Role of the Regulatory Inspector: Inspection and Enforcement

1. 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

2. References • Florida Erosion and Sediment Control Inspector’s Manual Florida Department of Environmental Protection • Conducting Environmental Compliance Inspections: Inspector’s Field Manual, International Edition Office of Enforcement and Compliance Assurance Environmental Protection Agency

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

4. Who is an inspector? All field personnel who collect information that may be used to determine compliance status.

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

6. Role of the Inspector • Official Representative • Fact Finder

7. Role of the Inspector • Official Representative • Fact Finder • Provider of enforcement presence

8. Role of the Inspector • Official Representative • Fact Finder • Provider of enforcement presence • Enforcement case developer

9. Official Representative Fact Finder Provider of enforcement presence Enforcement case developer Technical educator Role of the Inspector

10. Role of the Inspector • Official Representative • Fact Finder • Provider of enforcement presence • Enforcement case developer • Technical educator • Technical authority

11. 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

12. Inspector SafetyPossible Hazards Biological/Environmental • Bee stings • Mosquitoes • Snakes • Other animals • Poisonous plants • Extreme heat and humidity • Extreme cold

13. Inspector SafetyPossible Hazards Physical hazards • Vehicles and equipment on-site • Scrapes, scratches and cuts • Trip and fall hazards • Excessive noise

14. Inspection Procedures Elements of an Effective Inspection Process

15. 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

16. Preparing for an Inspection Before leaving the office: • Plan an inspection route • Dress appropriately • Pack necessary equipment

17. Preparing for an InspectionField Equipment Inspection equipment may include: • Cameras with necessary accessories to document observations • Digital • 35 mm or similar • Video cameras

18. 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 don’t mind others seeing • Clip business cards and other important paper to appropriate pages of the log book

19. 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

20. 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

21. Preparing for an Inspection Inspection equipment may include: • Sampling equipment • Considerations: • Clean, well maintained equipment • Sampling protocol • Properly calibrated turbidimeter

22. 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?

23. 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

24. Performing an InspectionEntry • 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

25. Performing an InspectionInspection Sequence • Identified on Plan? • Installed correctly? • Properly maintained? • Are exits and entrances being used appropriately? • Tire wash area? • Sediment leaving site and entering roadways? • Construction exits and entrances

26. Performing an InspectionInspection Sequence • Is sediment leaving the site? • Document downstream impacts • Collect samples for turbidity testing • Inspect discharge points and downstream, off-site areas for impact

27. Performing an InspectionInspection Sequence • Observe terrain • Note type of controls • Installed correctly? • Properly maintained? • According to Plan? • Is sediment leaving the site? • Walk the perimeter of the site

28. 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?

29. 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?

30. 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?

31. Performing an InspectionInspection Sequence • 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

32. Documentation

33. 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

34. 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

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

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

37. 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

38. 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

39. 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

40. 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

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

42. 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

43. 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

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

45. 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 Inspector’s Manual

46. Enforcement ProceduresTaking Enforcement Action Effectively communicating deficiencies: • Present the situation • Allow the person time to adjust • Accept the person’s reaction • Demonstrate acceptance of the person’s 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 Inspector’s Manual

47. 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

48. 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 Inspector’s Manual

49. 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

50. The inspector’s motto: Find the truth, tell the truth, protect the truth. EPA Inspector’s Field Manual