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Fundamentals For ConductingCompliance Inspections RogerReinhart U.S. EPA Region 3 June, 2018
Inspection Goal To gather information (evidence) that can be usedfor determining compliance.–––––program regulationspermit conditionsEnforcement actions / remediationclosure requirementsmechanical integrity tests
Fundamental Inspection Issues Informationmay be used in enforcementcase development, always so be up-frontwith the operator. Inspectorsmust adhere to standardprocedures concerning technical, legal,safety and quality control issues.
Components Of An Inspection1.2.3.4.5.6.Pre-Inspection PreparationEntry ProceduresOpening ConferenceFacility InspectionClosing ConferenceFollow-Up Activities
Pre-Inspection Preparation EstablishPurpose & Scope Review Background Information Develop Inspection Plan Announced vs. Unannounced ? Necessary Equipment / Staff State involvement – joint inspection? Safety Considerations
Entry Requirements1. Present Inspection Credentials2. Present Notice of Inspection(SDWA 1445) Never sign a waiver or release whichrelieves facility of responsibility for injuryor use of information. Never allow anyone to photocopy yourcredentials. What to do if denied entry / access?
Warrants Denialof Access / Problem Site /Need for Surprise Workwith Regional Attorney
Warrants Information-Requireddetailed location of site / facilityowner or operatorreason for inspection under warrantsafety concerns? Federal marshal?what inspection will entailtime and date for inspectionall personnel who will be at site
Opening Conference DiscussPurpose and Scope of inspection.What programs are represented. What arethe objectives. Confirm and/or establish backgroundinformation. Notify operator of options. Ask about safety requirements andconcerns. Establish working relationship with
Providing compliance assistanceduring an inspection FinalNational Policy - June 25, 2003 Definition:providing tools or regulatoryassistance to the facility during an on-sitecompliance inspection to help the facilityunderstand and comply with federalenvironmental regulations andrequirements.
Appropriate ComplianceAssistance Providingcopies of environmentalstatutes/regulations Information on obtaining EPA assistance Providing literature on pollution preventiontechniques / environmental bestmanagement practices / (“BMPs”) Avoid site-specific, interpretive technicalassistance
Facility Inspection Gatherinformation about processes,monitoring equipment, wastewatergeneration, treatment, etc. Interview employees. Review records, operator logs, etc. Take photos to support your findings. Collect samples. Think Multi-Media – Take off the blinders
Document your Findings Recordtime, date, location, conditions Record all steps of your inspection Specify types of instruments used Identify everyone you meet or talk to Write everything down Record observations, not conclusionsDOCUMENT DOCUMENT DOCUMENT
Conducting Interviews befriendly yet professional - show respect develop “rapport” with interviewee start general more detailed questions name, title, responsibilities, time employed never imply guilt or negligence use clear, straight-forward questions notes should reflect exact language
Closing Conference ConfirmInspection Information Clarify Issues of Concern Describe Follow-up Actions Refrain from discussing Enforcement andLegal Consequences Never recommend specific consultant orservice company
Closing Conference (cont’d)tell the o/o they won’t be subject toenforcement action if they correct problem. If you observe an imminent endangerment,you must notify operator during inspectionand report findings to supervisor. You may share info about facility’scompliance status, but be discrete. Ask operator for their questions & concerns. Never
CHAIN OF CUSTODYEvidencegatheredEvidenceintroduced athearing
Chain of CustodyTwo PartsMaintaining custody of the evidenceDocumenting that evidence was maintained
Chain of CustodyIt’s about control Demonstrate the credibility of evidence by proofof chain of possession and proper handling ofevidence from time of collection throughtransportation, analysis, to presentation
Chain of Custody Standardforms and procedures Tamper-proof seals Certified labs Document time, date, personnel, labelingof containers, description of contents,signaturesSomebody should be able to testify toproper handling of physical evidence
Confidential Information Personalinfo - name, SSN, residentialaddress, birth date. (PII) Pertains to the interests of a businessCommercial / financial information may beprivileged or confidential, trade secrets. (CBI)Consult with Regional CounselPersonal liability for disclosure
Follow-Up Activities PrepareInspection Report Request Additional Information (40 CFR144.27 and 144.51 for UIC) Determine Program Compliance Initiate Enforcement or other AppropriateAction as necessary
Field Notes LogBooks Corrections to Field Notes Use of Checklists and Standardized Forms Documentation of Findings (Be objective Stick to the Facts) Be Comprehensive, Descriptive, Objective
Tips For Writing InspectionReports BeDescriptive and Accurate Be Comprehensive Be Objective – no opinions or speculations Use Photos and Diagrams Think Multi-Media “An Inspector’s credibility is reflected bytheir Inspection Report”
Elements Of An InspectionReport BackgroundInformation Facility/Operator Information Documentation Monitoring Information Findings (based on facts, avoid subjectivity) Attachments (photo log, maps, samplingresults, etc.)
Inspection ScenariosUpon unannounced inspection, operator deniesyou access because “he’s busy”. Operator requests that you watch safety trainingvideo prior to entry. Operator restricts or denies photos being taken. Operator requires inspector to sign waiver. Inspector receives report of “unauthorizedinjection” at an oil production facility. Inspector receives report of private water supplywell contaminated with benzene.
Administrative HearingsActing as a Witness
Being a WitnessTwo kinds of WitnessesFact WitnessExpert Witness
Being a WitnessKey to being a good witnessPreparationKnow your documentsMock direct and cross examinationWork closely with Regional Counsel
Being a Witness Dressappropriately Maintain a serious demeanor Listen and understand the questionbefore you answer Do not get angryon cross Tell the truth
Go forthand do good
Inspection Scenarios Upon unannounced inspection, operator denies you access because "he's busy". Operator requests that you watch safety training video prior to entry. Operator restricts or denies photos being taken. Operator requires inspector to sign waiver. Inspector receives report of "unauthorized injection"at an oil production facility.
