Role of the Regulatory Inspector: Inspection and Enforcement

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Role of the Regulatory InspectorInspection and
Enforcement

• Level IB Advanced Fundamentals Seminar
• Education and Training Requirements for
  Individuals Involved in Land Disturbing Activities

Issued May 2009
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References

• Florida Erosion and Sediment Control Inspectors
  Manual
• Florida Department of Environmental Protection
• Conducting Environmental Compliance Inspections
  Inspectors Field Manual, International Edition
• Office of Enforcement and Compliance Assurance
• Environmental Protection Agency

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Overview

• Role of the inspector
• Inspector safety
• Site inspection procedures
• Enforcement procedures

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Who is an inspector?

• All field personnel who collect information that
  may be used to determine compliance status.

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Role of the Inspector

• Official Representative
• Responsible for ensuring compliance for the city
  or county erosion and sediment control program

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Role of the Inspector

1. Official Representative
2. Fact Finder

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Role of the Inspector

1. Official Representative
2. Fact Finder
3. Provider of enforcement presence

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Role of the Inspector

1. Official Representative
2. Fact Finder
3. Provider of enforcement presence
4. Enforcement case developer

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Role of the Inspector

1. Official Representative
2. Fact Finder
3. Provider of enforcement presence
4. Enforcement case developer
5. Technical educator

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Role of the Inspector

1. Official Representative
2. Fact Finder
3. Provider of enforcement presence
4. Enforcement case developer
5. Technical educator
6. Technical authority

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Characteristics of a Good Inspector

• Inquisitive
• Determined
• Professional appearance
• Integrity and impartiality
• Avoids conflicts of interest
• Maintains standards of conduct
• Consistently applies ordinance to all individuals

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Inspector SafetyPossible Hazards

• Biological/Environmental
• Bee stings
• Mosquitoes
• Snakes
• Other animals
• Poisonous plants
• Extreme heat and humidity
• Extreme cold

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Inspector SafetyPossible Hazards

• Physical hazards
• Vehicles and equipment on-site
• Scrapes, scratches and cuts
• Trip and fall hazards
• Excessive noise

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Inspection Procedures

• Elements of an Effective Inspection Process

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Preparing for an Inspection

• Pre-inspection Research
• Identify sites for inspection
• Review Plan
• Check contours
• Surrounding properties
• Critical areas
• Phasing
• Review inspection and enforcement files

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Preparing for an Inspection

• Before leaving the office
• Plan an inspection route
• Dress appropriately
• Pack necessary equipment

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Preparing for an InspectionField Equipment

• Inspection equipment may include
• Cameras with necessary accessories to document
  observations
• Digital
• 35 mm or similar
• Video cameras

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Preparing for an InspectionField Equipment

• Inspection equipment may include
• Logbook and pen
• Portable
• Dedicated
• Paginated
• Properly identified and dated
• Other considerations
• Write only on one side of the logbook
• Only write what you dont mind others seeing
• Clip business cards and other important paper to
  appropriate pages of the log book

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Preparing for an InspectionField Equipment

• Inspection equipment may include
• Tape measure
• Should be easy to carry and easy to use
• May be used to
• Provide perspective
• Used to check for proper installation and
  maintenance of BMPs
• Measure buffer to ensure compliance

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Preparing for an Inspection

• Inspection equipment may include
• Global Positioning System
• May be used for
• Documentation of water course locations during
  state waters evaluations
• Documentation of impacts on streams and other
  properties by identifying location
• Mapping violations
• Considerations
• Know how to use the instrument
• Proper calibration
• Accurate recording of information

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Preparing for an Inspection
Inspection equipment may include

• Sampling equipment
• Considerations
• Clean, well maintained equipment
• Sampling protocol
• Properly calibrated turbidimeter

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Performing an InspectionInspecting the Site

• Five questions to determine compliance
• Does this project have an approved permit?
• Are the erosion and sediment control measures
  installed as shown on the approved Plan?
• Is erosion being controlled on the site?
• Is sediment being contained on the site?
• Are any adjacent properties or state waters being
  impacted?

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Performing an InspectionEntry

• Observe surroundings
• Note date, time and weather conditions on
  inspection form
• Phase of construction
• Survey location and activities of vehicles and
  heavy equipment
• Check permit board/box
• Ask to see the Plan

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Performing an InspectionEntry

• Present your credentials
• Ask to speak with someone familiar with the
  construction sites Plan and ES control
  practices
• Provide contact information
• Observe any specific safety issues or requirements

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Performing an InspectionInspection Sequence

• Construction exits and entrances

• Identified on Plan?
• Installed correctly?
• Properly maintained?
• Are exits and entrances being used appropriately?
• Tire wash area?
• Sediment leaving site and entering roadways?

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Performing an InspectionInspection Sequence

• Inspect discharge points and downstream,
  off-site areas for impact

• Is sediment leaving the site?
• Document downstream impacts
• Collect samples for turbidity testing

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Performing an InspectionInspection Sequence

• Walk the perimeter of the site

• Observe terrain
• Note type of controls
• Installed correctly?
• Properly maintained?
• According to Plan?
• Is sediment leaving the site?

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Performing an InspectionInspection Sequence

• Inspect active areas

• Mulch or temporary grassing should be applied to
  all exposed areas left exposed for a period
  greater than 14 days.
• Note type of controls
• Installed correctly?
• Properly maintained?
• According to Plan?

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Performing an InspectionInspection Sequence

• Inspect disturbed areas that are not
• currently being worked

• Areas left idle for less than six months should
  be stabilized with at least temporary seeding
• Note type of controls
• Installed correctly?
• Properly maintained?
• According to Plan?
• Is sediment leaving the site?

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Performing an InspectionInspection Sequence

• Inspect disturbed areas with final
• stabilization

• Finished slopes of cuts or fills should be stable
• Areas left idle for more than six months should
  be stabilized with permanent vegetative measures
• Note type of controls
• Installed correctly?
• Properly maintained?
• According to Plan?
• Is sediment leaving the site?

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Performing an InspectionInspection Sequence

1. Take into account the overall site

• Does the activity on-site exceed the Plan
• Review inspection forms and documentation to
  ensure that all information is complete and
  accurate
• Conduct an exit interview if possible
• Present preliminary results not final report
• Start with positive comments if possible
• Explain areas that are deficient and any specific
  concerns

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Documentation
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DocumentationNote Taking

• Be specific
• Identify personnel correctly
• Avoid vague terms
• Use dates and times
• Use ink pens, not pencils, to complete reports
• When taking field notes, use a bound notebook
  with numbered pages

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DocumentationPhotographs

• Either digital or film cameras are acceptable
• Carry enough film, batteries and accessories
• Be familiar with equipment
• Take all the photographs you may need to
  reinforce your report

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DocumentationPhotographs

• Put photos in context
• Establishing shot
• Subject shot
• Close-up shot
• Take notes about the pictures
• Maintain perspective

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DocumentationPhotographs

• Common problems
• Too few photographs
• Poor quality photographs
• Failure to identify the subject in a photograph
• Failure to secure the original

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DocumentationVideo cameras

• Grants ability to record motion
• See the violation as it occurs
• Hold camera steady
• Keep pans and zooms to a minimum
• Let the images in the frame move instead of
  making the camera move
• Transfer recording to video or CD as soon as
  possible

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DocumentationReporting

• A complete and factual record documenting the
  entire inspection
• Activities on-site
• Observations
• Outcomes
• Supports potential enforcement actions
• Validates current enforcement actions
• Provides basis for future actions
• Communicates results to others
• Provides a site history for other inspectors

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DocumentationTips for Writing Reports

• Simple
• Short, direct sentences
• Define complicated/technical terms
• Factual
• Report observations
• Avoid opinions
• Accurate
• Check details
• Compare with field notes, checklists and
  reporting forms

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Enforcement Protocol

• Understand what constitutes a violation
• Failure to properly design, install and maintain
  best management practices constitute a violation
  under the Act (O.C.G.A. 12-7-6)
• Obtain copy of written policy for your
  jurisdiction
• Know the cases for mandatory enforcement action
  in the Act

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Enforcement ProtocolPurpose of Enforcement

• Promotes compliance
• Protects environment by deterring future
  violations
• Sends message to regulated community
• Discourages economic benefit from violating law

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Enforcement ProtocolMethods of Enforcement

• Consider the methods and tools of enforcement
  available
• Determine what is mandated and what is at the
  discretion of the inspector
• Apply appropriate enforcement method
• Follow-up

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Enforcement ProtocolHuman Relations

• Inspectors must deal with a variety of
  individuals
• Concerned citizens
• Contractors
• Developers
• Other governmental agencies
• Inspectors must be fair and consistent when
  inspecting sites and dealing with individuals

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Enforcement ProtocolComplaint Resolution

• Apply city/county/agency procedures consistently
• Follow through on complaints
• Reply to complainant when appropriate
• Document complaints and responses

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Enforcement ProceduresComplaint Resolution

• Key Steps to dealing with angry complainants
• Maintain a friendly and professional manner
• Acknowledge that a difficult situation exists
• Calm the individual by questioning and verifying
• Involve the person in solving the problem
• Handle the problem
• Appendix 8-A
• Florida Erosion and Sediment Control Inspectors
  Manual

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Enforcement ProceduresTaking Enforcement Action

• Effectively communicating deficiencies
• Present the situation
• Allow the person time to adjust
• Accept the persons reaction
• Demonstrate acceptance of the persons reaction
• Restate positive points
• Offer assistance
• Clearly express that violations must be corrected
• Allow for future contact and follow-up
• Appendix 8-A
• Florida Erosion and Sediment Control Inspectors
  Manual

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Enforcement ProceduresWitness Guidelines

• How to prepare to offer testimony in court
• Review project file
• Review field notes
• Know strengths and weaknesses of documentation
• Practice testimony

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Enforcement ProceduresWitness Guidelines

• Witness Conduct
• Professional appearance and dress
• Avoid distracting mannerisms
• Do not give memorized answers
• Be serious and respectful
• Speak clearly and loudly
• Listen carefully to the questions asked of you
• Answer directly and simply
• Give only facts not opinions
• Always tell the truth
• Appendix 8-B
• Florida Erosion and Sediment Control Inspectors
  Manual

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Summary

• Inspectors must be professional, fair and
  consistent
• Inspectors must be technical authorities
• Proper inspection procedures must be observed
• Properly applied enforcement action promotes
  broader compliance

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The inspectors motto Find the truth, tell the
truth, protect the truth.

• EPA Inspectors Field Manual