand out the case study.
Remain in the room to answcT
any questions.
Acknowledge that 15 minutes
was not enough time to
complete the exercise. Ask the
group to discuss Question 1,
listing the administrative items
required for the trip; the
Suggested Content column lists
items that should be included if
they are not identified by the
group. Record items on the
flip chart.
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 on each of the questions. I will
notify you when you have only five minutes remain. Are
there any questions?
1. Identify all items that require administrative action.
Items listed should include:
•	Fly to Pocatello
Prepare travel authorizations
Order tickets
Make hotel reservations
Make vehicle reservations
Obtain travel advance
•	Make shipping arrangements
Ship equipment, bottles, and supplies
Ship special analyzer
Ship samples to laboratory
Ship equipment back to office
•	Prepare procurement requests
Lease of fluorometer
Purchase of special dye
Services of consultant
Lease of boat
Lease of helicopter
Safety equipment for crew
•	Consider pay status
Overtime
Compensatory time
Hazardous duty pay
•	Plan for purchases in the field
Shovels
Ice
Replace instrument
Repair of boat propeller
18-3
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Complete the discussion by
asking the group how some of
the last-minute planning might
have been avoided (Question
2).
•	Arrange for change in travel plans
Purchase new tickets
Make airline, car, and hotel or motel ^reservations
•	Submit documents, file vouchers, and seek
reimbursement
Travel vouchers
Government Travel Request (GTR)
Reporting of purchases in the field
•	Identify travel options
•	Assess equipment needs (include helicopter or boat)
•	Identify potential suppliers
•	Locate analyzer and investigate transportation options
•	Identify consultant
18-4
JULY 1997
-------
HANDOUT 18-1
ADMINISTRATION CASE STUDY
The Problem
On May 1st, the Regional ahd ldaho Operations Office learned of a potential illegal hazardous water
discharge or dumping. The alleged incident was affecting 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 inspection, (2) ask industry XYZ to examine its own problem, or (3) agree upon a
joint study with the state agency.
On May 15th, a local environment group contacted its legislative representative, who in turn notified
the Regional Administrator of the urgency of the pollution problem. The Regional Administrator
requested that a study of the source and receiving water be conducted within the next three days to
determine the extent and nature of the problem.
Preinspection Activities
Immediately, the staff of the Regional and Operations Office frantically began to develop a plan of
study, work out logistical problems, assemble equipment, and coordinate activities with state and local
agencies. Two Fair Labor Standards Act (FLSA) exempt and one nonexempt employee worked one
day on the weekend and two hours extra for two regular days to prepare for the study. The plan they
developed included the following activities:
Field staff would fly to Pocatello, rent vehicles, and drive to the site.
Equipment, bottles, and supplies would be shipped to the airport and transported to::the.site by
the field staff.
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 fluorometer and purchase a special type of dye, since a dye study may be
required. In addition, a special analyzer must be borrowed from another Region, but the
Regional and Idaho Operations Office must pay freight costs. A consultant must be hired, at
an estimated $1,000.00, to operate the analyzer during (he study.
Because of the remoteaess of the site, a boat must be leased to conduct a study of receiving
water. Because the sample holding time would be short, a helicopter would be needed to
transport samples to Pocatello airport to be flown daily to the Manchester Laboratory.
- Staff were concerned about potential exposure to hazardous substances, either in the discharge
or along the banks of the lake. Diving or possible use of a self-contained breathing apparatus,
might prove necessary, if samples must be taken in the dump area.
1
JULY1997
-------
HANDOUT 18-1
On-Site Inspection Activities
During the inspection, the following activities occurred:
-	Four days of sampling took place.
-	The total cost of shipping the first day's samples from Pocatello 10 Sea/Tac Airport was
$50.00.
-	The cost of remaining three days' shipments varied from $90.00 to $300.00 per shipment.
-	While in the field, the inspector 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 inspection had been completed, all equipment and supplies were shipped to
Sea/Tac, and alt employees returned to Seattle by air. Two employees changed their flights
to travel to different approved locations than originally had been scheduled.
-	All results of analysis of samples from the dump-area were reported negative one month after
completion of the study.
INSTRUCTIONS
Your task is to:
1.	Identify all items that require an administrative action, and the kind of action required. Be
prepared to discuss the trickier administrative procedures and considerations involved.
2.	Determine whether steps could have beeh£4ken before a final decision was made' that would
have avoided some of the frantic last-minute planning.
2
JULY 1997
-------
Case Study Questions
1.	Which items require an administrative action?
What kind of action? What are the most
difficult administrative tasks involved?
2.	Could some of the last-minute planning have
been avoided? How?
-------
19
-------
Notes

—
	

	
i
		
-------
SESSION 19
TOPIC: EPA INITIATIVES
INSTRUCTOR'S OVERVIEW
Time: 90 minutes
Purpose
Key Points
Advance
Preparation
Equipment
Introduce the participant to EPA initiatives
Introduce the concept of multimedia inspections, including the
definition of the various levels of multimedia inspections
Explain pollution prevention and waste minimization.
Explain supplemental environmental projects.
Introduce the concept of environmental justice and the relationships of
pollution prevention, waste minimization, and supplemental
environmental projects to environmental justice.
The instructor should be familiar with the most current EPA
information on these initiatives
Overhead projector
Flip chart
List of Visuals
19-1
19-2
19-3
19-4
19-5
19-6
19-7 and 19-8
19-9
19-10
19-11
19-12
19-13
19-14
19-15
19-16
19-17
Overview: Multimedia Inspections and Enforcement
Definition of the Term Multimedia
Multimedia Compliance Inspections
Definition of a Holistic Approach
Advantages of the Team Approach to Compliance
Inspections
Disadvantages of the Team Approach to Compliance
Inspections
Advantages of Multimedia Inspections
Industry Comments
Other Issues
Disadvantages of Multimedia Enforcement Cases
Four Types of Multimedia Inspections
Team Skills Required for Type A Inspections
Team Skills Required for Type B Inspections
Team Skills Required for Type C Inspections
Team Skills Required for Type D Inspections
Four Types of Multimedia Inspections
i
JULY 1997
-------
SESSION 19
TOPIC: EPA INITIATIVES
INSTRUCTOR'S OVERVIEW
Time: 90 minutes
19-18
Overview of Pollution Prevention and Waste

Minimization
19-19
Waste Minimization
19-20
Source Reduction
19-21
Source Reduction
19-22
Source Reduction Goals
19-23
Source Reduction Techniques
19-24 and 19-25
Improvements in Process Efficiency
19-26
"Green" Purchasing
19-27
Substitution of Materials
19-28
Improvements of Supply System
19-29
Good Housekeeping
19-30
Preventive Maintenance
19-31
Recycling
19-32
What Can You Recycle?
19-33
The Environmental Management Hierarchy
19-34
Basic Waste Minimization Requirements of HSWA
19-35
Minimum Requirements for Inspectors for Waste

Minimization
19-36
Checking the Manifest
19-37
Checking the Biennial Report and Operating Record
19-38
Other Waste Minimization Language
19-39
Outreach
19-40
Further Actions To Promote Waste Minimization
19-41
Overview of Environmental Justice
19-42
Environmental Justice Defined
19-43
The Need for the Environmental Justice Program
19-44
Environmental Justice Program: Federal Response
19-45
Environmental Justice Program: EPA Initiatives
19-46
Environmental Justice Discussion Questions
19-47
Environmental Justice in Our Work
19-48
Supplemental Environmental Projects
19-49
Penalties
19-50
Factors Governing Penalties
19-51
Supplemental Environmental Projects
19-52
Evaluation of SEP Projects
19-53
Characteristics of SEPs
19-54
NEXUS and Legal Guidelines
19-55
Categories of SEPs
u
JULY 1997
-------
SESSION 19
TOPIC: EPA INITIATIVES
INSTRUCTOR'S OVERVIEW
Time: 90 minutes
19-56	Public Health SHPs
19-57	Pollution Prevention SEPs
19-58	Pollution Reduction SEPs
19-59	Environmental Restoration and Protection SEPs
19-60	Assessment and Audit SEPs
19-61	SEPs That Promote Environmental Compliance
19-62	SEPs for Emergency Planning and Preparedness
19-63	Unallowable SEPs
List of Handouts None
in
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Introduction	This module is intended to provide an overview of the
multimedia inspection and enforcement process After this
Overhead 19-1	session, participants should be able to define the term
Overview: Multimedia	multimedia; explain what the holistic approach is; and
Inspections and Enforcement	demonstrate a basic understanding of the team approach to
compliance inspections, enforcement uses, inspection
categories, targeting, resources, and the basic team skill
requirements needed at each level
LECTURE	INTRODUCTION TO MULTIMEDIA INSPECTIONS
AND ENFORCEMENT
Overhead 19-2	Multimedia refers to all of the environmental programs (for
Definition of the Term	example, air, water, hazardous waste, and pesticides) and all
Multimedia	the laws, regulations, or permits related to those programs.
Overhead 19-3
Multimedia Compliance
Inspections -
Encourage participants to share
their experiences — the number
of inspections (standard or
multimedia) that they have
participated in, length of
experience, types of inspections
(single or multimedia), team
participation in inspections, and
other aspects of their
experience
Overhead 19-4
Definition of a Holistic
Approach
Before showing the overhead,
ask participants to create a
definition
19-1
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Lead the participants in
developing a definition of a
holistic approach to performing
compliance inspections. The
definition you should aim for
should be similar to the one
presented here.
Overhead 19-5
Advantages of the Team
Approach to Compliance
Inspections
Lead a discussion during which
the trainees identify the
advantages of a team approach
to compliance inspections. It is
suggested that trainees develop
a list before the overhead is
displayed.
Use the short activity or
narrative provided to
illustrate the advantages of a
team approach to completion of
tasks over an individual
approach.
Overhead 19-6
Disadvantages of the Team
Approach to Compliance
Inspections
Lead a discussion during which
the trainees identify the
disadvantages of a team
approach to compliance
inspections After the trainees
developed a list, display the
overhead.
The best way to complete complex tasks is to form a team
composed of individuals who have the necessary expertise.
A holistic approach to compliance inspections is a complex
task that is best achieved through teamwork
19-2
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-7 and 19-8
Advantages of Multimedia
Inspections
Display the overhead that lists
the advantages of a multimedia
enforcement case. Ask the
trainees to add to the list.
Overhead 19-9
Industry Comments
Display the overhead that lists
the industry comments on a
multimedia enforcement case
Ask trainees to suggest other
likely comments from industry
Overhead 19-10
Other Issues
Display the overhead that lists
other issues related to a
multimedia enforcement case
Ask the trainees to add to the
list.
Overhead 19-11
Disadvantages of Multimedia
Enforcement Cases
Display the overhead that lists
the disadvantages of a
multimedia enforcement case.
Ask the trainees to add to the
list
19-3
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-12
Four Types of Multimedia
Inspections
Use the next four overheads in
a discussion of the importance
of teamwork and team skills
for each of the four types of
inspection. The references to
John Wayne are based on the
old adages about not being a
cowboy and doing things
unilaterally — feel free to play
up the reference as much as
you wish
Overhead 19-13
Team Skills Required for
Type A Inspections
Overhead 19-14
Team Skills Required for
Type B Inspections
All inspections can be grouped into four categories that display
increasing complexity, moving from Category A (a program-
specific compliance inspection) to Category D (a complex
multimedia inspection), depending upon the complexity of the
facility and the objectives of the inspection. Factors in
categorizing the inspection include the complexity of pollution
sources, size of the facility, process operations, pollution
controls, and the personnel and time resources required to
conduct the compliance inspection.
Different team skills are required for each of the four types.
Category A: These program-specific compliance
inspections are conducted by one or more inspectors. The
objective is to determine a facility's compliance status with
regard to regulations under a specific program.
Category B: These program-specific compliance
inspections (compliance with hazardous waste regulations)
are conducted by one or more inspectors. The inspectors)
should screen for and report obvious, key indicators of
possible noncompliance in other environmental program
areas.
Category B multimedia inspections have limited,
focused objectives.
- These inspections are most appropriate for smaller, less
complex facilities that are subject to only a few
environmental laws
The objective of the Category B inspection is to
determine compliance with regulations under a specific
program and to refer information from screening
inspections to other programs.
19-4
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-15
Team Skills Required for
Type C Inspections
Overhead 19-16
Team Skills Required for
Type D Inspections
The responsibilities of team
members are summarized in
Appendix C of the Multi-
Media Investigation Manual.
Category C Several concurrent and coordinated program-
specific compliance inspections are conducted by a team of
inspectors who represent two or more program offices
The team, headed by a team leader, conducts a detailed
compliance inspection for each of the target programs
Category C multimedia inspections address more
compliance issues than Category B inspections They
are more appropriate for intermediate to large facilities
that are subject to a variety of environmental laws
The objective of the Category C inspection is to
determine compliance in several targeted areas under
specific programs
Obvious, key indicators of possible noncompliance in
other environmental program areas should be reported
to the appropriate program
Category D: These comprehensive facility inspections
address not only compliance with targeted program-
specific regulations, but also attempt to identify
environmental problems that otherwise might be
overlooked. Category D inspections also look at facility
management systems to see if the management system in
place is sufficient to detect and prevent environmental
problems. The initial focus is normally on facility
processes to identify activities (such as manufacturing of
new chemicals) and byproducts or waste streams
potentially subject to regulation. The byproducts or waste
streams are traced to final disposition (on-site or off-site
treatment, storage, or disposal).
When regulated activities or waste streams are iden-
tified, a compliance inspection is made with respect to
applicable requirements. The inspection team, headed
by a team leader, comprises staff thoroughly trained in
different program areas. For example, a large
industrial facility that has a number of process
operations may be regulated under numerous
environmental statutes, such as the CWA, CAA,
RCRA, TSCA, CERCLA, and FEFRA.
19-5
JULY 1997
-------
INSTRUCTOR NOTES	SUGGESTED CONTENT
The on-site inspection is conducted during one or more
time periods, during which intensive concurrent
program-specific compliance inspections are made
often by cross-trained personnel
Category D multimedia inspections are thorough and
resource-intensive
These inspections are appropriate for complex facilities
of intermediate to large size that are subject to a
variety of environmental laws. Determinations of
compliance are made for several targeted areas under
specific programs
Possible noncompliance in other program areas is
reported to the appropriate program.
Overhead 19-17
Four Types of Multimedia
Inspections
The four categories of
inspections are described in
Appendix B of the Multi-
Media Investigation Manual.
Generally, all inspections are conducted under essentially the
same protocols, including preinspection planning, use of a
project plan, sampling, inspection procedures, and final report
The major difference between category D and the others is that
category D inspections address more regulations, look for more
environmental problems, addresses process information, and
addresses facility environmental management systems.
LECTURE	INTRODUCTION TO POLLUTION PREVENTION AND
WASTE MINIMIZATION
Overhead 19-18
Overview of Pollution
Prevention and Waste
Minimization
Ask trainees to find some
distinctions between pollution
prevention and waste
minimization
Pollution Prevention and Waste Minimization
Pollution prevention and waste minimization are believed to be
the most effective and efficient methods of reducing risk to
human health and the environment. Industry has many
opportunities both to reduce the amount of waste produced and
to use fewer or alternative raw materials to reduce the volume
or toxicity of waste generated Both source reduction and
recycling can save money, but more important, fewer or less
toxic wastes are produced, decreasing the risk of harm to the
environment. Therefore, EPA and the regulated community
must begin to look beyond traditional end-of-pipe management
schemes
19-6
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Hazardous and Solid Waste Amendments of 1984
The Hazardous and Solid Waste Amendments of 1984 (HSWA
or RCRA) require that EPA protect the environment by
"minimizing the generation of hazardous waste and the land
disposal of hazardous waste by encouraging process
substitution, materials recovery, properly conducted recycling
and reuse, and treatment".
Pollution Prevention Act of 1990
In the Pollution Prevention Act of 1990, Congress declared the
promotion of pollution prevention a national policy of the
United States. Then EPA Administrator William Reilly made
pollution prevention a priority for the entire agency with the
"EPA Pollution Prevention Strategy " Congress and the EPA
Administrator have set general guidelines and objectives
designed to stimulate each program office to explore ways to
incorporate pollution prevention into its program.
Waste minimization is any source reduction or recycling
activity that results in either: (1) reduction of total volume of
hazardous wastes, (2) reduction of toxicity of hazardous
wastes, or (3) both, as long as that reduction is consistent with
the general goal of minimizing present and future threats to
human health and the environment.
Source Reduction and Recycling
Waste minimization includes both multimedia source reduction
as defined in the Pollution Prevention Act of 1990, and
recycling except for recycling that involves combustion (that
is, recycling for energy recovery).
Pollution prevention is understood to mean multimedia source
reduction, as defined in the Pollution Prevention Act of 1990.
Source reduction is any practice that reduces the amount of
any hazardous substance, pollutant, or contaminant entering
any waste stream or otherwise being released into the
environment (including fugitive emissions) before recycling
Overhead 19-19
Waste Minimization
Definition of Waste Minimization
Overheads 19-20
through 19-30
Source Reduction
19-7
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overheads 19-31 and 19-32	Recycling, Energy Recovery, Treatment, and Disposal
Under the Pollution Prevention Act, recycling, energy
recovery, treatment, and disposal are not included in the
definition of pollution prevention, although some processes
commonly described as "in-process recycling" may qualify as
pollution prevention.
Pollution prevention is a multimedia environmental
management technique that emphasizes the reduction of wastes
at the source.
Overhead 19-33
The Environmental
Management Hierarchy
Overhead 19-34
Basic Waste Minimization
Requirements of HSWA
First Priority in Environmental Management Hierarchy
Pollution prevention, as described under the act, is the first
priority in an environmental management hierarchy that
includes 1) prevention, 2) recycling, 3) treatment, and 4)
disposal. When considering pollution prevention activities, this
hierarchy should be kept in mind and a set of preferences
developed, rather than drawing an absolute line between
prevention and recycling, for example.
HSWA sets forth three basic waste minimization requirements
for generators and TSDFs. They are
Hazardous waste generators must submit waste
minimization information as part of their biennial reports.
Overhead 19-35
Minimum Requirements for
Inspectors for Waste
Minimization
Generators must certify on the manifest that they have a
waste reduction program in effect
As a permit requirement, all TSDFs must certify at least
annually that they have a waste reduction system in place.
This overhead identifies four areas of concern for inspectors
that constitute the minimum requirements facilities must meet
for waste minimization. Each item is discussed separately.
Overhead 19-36	Checking the Manifest
Checking the Manifest
As stated previously, generators that ship wastes off site must
certify on the manifest that they have a waste minimization
program in place. An example of the exact wording from the
manifest reads as follows
19-8
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
"If I am a large quantity generator, I certify that I have
a program in place to reduce the volume and toxicity
of waste generated to the degree I have determined to
be economically practicable and that I have selected
the practicable method of treatment, storage, or
disposal currently available to me which minimizes the
present and future threat to human health and the
environment; OR, if I am a small quantity generator, I
have made a good faith effort to minimize my waste
generation and select the best waste management
method that is available to me and that I can afford "
(40 CFR part 262, Appendix)
AH inspectors should determine whether the certification
was signed manually by the generator or an authorized
representative of the generator. In addition, if the printed
certification statement was not authorized by a known
authorized representative, the inspector should determine, if
possible, that the authorization is valid. The certification is
mandated by statute and must be a part of any inspection
A waste minimization plan is one of the best forms of
evidence of a waste minimization program; therefore, the
inspector should ask to see a written waste minimization plan
However, there may be other forms of evidence the facility can
use to demonstrate the existence of its waste minimization
program.
EPA and authorized states have the authority through HSWA
§3007 to "have access to, and to copy all records relating to
such waste." The facility may choose to keep its waste
minimization plans confidential. If it does so, the inspector
should follow procedures for CBI and should not release the
plan to the public. If the owner or operator (O/O) still denies
access to the plan, the denial should be noted in the inspection
report, and the inspection should continue. The written report
may be requested later in a postinspection request for
additional information. If the O/O claims there is no written
plan or does not want to show it, ask for a verbal description
of the plan, and take notes
If the O/O does not show a written plan, cannot describe a
plan verbally, or cannot demonstrate other evidence of the
existence of a waste minimization program, that circumstance
should be noted as a violation for failure to comply with the
19-9
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-37
Checking the Biennial Report
and Operating Record
certification on the manifest. Evidence of the existence of a
waste minimization program may be checked at the opening
conference with the O/O or at the most appropriate time during
the inspection, depending on its purpose and schedule
The inspector can and should check visually for evidence of a
"program in place" -- on-site confirmation that the generator is
conducting some type of waste minimization program.
Although the EPA has limited authority to take enforcement
actions based on the content or adequacy of waste
minimization programs, the inspector can determine whether a
program exists and is being implemented. For possible
enforcement action, the inspector should note in the inspection
report any discrepancies between the written or oral plan, or
the description of the waste minimization program, and what is
observed on site. Discussing the importance of the plan with
the 0/0 will stress EPA's commitment to waste minimization,
as well as identify for the 0/0 the benefits, both environmental
and economic, the facility may realize from a waste
minimization program.
Checking the Biennial Report and Operating Record
Any generator that ships hazardous waste to an off-site TSDF
in the United States, and any generator who treats, stores, or
disposes of hazardous wastes on site, must submit during even-
numbered years a biennial report (exporters must submit a
similar report every year) that includes:
A description of the efforts undertaken during the year to
reduce the volume and toxicity of waste generated
A description of the changes in volume and toxicity of
waste actually achieved during the year in comparison with
previous years, to the extent such information is available
for years before 1984
The certification signed by the generator or authorized
representative
40 CFR 262.41(a), 264.75(h)&(j), 265.75(h)&(j), and
262.56(5) (O&OO for exporters
19-10
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-38
Other Waste Minimization
Language
In addition, the operating record of permuted facilities should
contain:
A certification by the permittee, no less often than
annually, that the permittee has a program in place to
reduce the volume and toxicity of hazardous waste that he
generates to the degree determined by the permittee to be
economically practicable and the proposed method of
treatment, storage, or disposal is that practicable method
currently available to the permittee that minimizes the
present and future threat to human health and the
environment.
40 CFR 264 73(b)(9)
The inspector should verify the existence of the reports and
certifications and examine them during preinspection
preparation, on site, or during a postinspection review of
documents To ensure that the waste minimization
program is actually in place, the inspector should confirm
that the "description of the efforts undertaken" in the
biennial or annual report corresponds with what is
observed at the facility. Once again, if contradictions exist
between the plan and what is observed on site, the
contradictions should be noted in the inspection report
because they point to potential violations. Failure to certify
the existence of a program in place also is a potential
violation. Copies of the reports should be obtained from
state or EPA files or from the generator to help document
the contradictions.
If omissions, falsifications, or misrepresentations on any report
or certification are suspected, criminal penalties may apply,
and the case should be referred for criminal investigation
Other Waste Minimization Language
The inspector should check any waste minimization language
included in the facility's permits and any enforcement orders
or settlement agreements. Those documents should be
examined during the preinspection preparations. Although
only a few existing permits include specific requirements for
waste minimization, most new permits will contain such
language The permit writer can include language that gives
EPA or the state the authority to evaluate the waste
minimization plan or the program in place if the permit writer
19-11
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
lists evaluation criteria as permit requirements All such
permit requirements are enforceable, and compliance with them
should be verified on site.
Requirements for waste minimization also may be included in
settlement agreements, in accordance with the policy of the
Office of Enforcement and Compliance Assurance (OECA) on
including conditions related to pollution prevention and
recycling in enforcement settlements. The inspector should
examine the language and seek evidence on site of compliance
with any such requirements The inspector should note
discrepancies in the inspection report for possible follow-up
enforcement.
All inspectors should be familiar with, recommend, and
distribute literature about waste minimization Much literature
is available, ranging from engineering manuals to one-page
pamphlets. Several Regions and states have developed short,
introductory pamphlets on pollution prevention and waste
minimization in general that list some available sources of
information and outline the basic goals of pollution prevention.
All inspectors should obtain available pamphlets and distribute
them to facilities, along with pamphlets from the Office of
Pollution Prevention's (OPP) Pollution Prevention Information
Clearinghouse (PPIC). Other guidance, such as EPA's
guidance on the components of a waste minimization program
(when final), should be made available to the regulated
community.
Inspectors also should familiarize themselves with other
documents that may be of use to specific industries, such
as fact sheets put out by OPP and some Regions and
states; the technical manuals published by the Office of
Research and Development (ORD); and the Waste
Minimization Opportunity Assessment Manual, also
published by ORD. The inspector should make
representatives of the facility aware that the manuals exist,
tell them how to obtain the manuals, and supply the
manuals to the facilities when the inspector thinks the
information will be used. The manuals can be obtained
from the Regional pollution prevention contacts listed in
this document or from OPP or ORD
Overhead 19-39
Outreach
Outreach
19-12
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
For more specific or technical information, the inspector
should refer the facility to the appropriate technical assistance
program These programs may operate through local
universities, state or community programs, programs sponsored
by the Region, or trade organizations. The inspector, who
often is the only on site representative of the EPA or the state
program, is in an advantageous position to promote such
nonregulatory assistance programs.
Because of the nature of RCRA compliance inspections,
inspectors should not serve as on-site consultants
Constraints on time and resources, lack of knowledge in
specific industries, and the potential for undermining an
enforcement action by offering recommendations about
industrial processes make such a role inappropriate for the
inspector For advice on technically advanced issues or
issues that involve potentially high capital investment, the
O/O should be referred to the technical assistance programs
identified above
However, in many cases, the inspector may see opportunities
to implement effective waste minimization techniques easily.
OECA encourages the inspector to give limited, basic advice to
representatives of the facility in obvious ways to minimize
waste, as outlined in the following examples. This advice
should be issued in an informal manner, with the caveat that it
is not binding in any way and is not related to compliance with
regulations. If there were problems later, either with
compliance or with the equipment, the facility may attempt to
use the advice given by the inspector as a defense, drawing out
the litigation process. In cases in which such an eventuality
seems likely, the facility should be referred to the technical
assistance program.
Discussed below are some examples of good and bad advice to
give.
Wood Preserving Industry (good example): "You might
want to try either sweeping or blowing the sawdust and
residues off the wood before treating it so you can lower
the trash that gets into the holding tank. That might lower
the amount of waste sludge you have to worry about."
Metal Plating (good example) "If you let the workpiece
hang a little longer over the tank, more of the solution will
drain back into it, and you'll probably have less drag-out"
19-13
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-40
Further Actions To Promote
Waste Minimization
Parts Cleaning (good example): "I saw one company that
had switched to aqueous cleaners, instead of using
solvents It seemed to work really well and it really cut
down their waste stream I don't know the details, but our
technical assistance people can help Their number is...."
The following example shows advice that is too technical,
requires capital-intensive modification, endorses a specific
product, and is given in a way that could lead the facility to
understand that the changes should be made to come into
compliance
Printing (bad example) "Company X put in a Wammo
Mark IV ink-recycling unit to reuse waste inks. You
should do the same. It might take care of some of your
regulatory problems, and it will save you a whole lot of
money."
Further Actions To Promote Waste Minimization
OECA is currently exploring the addition of a module to the
RCRA Inspector Training Institute held in conjunction with
NEIC in Denver to address;waste minimization The training
will help define pollution prevention with regard to the RCRA
inspector, define the role of the inspector, and outline the
recommended activities the inspector should do, as well as
provide basic technical information on waste minimization
techniques. OECA also recommends that all RCRA inspectors
attend any pertinent training held by the Regions and other
organizations, such as OPP, to better familiarize themselves
with the subject.
As an incentive program for all RCRA enforcement personnel,
OECA is adding participation in pollution prevention activities
to the list of qualification criteria for the RCRA Enforcement
Award. Doing so will recognize and reward outstanding and
innovative approaches to the inclusion of pollution prevention
in the RCRA enforcement program. OECA encourages all
Regions and states to develop their own incentive programs to
encourage further activities.
19-14
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
LECTURE
ENVIRONMENTAL JUSTICE
Overhead 19-41
Overview of Environmental
Justice
Ask trainees how they would
define environmental justice,
according to what they know
or think environmental justice
means
Note on a flip chart the
definitions provided by the
trainees.
The objectives of this section are to
Define environmental justice for Superfund technical staff
so they will understand issues that affect low-income and
minority communities and how EPA can address those
issues
Describe the origins of the federal government's
environmental justice concerns and the program developed
in response to those concerns so EPA staff will understand
the multiagency approach taken by the federal government
to solving such issues and EPA's role in that approach
Develop communication and other community involvement
skills to achieve environmental justice objectives, including
recognizing situations that may include issues related to
environmental justice, addressing those issues, and
communicating effectively with the affected communities
that the concerns have been addressed
Overhead 19-42
Environmental Justice
Defined
Compare the definition(s) of
environmental justice offered
by the trainees with this
definition.
Refer to the definitions on the
flip chart when defining
environmental justice. Ask the
trainees whether they agree
with the definition or whether
it should be modified
Fair Treatment
Environmental justice is the fair treatment of all people under
environmental laws, without discrimination based on race,
ethnicity, culture, or economic status. Fair treatment means
that no racial, ethnic, or socioeconomic group should bear a
disproportionate share of the negative environmental
consequences resulting from the operation of industrial,
municipal, and commercial enterprises and from the execution
of environmental laws and policies.
Equal Share of Negative Consequences
Note that this definition extends beyond equality in the
execution of environmental laws It also extends to equitable
distribution of negative environmental effects so that no
particular group is burdened by a disproportionate share of
such effects.
19-15
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-43
The Need for the
Environmental Justice
Program
The following factors led to the creation of the Environmental
Justice Program.
Low-Income and Minority Populations
Low-income and minority populations are exposed to higher
levels of environmental pollutants than the general public.
Numerous studies document that race and socioeconomic status
correlate with an unequal exposure to air pollution, pesticide
exposure, lead poisoning in children, consumption of
contaminated fish, and, possibly, toxins and other hazardous
materials on the job.
Racial Discrimination
The 1971 annual report to the President of the Council on
Environmental Quality included an acknowledgement that
racial discrimination has affected the ability of the urban poor
to elevate the quality of their environment
Location of Hazardous Waste Sites
The 1987 study by the United Church of Christ of the location
of hazardous waste sites across the United States found that
race was the most significant factor correlated with residence
near a hazardous waste site
Environmental Leadership Summit of 1991
The Environmental Leadership Summit of 1991, attended by
more than 650 members of grassroots and community activist
organizations, adopted a platform calling for an end to
environmental inequities that affect low-income communities
and people of color around the world.
19-16
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-44
Environmental Justice
Program: Federal Response
Environmental Equity Workgroup
A study prepared by the Environmental Equity Workgroup
produced three significant findings
Clear differences exist among racial groups in rates of
disease and death; however, data are lacking on
environmental health effects by race and income, with the
exception of lead poisoning -- a significantly higher
percentage of African American children than children of
other ethnic backgrounds have high levels of lead in their
blood.
Low-income and minority populations experience higher-
than-average exposures to some air pollutants, hazardous
waste facilities, contaminated fish, and pesticides in the
workplace.
Native Americans are a unique ethnic group that has a
special relationship with the federal government and that
faces distinct environmental problems. Tribes generally
lack the physical infrastructure, institutions, trained
personnel, and resources necessary to protect their
members.
Environmental Justice Program: Federal Response
Executive Order 12898 (February 11, 1994) committed the
federal government to the principles of environmental justice
and directs agencies to incorporate environmental justice into
their mission by developing procedures and timetables for
identifying and resolving disproportionately high and adverse
human health or environmental effects of federal programs,
policies, and activities on low-income and minority
communities.
Environmental Justice Interagency Working Group
The government established the Environmental Justice
Interagency Working Group to.
Provide guidance to the agencies on identifying problems
Work with the agencies to develop strategies
Coordinate health research, data collection, and analysis
Develop interagency model projects
Hold public meetings
19-17
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-45
Environmental Justice
Program: EPA Initiatives
The Office of Solid Waste and Emergency Response
(OSWER) plans to establish Regional interagency
environmental justice task forces
Environmental Justice Program: EPA Initiatives
In 1992, EPA created the Office of Environmental Equity,
since renamed the Office of Environmental Justice, to address
adverse environmental effects on low-income and minority
communities. The Office of Environmental Justice has many
functions'
Coordinating with other federal agencies activities related
to issues of environmental justice
Providing communication, outreach, education, and training
for the public
Providing technical and financial assistance to outside
groups
Serving as a central repository of information about
environmental justice
Activities of the Office of Environmental Justice include:
Administering the Environmental Justice Grants Program
to provide financial assistance to community groups
Operating the environmental justice hotline (1-800-962-
6215)
The National Environmental Justice Advisory Council was
established to advise the EPA Administrator on issues related
to environmental justice.
In 1993, OSWER's Environmental Justice Task Force was
established to analyze environmental justice issues specific to
waste programs and to develop recommendations. In 1994, the
Environmental Justice Task Force issued a report detailing
OSWER's strategy for achieving EPA's environmental justice
goals. The task force made the following recommendations
specific to the CERCLA program-
19-18
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-46
Environmental Justice
Discussion Questions
The facilitated discussion is
meant to allow the group to
exchange ideas about the
implementation of an effective
environmental justice strategy,
while directing their attention
toward a few key issues
Allow the trainees to carry the
discussion, while making sure
The creation of community advisory groups (CAG) to
enhance public involvement in the Superfund process in
low-income and minority communities. CAGs are
designed to provide early, direct, and meaningful public
involvement in the process, as well as respond to the
growing awareness that minority and low-income
populations may have been overlooked in past efforts to
encourage public participation
Development of proactive site assessment procedures that
allow early identification of sites in areas in which
environmental justice is an issue of concern.
The Office of Emergency and Remedial Response (OERR)
and the Regions will evaluate the remedy selection process
to determine its effect on environmental justice issues,
focusing on ways to identify areas of concern early in the
process before issues become problems.
The task force also made the following recommendations
specific to the RCRA program
Technical assistance guidance should be developed for
state and local governments
The Office of Solid Waste (OSW) should develop methods
for factoring environmental justice into public health
considerations and expanding public involvement in siting
and permitting issues. OSW also should examine whether
its methods of setting priorities for the corrective action
program adequately address concerns related to
environmental justice.
Environmental Justice Discussion Questions
How have EPA's actions and policies contributed to the sense
of injustice in low-income and minority communities over the
years?
Failed to recognize special concerns in these communities
Failed to recognize relative political powerlessness in these
communities, mistaking a lack of initiative for a lack of
interest
Failed to address local concerns in decision making
Failed to communicate effectively with local community
19-19
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
they consider the questions
Note responses on the flip
chart.
Other factors that contributed to the sense of injustice include
Factors beyond EPA's control that have contributed to that
same sense of injustice
Slate and local issues (zoning and'permits)
Actions by other federal agencies (siting and abandonment)
Poverty and racial prejudice
What can EPA staff do to overcome the barriers of poverty
and racism?
Overhead 19-47
Environmental Justice in Our
Work
Ask the trainees to share
personal experiences they have
had with environmental justice
issues
Overhead 19-48
Supplemental Environmental
Projects
What specific activities can be undertaken in such communities
to build public trust?
Establish a CAG or community working group (CWG) to
promote community involvement.
Translate site documents and fact sheets, if necessary.
Hold frequent availability sessions.
Work with informal community leaders, such as ministers
and teachers.
Be honest.
Followup on issues of special concern.
Work with other agencies to provide needed services to the
community.
Environmental Justice in Our Work
Environmental justice should be incorporated into our daily
lives and our approach to our work. We can achieve that goal
by empathizing with communities that have environmental
justice concerns and considering their needs in our daily
decisions. Specific actions EPA staff can take include:
Learning about the community in which they are working
Understanding cultural diversity
Understanding the limits that poverty imposes on options
and opportunities
In settlements of environmental enforcement cases, EPA will
require that the alleged violators achieve and maintain
compliance with federal environmental laws and regulations.
In certain cases, to further EPA's goals to protect and enhance
public health and the environment, environmentally beneficial
projects, or supplemental environmental projects (SEP), may be
included in settlements. EPA policy identifies the types of
projects that qualify as SEPs, the penalty reduction appropriate
19-20
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
for a particular SEP, and the terms and conditions under which
SEPs may become part of a settlement. The primary purpose
of the policy is to obtain protection of and improvement in
environmental and public health that may not have occurred
without such settlement incentives.
Overhead 19-49	In settling enforcement actions, EPA requires that alleged
Penalties	violators promptly remedy the violations and remediate any
harm caused by the violations EPA also seeks substantial
monetary penalties to deter noncompliance. Penalties promote
environmental compliance and help protect public health by
deterring future violations by the same violator and deterring
violations by other members of the regulated community
Penalties help ensure a level playing field by ensuring that
violators do not obtain an unfair economic advantage over their
competitors that made the necessary expenditures to comply on
time. The existence of penalties also encourages companies to
adopt pollution prevention and recycling techniques, so that
they minimize their discharges of pollutants and reduce their
potential liabilities. In fact, a company that eliminates its
discharges of a toxic chemical also eliminates any potential
liability (for both penalties and cleanups) associated with such
discharges.
Overhead 19-50	Statutes administered by EPA generally contain provisions for
Factors Governing Penalties	the assessment of penalties that set forth factors that a court or
administrative judge must consider in determining an
appropriate penalty at trial or a hearing. In pursuing
settlements, EPA generally follows these criteria in exercising
its authority to establish an appropriate penalty. In doing so,
EPA generally considers such factors as the economic benefit
associated with the violations, the gravity or seriousness of the
violations, and the entity's prior history of violations.
Evidence of a violator's commitment and ability to perform a
SEP is also a relevant factor that EPA considers in establishing
an appropriate settlement penalty All else being equal, the
final settlement penalty will be lower for a violator that agrees
to perform an acceptable SEP, compared with that levied
against a violator that does not agree to perform a SEP.
EPA encourages the use of SEPs While penalties play an
important role in environmental protection by detemng
violations and creating a level playing field, SEPs can play an
additional role in securing significant protection of and
improvement in environmental or public health. SEPs may not
be appropriate in the settlement of all cases, but they are an
19-21
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-51
Supplemental Environmental
Projects
important part of EPA's enforcement program. SEPs may be
particularly appropriate in furthering the objectives of the
statutes EPA administers and in achieving other policy goals,
including the promotion of pollution prevention and
environmental justice
The Pollution Prevention Act of 1990 (42 U.S.C. 13101 et
seq , November 5, 1990) identifies an environmental
management hierarchy in which pollution "should be prevented
or reduced whenever feasible; pollution that cannot be
prevented should be recycled in an environmentally safe
manner, whenever feasible, pollution that cannot be prevented
or recycled should be treated in an environmentally safe
manner whenever feasible, and disposal or other release into
the environment should be employed only as a last resort.."
(42 U.S.C. 13103). In short, preventing pollution before it is
created is preferable to trying to manage, treat, or dispose of it
after it is created.
Selection and evaluation of proposed SEPs should be carried
out in accordance with this hierarchy of environmental
management -- that is, SEPs involving pollution prevention
techniques are preferred over other types of reduction or
control strategies; that fact can be reflected in the degree of
consideration accorded to a defendant or respondent before
calculation of a monetary penalty. Since pollution prevention
is easily definable as a technique or process, it is a separate
category of SEP.
Further, there is an acknowledged concern, expressed in
Executive Order 12898 on environmental justice, that certain
segments of the nation's population are burdened
disproportionately by exposure to pollutants. Emphasizing
environmental justice in the performance of a SEP helps ensure
that persons who spend significant portions of their time in
areas or depend on food or water sources located near areas
where violations occur would be protected. Because
environmental justice is not a specific technique or process but
an overarching goal, it is not listed as a category of SEP, but is
a consideration that should encourage negotiation of SEPs in
communities in which environmental justice may be an issue.
19-22
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-52
Evaluation of SEP Projects
Overhead 19-53
Characteristics of SEPs
This discussion should include
any particular experiences with
environmental justice issues the
trainees have had.
In evaluating a potential project to determine whether it
qualifies as a SEP and then determining how much mitigation
of penalty is appropriate, EPA enforcement and compliance
personnel are advised to apply the following five-step process
(1)	Ensure that the project meets the basic definition of a
SEP.
(2)	Ensure that all legal guidelines are met
(3)	Ensure that the project fits within one (or more) of the
designated categories of SEPs.
(4)	Calculate the net present after-tax cost of the project
and determtne the appropriate mitigation of the
penalty.
(5)	Ensure that the project satisfies all implementation and
other criteria.
SEPs are defined as environmentally beneficial projects that
a violator agrees to undertake in settlement of an
enforcement action, but which the violator is not otherwise
legally required to perform. The three key parts of this
definition are discussed further below.
Environmentally Beneficial
The term "environmentally beneficial" means the primary
beneficiary of the SEP must be the public, public health, or the
environment at large. While, in some cases, a SEP may
provide the alleged violator with certain benefits, there must be
no doubt that the project primarily benefits the public.
Settlement of an Enforcement Action
The phrase "in settlement of an enforcement action" means that
(1) EPA has the opportunity to help shape the scope of the
project before it is implemented and (2) the project is not
begun until EPA has identified a violation or initiated an
enforcement action (inspection, notice of violation,
administrative order, or complaint).
19-23
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Not Otherwise Legally Required to Perform
The phrase "not otherwise legally required to perform" means
the SEP may not be required by any federal, state, or local law
or regulation Further, SEPs cannot include actions that the
violator may be required to perform as injunctive relief in the
instant case or in another case or otherwise is required to
perform for compliance with state or local requirements.
No Reduction of Requirements of Federal Environmental
Statutes and Regulations
The performance of a SEP reduces neither the stringency nor
the timeliness requirements of federal environmental statutes
and regulations. Of course, performance of a SEP does not
alter a defendant's or respondent's obligation to remedy a
violation expeditiously and return to compliance.
EPA has broad discretion to settle cases, including the
discretion to include SEPs as an appropriate part of the
settlement. The legal evaluation of whether a proposed SEP is
within EPA's authority and consistent with all statutory and
constitutional requirements may be a complex task.
Accordingly, EPA policy recognizes and establishes a "nexus"
requirement and four other legal guidelines to ensure that
inclusion of SEPs is within EPA's and a federal court's
authority and does not run afoul of any constitutional or
statutory requirements
NEXUS
NEXUS is the requirement that there be a relationship between
the violation and the proposed project. There is sufficient
nexus if the project remediates or reduces the probable overall
effects of the violation on environmental or public health or
the risks to which the violation at issue contributes, or if the
project is designed to reduce the likelihood that similar
violations will occur in the future. If the violation adds
incrementally to the total environmental risk, SEPs within the
immediate geographic area or ecosystem may have sufficient
nexus, even if the SEP addresses a different pollutant in a
different media
Overhead 19-54
NEXUS and Legal Guidelines
EPA Has Broad Discretion
19-24
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Legal Guidelines
In addition to having sufficient nexus, SEPs must satisfy four
legal guidelines.
(1)	A project must advance at least one of the declared
objectives of the environmental statutes that are the
basis of the enforcement action. Further, a project
cannot be inconsistent with any provision of the
underlying statutes.
(2)	Projects that require a defendant or respondent to pay a
set amount of money to a third party or to establish a
fund should be limited to cases in which a strong
nexus with the violation exists and the activities on
which the money will be spent are specified fully in
the signed settlement agreement - the "what, where,
and when" of a project must be determined by the
settlement agreement. Neither EPA nor any other
federal government official can play any role in
managing or controlling the funds. EPA may provide
oversight to ensure that a project is implemented
pursuant to the provisions of the settlement and have
legal recourse if the SEP is not performed adequately
(3)	The type and scope of each project are set forth in the
signed settlement agreement. For example, settlements
in which the defendant or respondent agrees to spend a
certain sum of money on a project(s) to be identified
later (after EPA or DOJ signs the settlement
agreement) generally are not allowed
(4)	A project cannot be something that EPA itself is
required under statute to do. In addition, a project
must not provide EPA with additional resources to
perform an activity for which Congress has
appropriated specific funds. For example, if EPA has
developed a brochure to help a segment of the
regulated community comply with environmental
requirements, a SEP may not provide additional
resources directly or indirectly for revising, copying or
distributing the brochure.
19-25
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Exceptions
There may be some cases in which projects that do not clearly
satisfy the requirement nexus and other legal guidelines
nevertheless are still acceptable. Such projects require the
advance review and approval of Headquarters
Penalties in Settlement of Violations
In addition, EPA's policy on SEPs may be applied in
determining the appropriate amount of stipulated penalties that
EPA may accept in settlement of violations of a consent decree
or other settlement document. Depending on the language of
the settlement agreement providing for the stipulated penalties
and the circumstances of the violation, the use of a SEP to
mitigate stipulated penalties may raise legal concerns under the
Miscellaneous Receipts Act, 31 U.S.C. 3302(B). Because of
the complexity of such issues, the litigation team must receive
advance approval from Headquarters before agreeing to
acceptance of a SEP to mitigate a stipulated penalty.
Overhead 19-55	EPA has identified seven categories of projects that can qualify
Categories of SEPs	as SEPs To be accepted as a SEP, a proposed project must
satisfy the requirements of at least one category, plus all other
requirements established in EPA's policy. The seven
categories of SEPs are:
Overhead 19-56	Public Health
Public Health SEPs
A public health project is defined as one that provides
diagnostic, preventive, or remedial components of human
health care that are related to the actual or potential damage to
human health caused by the violation. Such projects may
include collection and analysis of epidemiological data;
medical examinations of potentially affected persons; collection
and analysis of blood, fluid, or tissue samples; medical
treatment, and rehabilitation therapy.
Public health SEPs are acceptable only when the primary
beneficiary of the project is the population that was harmed or
put at risk by the violations
19-26
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-57
Pollution Prevention SEPs
Pollution Prevention
A pollution prevention project is one that reduces the
generation of pollution through "source reduction," that is, any
practice that reduces the amount of any hazardous substance,
pollutant, or contaminant entering any waste stream or
otherwise being released into the environment before recycling,
treatment, or disposal. (After the pollutant or waste stream has
been generated, pollution prevention is no longer possible, and
the waste must be handled by appropriate recycling, treatment,
containment, or disposal methods.)
Source reduction may include modifications of equipment,
technology process, or procedure; reformulation or redesign of
products, substitution of raw materials; and improvements in
housekeeping, maintenance, training, inventory control, or
other operation and maintenance procedures. Pollution
prevention also includes any project that protects natural
resources through conservation in increased efficiency in the
use of energy, water, or other materials. "In-process
recycling," wherein waste materials produced during a
manufacturing process are returned directly to production as
raw materials on site, is considered a pollution prevention
project
In all cases, to meet the definition of pollution prevention, a
project must bring about an overall decrease in the amount or
toxicity of pollutants released to the environment, not merely a
transfer of pollution from one medium to another. This
decrease can be achieved directly or through increased
efficiency (conservation) in the use of energy, water, or other
matenals. This requirement is consistent with requirements of
Pollution Prevention Act of 1990 and the Administrator's
"Pollution Prevention Policy Statement: New Directions for
Environmental Protection," dated June 15, 1993.
Pollution prevention SEPs are acceptable when the primary
effect of the project takes place at the site where the alleged
violation occurred, at a different site in the same ecosystem or
within the immediate geographic area, or at another site or
facility owned by the defendant or respondent
19-27
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-58	Pollution Reduction
Pollution Reduction SEPs
If the pollutant or waste stream already has been generated or
released, a pollution reduction approach -- which employs
recycling, treatment, containment, or disposal techniques --
may be appropriate. A pollution reduction project is one that
results in a decrease in the amount or toxicity of any hazardous
substance, pollutant, or contaminant entering any waste stream
or otherwise being released into the environment by an
operating business or facility by a means that does not qualify
as "pollution prevention." Such projects may include the
installation of more effective end-of-process control or
treatment technology. They also include "out-of-process
recycling," wherein industrial waste collected after the
manufacturing process or consumer waste materials are used as
raw materials for production off site, reducing the need for
treatment or disposal or consumption of energy or natural
resources
Pollution reduction may include "an accelerated compliance
project," wherein a defendant or respondent agrees to meet a
forthcoming requirement for emissions reduction substantially
(two years or more) before the regulatory or statutory deadline,
resulting in significant reduction of pollution. Such a project,
however, is not allowable if the regulation or statute provides a
benefit (for example, a higher emissions limit) to the defendant
or respondent for early compliance or results in the
replacement of a pollutant with one of similar toxicity, without
a significant reduction in quantity.
Overhead 19-59	Environmental Restoration and Protection
Environmental Restoration
and Protection SEPs	An environmental restoration and protection project is defined
as one that goes beyond repairing the damage caused by the
violation to enhance the condition of the ecosystem or
immediate geographic area adversely affected. Such projects
may be those that restore or protect natural environments (such
as ecosystems) or artificial environments, such as facilities and
buildings Also included is any project that protects the
ecosystem from actual or potential damage resulting from the
violation or improves the overall condition of the ecosystem.
Examples of such projects include, reductions in discharges of
pollutants that are not the subject of the violation to an
affected air basin or watershed; restoration of a wetland along
the same avian fly way in which the facility is located, or
purchase and management of a
19-28
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
watershed area by the defendant or respondent to protect a
drinking-water supply when the violation (for example, a
reporting violation) did not damage the watershed directly but
could lead to damage caused by unreported discharges. This
category also includes projects that provide for the protection
of endangered species (for example, developing conservation
programs or protecting habitat cntical to the well-being of a
species endangered by the violation)
With regard to artificial environments, projects may involve
the remediation of facilities and buildings, provided such
activities are not required otherwise under law. Such projects
include the removal or mitigation of contaminated materials,
such as soils, asbestos, and leaded paint, that are a continuing
source of releases or threats to individuals.
Environmental restoration and protection SEPs are acceptable
when the primary effect of the project takes place at the site
where the alleged violation occurred, at a different site in the
same ecosystem or within the immediate geographic area, or at
another facility or site owned by the defendant or respondent.
Assessments and audits that are not otherwise available as
injunctive relief are potential SEPs under this category.
Assessments eligible to be treated as SEPs include pollution
prevention assessments, as well as site assessments of the type
described below. In some situations, environmental
management system audits and compliance audits are also
potential SEPs.
Pollution prevention assessments are systematic, internal
reviews of specific processes and operations designed to
identify and provide information about opportunities to reduce
the use, production, and generation of toxic and hazardous
materials and other wastes To be eligible for SEPs, such
assessments must be conducted under a recognized pollution
prevention assessment or waste minimization procedure to
reduce the likelihood of future violations
Site assessments are inspections of the condition of the
environment at a site or of the environment affected by a site,
or inspections of threats to human health or the environment at
a site. Such assessments include, but are not limited to
inspections of levels or sources of contamination in any
Overhead 19-60
Assessments and Audits
Assessments and Audits
19-29
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
environmental medium at a site; inspections of discharges or
emissions of pollutants at a site, whether from active
operations or through passive transport mechanisms; ecological
surveys related to a site; natural resource damage assessments,
and nsk assessments. To be eligible as SEPs, such
assessments must be conducted in accordance with recognized
protocols, if available, applicable to the type of assessment to
be undertaken.
An environmental management systems audit is an independent
evaluation of a party's environmental policies, practices, and
controls. Such evaluation may encompass the need for: (l)a
formal corporate environmental compliance policy and
procedures for implementation of that policy; (2) educational
and training programs for employees; (3) equipment purchase,
operation and maintenance programs; (4) programs for
environmental compliance officers, (5) budgeting and planning
systems for environmental compliance, (6) monitoring, record
keeping, and reporting systems; (7) in-plant and community
emergency plans; (8) internal communications and control
systems; and (9) hazard identification and nsk assessment
Environmental compliance audits are an independent evaluation
of a defendant's or respondent's compliance with
environmental requirements. Credit is given for the costs
associated with conducting the audit. While the SEP should
require that all violations discovered by the audit be corrected
promptly, no credit is given for remedying the violation
because persons are required to achieve and maintain
compliance with environmental requirements. In general,
compliance audits are acceptable as SEPs only when the
defendant or respondent is a small business. Since most large
companies routinely conduct compliance audits, to mitigate
penalties for such audits would reward violators for performing
an activity that most companies already perform. In contrast,
such audits usually are not performed by small businesses,
perhaps because they may be too expensive.
These two types of assessments and environmental
management system audits are allowable as SEPs without a
commitment by the defendant or respondent to implementation
Implementation is not required because it is difficult to draft
implementation requirements before the results of the study are
known Further, many of the implementation recommendations
originating from such studies
may concern activities that are in the defendant's or
19-30
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-61
SEPs That Promote
Environmental Compliance
respondent's own economic interest Such assessments and
audits are acceptable as SEPs only when the defendant or
respondent agrees to provide EPA with a copy of the results of
the study.
Such assessments and audits are acceptable when the primary
effect of the project takes place at the same facility, at another
facility owned by the violator, or at a different facility in the
same ecosystem or within the immediate geographic area (for
example, a publicly owned wastewater treatment works and its
users).
Environmental Compliance Promotion
An environmental compliance promotion project provides
training or technical support to a regulated party to: (1)
identify, achieve, and maintain compliance with applicable
statutory and regulatory requirements; (2) avoid committing a
violation of such statutory and regulatory requirements; or (3)
go beyond compliance by reducing the generation, release, or
disposal of pollutants beyond the levels imposed by legal
requirements. For these types of projects, the defendant or
respondent may lack the experience, knowledge, or ability to
implement the project itself, if so, the defendant or respondent
should be required to contract with an appropriate expert to
develop and implement the compliance promotion project.
Acceptable projects can include, for example, producing or
sponsoring a seminar directly related to correcting widespread
or prevalent violations within the defendant's or respondent's
economic sector or conducting a media campaign funded by
the defendant or respondent to discourage tampering with
automobile pollution control equipment.
Environmental compliance promotion SEPs are acceptable only
when the primary effect of the project is focused on the
regulatory program requirements that were violated and when
EPA has reason to believe that compliance in the sector would
be advanced significantly by the proposed project. For
example, if the alleged violations involved violation of
requirements for pretreatment under CWA, the compliance
promotion SEP must be directed at ensuring compliance with
those requirements
19-31
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-62
SEPs for Emergency
Planning and Preparedness
Emergency Planning and Preparedness
An emergency planning and preparedness project is defined as
one in which a defendant or respondent provides assistance,
such as computers and software, telephone and radio
communication systems, chemical emission detection and
inactivation equipment, HAZMAT equipment, or training for
first responders to chemical emergencies to a responsible state
or local planning entity The entity therefore can fulfill its
obligations under the Emergency Planning and Community
Right-to-Know Act (EPCRA) to collect information to assess
the dangers of hazardous chemicals present at facilities within
its jurisdiction, to develop emergency response plans and to
train emergency response personnel. Such SEPs will enhance
response capabilities that directly or indirectly are affected by
the violations.
EPCRA requires regulated sources to provide information on
production, storage, and use of chemicals to state emergency
commissions (SERC), local emergency planning committees
(LEPC), and local fire departments (LFD). States and local
communities then can plan for and respond effectively to
chemical accidents and infonn potentially affected citizens of
the risks posed by chemicals present in their communities,
thereby enabling them to protect the environment or
ecosystems that could be damaged by an accident. Failure to
comply with EPCRA impairs the ability of states and local
communities to meet their obligations and places emergency
response personnel, the public, and the environment at risk
from a chemical release.
Emergency planning and preparedness SEPs are acceptable
when the primary effect of the project takes place within the
same emergency planning district or state in which the
violations occurred. Further, this type of SEP is allowable
only when the SEP involves noncash assistance and when
violations of EPCRA and reporting violations under CERCLA
Section 103 are alleged in the complaint.
19-32
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 19-63	Except for projects that meet the specific requirements of one
Unallowable SEPs	of the seven qualifying categories of SEPs, the following types
of projects are not allowable as SEPs-
General educational or public environmental awareness
project -- for example, sponsoring public seminars,
conducting tours of environmental controls at a facility,
or promoting recycling in a community
Contributions to environmental research at a college or
university
A project that, although beneficial to a community, is
unrelated to environmental protection ~ for example,
making a contribution to a chanty or donating
playground equipment
Studies or assessments that do not include a
commitment to implement the results
Projects that are funded by low-interest federal loans or
federal grants
19-33
JULY 1997
-------
Overview: Multimedia Inspections
and Enforcement
•	Define multimedia
•	Define holistic approach
•	Advantages and disadvantages of teams
•	Advantages and disadvantages of multimedia
inspections
•	Four categories of inspections
•	Targeting and resources
•	Team skill requirements
-------
Definition of the Term Multimedia
• Includes all environmental programs
(for example, air, water, hazardous
waste, pesticides) and all related
environmental laws, regulations,
or permits
-------
Multimedia Compliance
Inspections
Intended to determine a facility's compliance
with all applicable laws, regulations, and
permits
-------
Definition of a Holistic
Approach
"A holistic approach means approaching
a facility as a whole by understanding
the process(s) and not limiting the scope
of the inspection to any one statute or
set of ideals (Don't walk around with
blinders on!)."
-------
Advantages of the Team Approach
to Compliance Inspections
•	More eyes and ears involved in an inspection
•	More diversity of knowledge and back-
ground with several inspectors
•	Ability to share inspection tasks
•	Ability to obtain immediate consultation with
colleagues
•	More comprehensive evaluation of facility
-------
Disadvantages of the Team Approach
to Compliance Inspections
•	More resource intensive (before, during,
and after the inspection)
•	Fewer inspections (as a result of the
use of more resources on a single
inspection)
•	Extensive coordination required
-------
Advantages of Multimedia
Inspections
•	More comprehensive and reliable assessment
of facility's compliance, with fewer violations
missed
•	Improved enforcement support and better
potential for enforcement
(continued)
-------
Advantages of Multimedia
Inspections
•	Higher probability that problems will be
exposed or prevented before they occur,
avoiding any environmental or public health
risk
•	Ability to respond more effectively to
nonprogram-specific complaints, issues,
or needs and develop better understanding of
problems and issues affecting several media,
such as waste minimization
-------
Industry Comments
•	Reduce the number of visits by inspectors
•	Easier to get questions answered and address
problem issues
•	Inspectors develop better understanding of
facility operations or problems
•	More thorough inspections
INETl
19-9
-------
Other Issues
Larger case settlements
Greater impact on regulated community and
public
Improvements in environmental management
systems
19-10
-------
Disadvantages of Multimedia
Enforcement Cases
•	Resource-intensive
•	Enforcement requirements differ from statute
to statute
•	Difficulty in getting all regulators working
together
-------
Four Types of Multimedia Inspections
Category A
wwaiiw	MiMMiKid
Category B
Category C
Category D
Program-specific compliance
inspection
Screening for potential violations in
other programs during
program-specific compliance
inspection
Concurrent and coordinated
program-specific compliance
inspection
Comprehensive inspection of
facility
£
111
T
19-12
-------
Team Skills Required for
Type A Inspections
• None: a single person skilled in a particular
medium (John Wayne)
19-13
-------
Team Skills Required for
Type B Inspections
•	Inspector with skill in a particular medium
•	Ability to communicate with personnel of other
media programs at the conclusion of the
inspection (John begins to socialize)
-------
Team Skills Required for
Type C Inspections
•	The team leader should be able to:
-	Lead an inspection
-	Collect, organize, and integrate individuals to
form team
-	Coordinate activities of the team members
-	Prepare inspection reports
•	Team members:
-	Communicate with the team leader
-	Conduct their individual inspections
-	Write the report and provide it to the
team leader
(John forms a posse)
-------
Team Skills Required for
Type D Inspections
•	The team leader assumes the role of team
supervisor
•	Team members:
-	Pursue active communication between the leader
and other team members
-	Conduct inspections within their areas of
expertise
-	Identify areas of concern for other members
-	Write report and provide summary information
to the team leader
(John enlists the services of "The Wild Bunch")
-------
Four Types of Multimedia Inspections
r
Category A
Category C
Category D
Category B
Program-specific compliance
inspection
Screening for potential violations in
other programs during
program-specific compliance
inspection
Concurrent and coordinated
program-specific compliance
inspection
Comprehensive inspection of
facility
-------
Overview of Pollution Prevention
and Waste Minimization
•	Pollution prevention and waste minimization
•	Hazardous and Solid Waste Amendments of
1984
•	Pollution Prevention Act of 1990
-------
Waste Minimization
•	Definition of waste minimization
•	Source reduction and recycling
•	Source reduction
•	Recycling, energy recovery, treatment, and
disposal
•	A first priority in hierarchy
-------
Source Reduction
•	Prevents the generation of wastes and
environmental releases and conserves
natural resources
•	Is the preferred approach to
environmental management
(continued)
-------
Source Reduction
• Source reduction includes reducing:
-	Hazardous and solid wastes
-	Environmental releases
-	Use of raw material
-	Inventory losses
-	Spills and accidental releases
-	Use of energy
-	Use of water
-	Packaging wastes
-------
Source Reduction Goals
• Source reduction goals include:
-	Conserve natural resources and
materials
-	Use environmentally sound
products
-	Prevent product losses
-	Prevent spills and releases
-	Minimize waste generation
19-22
-------
Source Reduction Techniques
• Techniques include:
-	Improvements in process efficiency
-	"Green" purchasing
-	Substitution of materials
-	Improvements in supply system
-	Good housekeeping
-	Preventive maintenance
19-23
-------
Improvements in Process Efficiency
• Improvement of process efficiency is:
-	The most effective means of conserving
materials and resources
-	Measured by the time, labor, equipment,
materials, and energy required for
accomplishing a task
(continued)
-------
Improvements in Process Efficiency
• Examples include:
-	Use a high-volume, low-pressure (HVLP)
paint gun for painting operations
-	Use centralized fluid distribution systems
-	Use automated parts washers
-------
"Green" Purchasing
•	Reduce your impact on the environment
by changing your purchasing decisions
•	Examples include:
-	Purchase products that have the least
amount of packaging
-	Use reusable products instead of
disposable items
-	Purchase less toxic products
-	Use products having recycled content
-------
Substitution of Materials
•	Replace hazardous chemicals with less
toxic alternatives
•	Examples include:
-	Use soap and water instead of solvent
-	Purchase water-based paint instead
of solvent-based paint
HP
19-27
-------
Improvements in Supply System
•	Reduce product losses resulting from expiration
of shelf life and overstocking
•	Improved inventory control can be achieved by:
-	Restricting access to supply areas
-	Maintaining accurate inventory records
to prevent overstocking
-	Purchasing materials with limited shelf-life
in small quantities
-	Practicing "just-in-time" inventory control
-	Practicing "first-in, first-out" inventory
procedures
19-28
-------
Good Housekeeping
•	Keeping a clean shop:
-	Conserves resources and materials
-	Prevents product losses
-	Prevents spills and leaks
•	Excessive cleaning is not good
-------
Preventive Maintenance
•	Includes any activity that might prevent
equipment malfunctions and releases to the
environment
•	Examples include:
-	Routinely inspecting equipment and
storage containers
-	Fixing problems immediately
-	Following standard operating
procedures
-------
Recycling
•	Refers to the practice of using materials
produced as wastes in either the same or
a different process after reprocessing
•	Is the next preferable approach after source
reduction
•	Typically requires expenditures of time and
money
19-31
-------
What Can You Recycle?
•	Applies to any material or resource
associated with a process that otherwise
would be considered a waste
•	Can take place either on site or off site
-------
The Environmental
Management Hierarchy
• The environmental management
hierarchy consists of
1)	Prevention
2)	Recycling
3)	Treatment
4)	Disposal
[ INETi
19-33
-------
Basic Waste Minimization
Requirements of HSWA
•	Hazardous waste generators submit waste
minimization information as part of the biennial
reports
•	Generators certify on manifest that waste
reduction program is in effect
•	As a permit requirement, all TSDFs must certify
annually that waste reduction system is in place
-------
Minimum Requirements for
Inspectors for Waste Minimization
•	Checking the manifest
•	Checking the biennial report and
operating record
•	Other waste minimization language
•	Outreach
19-35
-------
Checking the Manifest
•	Appropriate language on manifest
•	Signed by generator or authorized
representative
•	Waste minimization plan in place
-------
Checking the Biennial Report
and Operating Record
•	Submitted during even-numbered years
•	Contains certification of waste minimization
program
•	Report and observations should correspond
•	Known omissions can result in criminal
investigation
-------
Other Waste Minimization Language
•	Check for enforceable waste minimization
requirements in documents
-	Permits
-	Enforcement documents
-	Settlement agreements
•	Note discrepancies in inspection report
for later follow-up
-------
Outreach
•	Recommend and distribute waste
minimization literature
•	Refer facility to technical assistance program
for specific advice
•	Provide basic advice when appropriate
19-39
-------
Further Actions To Promote
Waste Minimization
•	Training for the inspector
•	Incentive programs
-------
Overview of Environmental Justice
•	Define environmental justice
•	Describe the origins of concern about
environmental justice
•	Develop community involvement skills
-------
Environmental Justice Defined
•	Fair treatment
•	Equal share of negative consequences
19-42
-------
The Need for the
Environmental Justice Program
•	Low-income and minority populations
•	Racial discrimination
•	Locations of hazardous waste sites
•	Environmental leadership summit of
1991
•	Environmental Equity Work Group
-------
Environmental Justice Program:
Federal Response
•	Executive Order 12898
•	Environmental Justice Interagency
Working Group
INETl
19-44
-------
Environmental Justice Program:
EPA Initiatives
•	Office of Environmental Justice
•	National Environmental Justice Advisory
Council
•	OSWER Environmental Justice Task Force
•	OSWER recommendations
-------
Environmental Justice Discussion Questions
•	Injustice in low-income and minority
communities
•	Other factors that contribute to injustice
•	Overcoming the barriers
•	Activities that build public trust
-------
Environmental Justice in Our Work
•	Learn about the community
•	Understand cultural diversity
•	Understanding the limits that poverty
imposes on options and opportunities
-------
Supplemental Environmental Projects
•	To further EPA's goals to protect and
enhance public health and the environment
•	To obtain protection that might not occur
otherwise
-------
Penalties
•	Promote environmental compliance
•	Protect public health by deterring future
violations
•	Send a message to regulated community
•	Ensure no economic advantage by
noncompliance
19-49
-------
Factors Governing Penalties
•	Economic benefit derived from violation
•	Gravity of violation
•	Prior history
•	Ability to pay
19-50
-------
Supplemental Environmental Projects
•	Pollution prevention
•	Environmental justice
-------
Evaluation of SEP Projects
•	Meets definition
•	Satisfies legal guidelines - NEXUS
•	Fits in a SEP category
•	Represents an after-tax cost proportionate to
mitigation of penalty
•	Satisfies implementation and other criteria
-------
Characteristics of SEPs
•	Environmentally beneficial projects
•	In settlement of an enforcement action
•	Not otherwise required under law
•	Have no effect on compliance requirements
19-53
-------
NEXUS and Legal Guidelines
•	Relationship between violation and project
•	Must advance objectives of applicable
statute
•	"What, when, and where"
determined by settlement agreement
•	Type and scope stated in settlement
agreement
•	Cannot be a project that is required by
statute
£
-------
Categories of SEPs
•	Public health
•	Pollution prevention
•	Pollution reduction
•	Environmental restoration and protection
•	Assessments and audits
•	Environmental compliance promotion
•	Emergency planning and preparedness
19-55
-------
Public Health SEPs
•	Provides diagnostic, preventive, or
remedial support to those at risk from a
violation
•	Application of public health SEPs
> cr
Jtt
19-56
-------
Pollution Prevention SEPs
•	Occurs before pollutants or waste streams
are generated
•	A variety of source reduction activities are
possible
•	Does not apply to the mere transfer of
pollution
•	Application of pollution prevention SEPs
STMCHpt
S.;.\ 11 1
19-57
-------
Pollution Reduction SEPs
•	Appropriate after pollutants or waste
streams are generated
•	Accelerated compliance project
•	Application of pollution reduction SEPs
-------
Environmental Restoration
and Protection SEPs
•	Restore and protect natural and artificial
environments
•	Includes remediation of buildings and
facilities
•	Application of environmental restoration
and protection SEPs
-------
Assessment and Audit SEPs
•	Must not be otherwise available as
injunction relief
•	Identify opportunities to reduce waste
•	Site assessments
•	Environmental management system audits
•	Environmental compliance audits
•	Application of assessment and audit SEPs
inet!
19-60
-------
SEPs That Promote
Environmental Compliance
•	Provides training or technical support to
regulated parties
•	Includes seminars and media campaigns
•	Provides training or technical support to
regulated parties
•	Application of environmental compliance
promotion SEPs
19-61
-------
SEPs for Emergency
Planning and Preparedness
•	Provide assistance to state and local
planning entities under EPCRA
•	EPCRA requires that facilities provide
information on production, storage, and
use of chemicals
• Application of emergency planning and
preparedness SEPs
-------
Unallowable SEPs
•	General public education
•	University research
•	Projects unrelated to environmental
protection
•	Studies without commitment
•	Projects funded by low-interest federal
loans or grants
-------
20
-------
Notes
	


	

	


	


	
	
	
	
	
	
	
	
	











				
-
-------
SESSION 20
TOPIC: OVERVIEW OF CRIMINAL PROGRAM
INSTRUCTOR'S OVERVIEW
Time: 240 minutes
Purpose
Introduce inspectors to criminal enforcement and explain how to
recognize potential criminal violations
Provide an overview of criminal litigation
Key Points
Inspectors are involved in every aspect of an enforcement case
Inspectors should recognize potential criminal violations and refer
them for investigation.
Inspectors should know the names of their criminal investigator
contacts
Advance
Preparation
Equipment
Overheads
Slides
Prepare to describe an EPA criminal case in your Region that was
referred by an inspector and developed/prosecuted successfully.
Overhead projector
Slide projector
20-1 Principal Differences Between Civil and Criminal Enforcement
20-2 "Red Flags" That Indicate Possible Criminal Activity
To be developed by instructor
i
JULY 1997
-------
Introduction
Introduce yourself, mentioning your background and EPA
experience and your role in (he course.
LECTURE
OVERVIEW OF CRIMINAL PROGRAM
This session is intended to give
inspectors a sense of the
history of the criminal program
and an overview of the
program. As you discuss the
various points, be sure to
emphasize the ways in which
inspectors are involved
History & Background
1. Formation
a. 1982 formation of CID by Congress
b. USEPA decision to employ 1811's
2 Federal Law Enforcement Authority
If this course is taught solely to
a state, local, or tribal
audience, the instructor should
be someone from that
governmental entity - or at
least someone familiar with the
applicable criminal laws
3. Transfer from USEPA-HQ to NEIC
a. Execute arrest and search warrants
b Carry firearms
4 Pollution Prosecution Act passed 1990
a.	Transfer to USEPA' - HQ
b.	Mandate to hire at least 200 agents
c.	Establishment of numerous RAC offices in EPA office
and U.S. Attorney - 10 Regional Offices
5. Size of CID past & Present
a.	1982 - 23
b.	1997 - over 200
20-1	JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 20-1
Principal Differences Between
Civil and Criminal
Enforcement
Overview of Criminal Enforcement
Criminal investigations always are led by EPA's criminal
investigative staff The Office of Criminal Enforcement,
Forensics, and Training (OCEFT), Criminal Investigation
Division (CID) has 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, Georgia
OCEFT-CID in Headquarters and the Offices of Regional
Criminal Counsel work with the criminal investigators and
DOJ tn 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 always should
follow the direction of the special agent in charge (SAIC) or
the resident agent in charge (RAIC).
The principal differences between civil and criminal
enforcement are that, in criminal cases.
Searches of property can occur only with consent or with a
warrant based on swom testimony that there is "probable
cause" to believe a crime has been committed
The defendant has other constitutional guarantees
Discovery of govemment-held information is limited,
except for information that would tend to show the
innocence of the accused
The burden of proof is more strict than that for civil cases:
"beyond a reasonable doubt"
The penalties are more severe imprisonment or a fine, or
both (Some statutes allow felony sanctions, under which
corporations and their individual officers are potential
defendants)
20-2
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Statutes Investigated by CID
1. Environmental Statutes
a.	Resource Conservation & Recovery Act (RCRA)
1.	Generator
2.	Transporter
3.	Storage
4.	Disposal
b.	CERCLA ( Comprehensive Environmental Response,
Compensation & Liability Act aka "Superfiind"
1.	Emergency Notification
2.	Release into atmosphere
3.	Reportable Quantity
c.	Clean Water Act
1.	NPDES Permitting (direct discharge)
2.	Pretreatment (Industrial Users to POTW)
3 Oil Pollution Act (1990)
4.	Wetlands
d.	Clean Air Act (CAA)
1.	Asbestos - Renovation & Demolition - Falsification
of Certificates
2.	Emissions with NOV
3.	Gray Market
e.	Toxic Substance Control Act (TSCA)
1.	PCB's
2.	Dioxins
f.	Safe Drinking Water Act (SDWA)
1.	Regulates public drinking water systems
2.	Underground Injection Control Program (UIC)
g.	Federal Insecticide, Fungicide & Rodenticide Act
(FIFRA)
h.	Marine Protection Research Act (MPRSA)
i.	Medical Waste Tracking Act (MWTA)
20-3
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
j Emergency planning & Community Right to Know
Act (EPCRA)
1. State emergency response commissions
2	Related Environmental Statutes
a.	Hazardous Materials Transportation Act
(HMTA)-DOT
1.	Regulates interstate commerce
2.	U.S. Dept. of Transportation
b.	Endangered Species Act - Fish & Wildlife
c Migratory Bird Act - Fish & Wildlife
3	Title 18, U.S.C., Federal Criminal Code
a.	Conspiracy (§ 371)
b.	Mail & Wire Fraud (§ 1341 & 1343)
c.	False Statements (§ 1001)
d.	Extortion (§ 871)
e Explosives (§ 831)
f. RICO (§ 1961) Racketeer Influenced and Corrupt
Organizations
How EPA Conducts a Criminal Investigation
All initial leads to potential criminal activity are referred to the
SAIC or RAIC
Depending on the reliability of the lead, a preliminary inquiry
may be conducted or assessment made to determine whether a
complete investigation is warranted.
The SAIC or RAIC notifies OCEFT and the Office of
Regional Counsel (ORC) and brings in technical staff from the
program office(s), as needed.
The special agent who manages the investigations:
Determines the basic investigative approach
Leads the conduct of interviews and the assembling and
review of records
Plans and executes surveillances
20-4
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Coordinates actions with the U S. attorney's office and
other federal, state, and local law enforcement agencies
Contacts other witnesses
Completes investigative reports
Inspectors assigned to assist m an investigation work under the
direction of the special agent
EPA policy is to neither confirm nor deny the existence of a
criminal investigation. Any requests for information must be
referred to the special agent.
EPA must comply with the requirements of the Jencks Act,
which is designed to allow the defendant to have all relevant
information provided by a government witness so that the
defendant can attempt to impeach.
If the defendant's ability to cross-examine is hindered
because the government lost information — whether
purposely or inadvertently — the court may refuse to allow
the witness to testify at all or to strike the entire testimony
of the witness.
It is EPA policy to turn over all relevant notes, records,
and reports to the defense, if so requested through the
court -- after direct examination.
Because of the requirements of the Jencks Act, it is vital
that inspectors keep accurate and complete notes, records,
and reports that are factual and contain no opinions or
biases. In addition, inspectors should throw nothing away,
not even scraps of paper.
All material associated with a criminal investigation must be
kept according to security procedures.
DISCUSSION	RECOGNIZING POTENTIALLY CRIMINAL
VIOLATIONS
Inspectors are not expected to be able to determine whether
criminal behavior has taken place at a facility However, they
20-5
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
should 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 (in violation of requirements under the
Clean Water Act [CWA])
False or fraudulent reporting (all statutes)
Intent
Knowledge
Prior civil/administrative actions for similar or like
activities
Deception
Deception
Significant actual or potential harm to environment
Significant actual or potential harm to individuals or
animals
Ask the group to identify ways	Evidence of criminal wrongdoing is usually subtle. If
to recognize violations. Points	inspectors observe anything suggesting criminal behavior,
to cover, if not raised by the	consult with the criminal investigation unit.
group, are shown in the column
to the right and on the
overhead.
Typical Activities Which are NOT Criminal
1	Accidental Occurrences
2	Regulatory Offenses
3	Civil offenses for which there are no criminal sanctions
20-6
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Overhead 20-2	Listed below are some red flags that suggest criminal action
"Red Flags" That Indicate	may have taken place. If one or more of such signals are
Possible Criminal Activity	discovered, consult with the criminal investigation unit
Conflicting data: two sets of books or inconsistent
monitoring reports on the same incident.
Conflicting stories- 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 data lack credibility
Deliberate actions: an employee says he was told to do
something the inspector knows is illegal.
Claims of ignorance about requirements: copies
demonstrating knowledge are discovered in the records, or
statements during interviews demonstrate knowledge
Criminal Indicators for
Environmental Crime
(handout)
Discussion Questions:
20-7
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
Some suggested questions to
stimulate discussion are shown
in the column to the right
Has any trainee been involved in a criminal investigation''
How was the experience different from routine inspection
work? What aspect of the investigation did the trainee find
most difficult? Was there sufficient coordination between
offices7
Case Development
1 Obtain information or allegation
a Regional EPA
b. State & local regulatory agencies
c Disgruntled employees
d Anonymous
2.	Background & regulatory review
3.	Determine if regulated by statutes/regulations
4.	Does it meet criminal requirements
5.	Requirement for immediate response
6.	Probable evidence & its sources
7.	Gather evidence using investigative methods
8 Prepare for prosecution
9.	Indictment or information
10.	Trial preparation
Search Warrants
1.	Consent Searches
2.	Search incident to an arrest or other warrantless searches
Criminal Search Warrants
1. Probable cause that an environmental crime has been
committed
What other types of indicators of a criminal violation
might be discovered? How deeply should the EPA
inspector probe before referring the situation to the
criminal investigation staff7
20-8
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
a RCEC
b.	Regulatory personnel
c.	Assistant U.S. Attorney (AUSA)
2. Probable cause that evidence of the crime will be
found at a particular place that is in the possession
of a suspect
3	Particularly describe place to be searched
4.	Particularly describe things to be seized
Grand Jury
1.	Federal Grand Jury 16-23 members
2.	Only witness, attorney for gov't, and stenographer
3.	Case agent is an agent of the GJ
4	Prosecutor asks GJ to vote on recommended indictment
5.	Secrecy Rule 6(e)(2)
a.	Prevent escape of those who may be indicted
b.	Ensure utmost freedom of GJ deliberations
c.	Prevent tampering with, witnesses & subornation of
perjury
d.	Ensure free disclosures
Parallel Proceedings
1.	Simultaneous pursuit of criminal prosecution and civil
judicial or agency administrative enforcement actions
against the same parties for the same violation based
upon the same statute.
2.	Two separate teams for civil & criminal
3	Civil may share info with criminal staff
4	Criminal may share info with civil staff until Grand
Jury proceedings
20-9
JULY 1997
-------
INSTRUCTOR NOTES
SUGGESTED CONTENT
5.	No information gathering solely for developing
evidence used subsequent to criminal action
6.	Halper/Double Jeopardy considerations - Civil sanction
"overwhelmingly disproportionate" and determined to
be punitive.
Investigative Case Study
Slide Presentation
CERCLA & CWA violations
Title 18 U.SC § 371
Nothem District of Indiana
20-10
JULY 1997
-------
Handout 20-1
CRIMINAL INDICATORS FOR ENVIRONMENTAL CRIME
1	Bad compliance history, Notices of Violation (NOV's), confusing status of a facility, administrative
compliance orders,
These can be issued throught the Region, state, or local regulatory agency
Reviewing your Region's regulatory files as well of those maintained by the state and locals provides
information and leads in these areas. Interviewing the inspectors at all levels can provide leads and
valuable information as they usually talk to lower level managers and employees.
2	Look for several companies interconnected through the same individuals. Also look at the
subsidiaries for large companies and sister companies in different states using the same production
methods
Unscrupulous individuals may open numerous small companies to conceal movement of waste and/or
violation of the environmental laws.
State incorporation documents and annual reports will show officers of a company. Also check Dunn
and Bradstreet; will show sister companies and subsidiares
3	Declaration of Bankruptcy
Often companies use this to avoid cleanup of hazardous waste stored and/or accumulated at a facility.
Categorical users to the sewer systems often use this or just abandon a plant
4	Non notifying status; either does not notify or changes status frequently.
Hazardous waste generators do this as well as industrial users who claim their treatment system is "a
closed system " with no discharge; therefor are not regulated or have to submit to sampling.
5. Hiring several consultants and environmental firms to generate conflicting reports.
Many companies hide behind these consultants to prove their "concern" for the environment without
actually remedying their criminal activities
6 Same company re-emerges at different locations with different names ( Usually same plant manager
and/or "Environmental Manager")
7. Selection of business locations away from metropolitan areas that have more sophisticated and
rigorous industrial user programs for regulation.
This occurs in large cities where companies move to suburbs to avoid close environmental scrutiny.
Often some suburbs have few industries so they have less personnel to monitor companies' activities
1
JULY 1997
-------
8	Low paid employees, non English speaking, along with a history of OSHA violations.
Usually these employees working under poor conditions with little training and lack of knowledge of
any environmental regulations.
9	History of refusing inspections or long delays at the front door before regulatory people are
allowed access
These tactics allow for illegal activities and other circumventions of the regulatory system to shut
down before inspection and detection
2
JULY 1997
-------
Principal Differences Between Civil
and Criminal Enforcement
Warrants based on "probable cause"
Other constitutional guarantees
Burden of proof: "beyond a reasonable doubt"
More severe penalties: imprisonment or fine
-13
-------
"Red Flags" That indicate Possible
Criminal Activity
Conflicting data
Conflicting stories
Unsubstantiated data
Deliberate actions
Claims of ignorance about requirements
4-14
-------
SESSION 21
TOPIC: WRAP UP AND EVALUATION
INSTRUCTOR'S OVERVIEW
Time: 60 minutes
Purpose
Key points
Advance
Preparation
Equipment
List of Visuals
List of Handouts
Answer any questions outstanding and to obtain an evaluation of the
overall course.
Students and instructors will identify any key points or areas that
should be addressed.
Refer to specific text reference, all chapters.
Flip chart
None
Course Evaluation
1
JULY 1997
-------
COURSE EVALUATION
Basic Inspector Training Course
National Enforcement Training Institute
ORGANIZATION.	 NAME (Optional)	
Years of Experience as an Inspector: 	 Job Title- 		
Course Date(s): 	
Please take a few minutes to assist us in evaluating this training program. Please comment and make
recommendations for improvements in future courses.
1. I FEEL THE OVERALL PROGRAM WAS:
	VERY WORTHWHILE	WORTHWHILE	OF SOME VALUE	OF LITTLE
VALUE
COMMENTS:
2. ORGANIZATION OF PROGRAM AND MATERIAL WAS:
	EXCELLENT	SATISFACTORY	INADEQUATE
COMMENTS:
3. PRESENTATION AND MATERIAL:
	WERE APPROPRIATE	EXCEEDED NEEDS OF THE CLASS	WERE INSUFFICIENT FOR CLASS
NEEDS
COMMENTS:
JULY 1997
-------
•t.
HOW WELL DID THIS COURSE MEET YOUR PURPOSE:
	EXCELLENT	TOO BASIC	TOO TECHNICAL
COMMENTS:
SATISFACTORY
5. WHICH PRESENTATION^) DID YOU THINK WERE MOST BENEFICIAL AND WHY?
6. WHICH PRESENTATION(S), IF ANY, DO YOU THINK SHOULD BE REMOVED FROM THE
COURSE AND WHY?
7. WHAT CHANGES, IF ANY, DO YOU THINK WOULD IMPROVE THIS TRAINING COURSE?
\ '
8. ADDITIONAL COMMENTS ON COURSE, SPEAKERS, FACILITY, OR OTHER ASPECTS OF THE
COURSE
JULY 1997
-------
21
-------
21
Notes






-------