Role of the Regulatory Inspector: Inspection 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

1. Florida Erosion and Sediment Control Inspector’s Manual

Florida Department of Environmental Protection

2. Conducting Environmental Compliance Inspections: Inspector’s Field Manual, International Edition

Office of Enforcement and Compliance Assurance Environmental Protection Agency 2

Overview

• Role of the inspector • Inspector safety • Site inspection procedures • Enforcement procedures 3

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

1. Official Representative • Responsible for ensuring compliance for the city or county erosion and sediment control program 5

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.

2.

3.

4.

5.

Official Representative Fact Finder Provider of enforcement presence Enforcement case developer 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 11

Inspector Safety Possible Hazards Biological/Environmental – – – – – – Bee stings Mosquitoes Snakes Other animals Poisonous plants Extreme heat and humidity – Extreme cold 12

Inspector Safety Possible Hazards Physical hazards – Vehicles and equipment on-site – Scrapes, scratches and cuts – – Trip and fall hazards Excessive noise 13

Inspection Procedures

Elements of an Effective Inspection Process 14

Preparing for an Inspection

Pre-inspection Research:

1. Identify sites for inspection 2. Review Plan • • • • Check contours Surrounding properties Critical areas Phasing 3. Review inspection and enforcement files 15

Preparing for an Inspection

Before leaving the office :

1. Plan an inspection route 2. Dress appropriately 3. Pack necessary equipment 16

Preparing for an Inspection Field Equipment

Inspection equipment may include:

– Cameras with necessary accessories to document observations • Digital • 35 mm or similar • Video cameras 17

Preparing for an Inspection Field 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 don’t mind others seeing – Clip business cards and other important paper to appropriate pages of the log book 18

Preparing for an Inspection Field 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 19

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 20

Preparing for an Inspection

Inspection equipment may include:

– Sampling equipment • Considerations: – Clean, well maintained equipment – Sampling protocol – Properly calibrated turbidimeter 21

Performing an Inspection Inspecting the Site Five questions to determine compliance: 1. Does this project have an approved permit?

2. Are the erosion and sediment control measures installed as shown on the approved Plan?

3. Is erosion being controlled on the site?

4. Is sediment being contained on the site?

5. Are any adjacent properties or state waters being impacted?

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Performing an Inspection Entry • 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 23

Performing an Inspection Entry • Present your credentials • Ask to speak with someone familiar with the construction site’s Plan and E&S control practices • Provide contact information • Observe any specific safety issues or requirements 24

Performing an Inspection Inspection Sequence

1. 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 Inspection Inspection Sequence

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

– Is sediment leaving the site?

– Document downstream impacts – Collect samples for turbidity testing 26

Performing an Inspection Inspection Sequence

3. 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 Inspection Inspection Sequence

4. 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 Inspection Inspection Sequence

5. 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 Inspection Inspection Sequence

6. 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 Inspection Inspection Sequence

7. 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 31

Documentation

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Documentation Note 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 33

Documentation Photographs • 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 34

Documentation Photographs • Put photos in context – Establishing shot – Subject shot – Close-up shot • Take notes about the pictures • Maintain perspective 35

Documentation Photographs • Common problems: – Too few photographs – Poor quality photographs – Failure to identify the subject in a photograph – Failure to secure the original 36

Documentation Video 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 37

Documentation Reporting • 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 38

Documentation Tips 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 39

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 40

Enforcement Protocol Purpose of Enforcement • Promotes compliance • Protects environment by deterring future violations • Sends message to regulated community • Discourages economic benefit from violating law 41

Enforcement Protocol Methods of Enforcement 1. Consider the methods and tools of enforcement available 2. Determine what is mandated and what is at the discretion of the inspector 3. Apply appropriate enforcement method 4. Follow-up 42

Enforcement Protocol Human 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 43

Enforcement Protocol Complaint Resolution – Apply city/county/agency procedures consistently – Follow through on complaints – Reply to complainant when appropriate – Document complaints and responses 44

Enforcement Procedures Complaint Resolution Key Steps to dealing with angry complainants: 1. Maintain a friendly and professional manner 2. Acknowledge that a difficult situation exists 3. Calm the individual by questioning and verifying 4. Involve the person in solving the problem 5. Handle the problem Appendix 8-A

Florida Erosion and Sediment Control Inspector’s Manual

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Enforcement Procedures Taking Enforcement Action Effectively communicating deficiencies: 1. Present the situation 2. Allow the person time to adjust 3.

4.

Accept the person’s reaction Demonstrate acceptance of the person’s reaction 5. Restate positive points 6. Offer assistance 7. Clearly express that violations must be corrected 8. Allow for future contact and follow-up Appendix 8-A

Florida Erosion and Sediment Control Inspector’s Manual

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Enforcement Procedures Witness Guidelines How to prepare to offer testimony in court: – Review project file – Review field notes – Know strengths and weaknesses of documentation – Practice testimony 47

Enforcement Procedures Witness 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 Inspector’s 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 49

The inspector’s motto: Find the truth, tell the truth, protect the truth.

EPA Inspector’s Field Manual 50