Professional Documents
Culture Documents
Environmental
Compliance
Inspection
Training
United States Environmental
Protection Agency
Office of Enforcement and Compliance
Assurance
International Enforcement and
Compliance Division
Facilitators Manual
Facilitators Manual
The course has been designed to be taught in a facilitated style and draws heavily on
group participation.
This Facilitator's Manual is designed for instructors who have both a thorough
understanding of environmental compliance inspections and prior experience in
facilitated training.
This course is greatly augmented by a class site visit to an operating facility(ies) for
an inspection(s). Ideally, the class can be broken into small teams for different
inspections the class can critique and make suggestions on everyones technique.
The delivery of the course is greatly enhanced when the facilitators have conducted
a full, three-day practice session.
Introduction
Facilitators Manual
Table of Contents
Important Background Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i
Table of Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ii
Introduction to the Training Course . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Description of the Course . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Instructions and Tips for the Facilitators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Questions on Facilitated Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Instructions for the Recorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Course Planning Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Country-specific Tailoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Practice, Practice, Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Course Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Materials for the Course . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Checklist for Planning, Conducting, and Completing Training . . . . . . . . . . . . . . . . . . . . . . . . 12
Three Day Agenda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Example Facilitator Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Session 1: Introductions and Welcome . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1-1
Session 2: Expectations for the Course . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2-1
Session 3: Environmental Compliance: the Goal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3-1
Session 4: Role(s) of the Inspector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4-1
Session 5: Enforceability of Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5-1
Session 6: Inspection Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6-1
Session 7: Collecting Evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7-1
Session 8: On-site Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8-1
Session 9: Interviewing Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9-1
Session 10: Sampling and Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10-1
Session 11: Field Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11-1
Session 12: Preventing Mistakes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12-1
Session 13: Documenting Inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13-1
Session 14: Enforcement Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14-1
Appendix A: Handouts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Appendix B: Course Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Appendix B: One Day Agenda . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Appendix B: One Day Course Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Introduction
A-1
B-1
C-1
D-1
ii
Facilitators Manual
Introduction
Facilitators Manual
Exercises
Throughout the course the purpose of each exercise is summarized as it is introduced to participants.
These purposes highlight many of the key concepts the facilitator should cover. At the beginning
of each exercise, a time breakdown is provided. Facilitators should note the approximate time for
each portion of the schedule and stay within the allotted time.
Throughout each session, Facilitators pose questions to the group, and the group's responses usually
are recorded on a flipchart. Facilitators should be careful not to lead the group into making
exhaustive lists. Instead, keep the lists directed on major points and bring the discussion to a timely
close. Do not let discussions become side tracked. Once the list is sufficiently complete, wrap up
the discussion by connecting the group's responses to the subject of the exercise. Make sure that
participants give correct responses to the question. Facilitators should use established facilitation
techniques to ensure that the correct response is understood, for example, by soliciting a different
response and probing why the respondent would offer a different response, and indicating that in
practice the latter response is thought to be correct.
Small Groups
The course is designed to be taught to between 20 and 30 participants. For four exercises,
Facilitators will arrange the participants into three or four small groups. One convenient way to
break up the groups ahead of time is to mark the back of the participants name tags or table tents
with a number from 1 - 4, the letter A - B, a shape (triangle, square, or circle) and a color (red, blue,
green, orange, or any four other colors). In this way, the Facilitators can prearrange the groups and
separate or group individuals to promote better networking. Facilitators may also wish to assign
each group a different color and provide the group with that color magic marker to use to record its
responses on a blank flipchart. The breakout group matrix, in the course planning materials section,
presents an option for breaking the participants into groups.
The Student Text and Participants Manual
The Student Text, "Conducting Environmental Compliance Inspections," which accompanies this
course, contains information and materials that will be discussed during the course. It is the
responsibility of facilitators to have the Student Text translated (if necessary) and distributed prior
to course delivery and to encourage participants to read the text. The Participants Manual should
also be translated prior to the course, but need not be distributed early. Advise the participants that
they can take notes, when covering the appropriate subjects, in the blank column space in the
Participants Manual.
Finally, Facilitators should emphasize to participants that there is a greater amount of information
on environmental impact assessment in the Student Text and also is covered in the exercises, and
that they should take advantage of the Student Text to discover this information.
Introduction
Facilitators Manual
Introduction
Facilitators Manual
The Facilitators
This course is designed to be taught by a team of Facilitators. Each host country decides how many
Facilitators to use. Facilitators should have good skills in, and knowledge of, both facilitated
training concepts and the subject matter they are teaching.
It is highly recommended that the Facilitators spend at least a half day together on site and in
advance of the course working out last minute logistics, arranging the seating in the training room,
and preparing for the exercises. It is important that the Facilitators work as a team and
communicate decisions well. In addition, it is recommended that a Facilitator wrap-up session be
held at the end of each day to review the progress of the course and to make any adjustments
necessary.
To ensure the success of the training course, do not allow the enthusiasm of the participants to ebb.
Maintain their interest in the exercises, especially at the beginning of Day Three. Also, request that
the participants be prompt when reconvening at the beginning of each day, after breaks and after
lunch.
Lead Facilitator
One of the Facilitators should be designated as the lead facilitator. His or her responsibilities will
include scheduling which Facilitator will teach each exercise, opening the course, and closing the
course. The Lead Facilitator is also responsible for resolving any logistic or procedural problems
that may arise. Facilitators should teach subjects that they are most familiar with. In addition,
Facilitators and Recorders should trade places periodically, preferably after each exercise. A
completed Facilitators schedule has been included in the course planning section of the
introduction to assist the lead Facilitator in scheduling.
Facilitated Training
As noted previously, facilitated training is founded on the belief that education is best done by
participation and involvement. Facilitators should not preach or dictate an answer, but encourage
participants to think about how they would approach the problem by asking questions and
stimulating discussion. Responses to the questions are recorded by the Recorder on flipcharts.
The Facilitator should also emphasize that the exercises are hypothetical and drawn from a
combination of real world situations. The purpose is not to mirror reality perfectly but to provide
a basis for learning about environmental impact assessment, management, and communication.
Participants should not try to guess the "right" outcome of the decision. Many times, there is no
right answer to a group exercise.
The role of the Facilitator is to clarify, but also to challenge the group if necessary. Facilitators may
find themselves on different sides of the issues from moment to moment. Part of the Facilitator's
job is to stimulate discussion, raise ideas, and take the role of the less accepted view. You, as
Facilitator, should also emphasize to the participants that they should have some fun with the
problem!
Introduction
Facilitators Manual
In facilitated teaching, it is essential that Recorders and Facilitators work as a team. Facilitators and
Recorders should be paired each day so that they can prepare together for their sessions. Pairing
should also be done on the basis of knowledge of environmental impact assessment (i.e., more
knowledgeable with less knowledgeable). Instructions for the Recorder follow this section.
Group Dynamics
It is assumed that Facilitators who present this course are experienced with a number of facilitating
techniques. Instructions on how to facilitate are not included in this manual.
The Facilitator must try to foster full participation by each member of the class. To accomplish this,
the Facilitator needs to create a welcoming environment where all of the participants feel
comfortable in participating in discussions. Facilitators may have to segregate dominant and shy
participants by adjusting seating arrangements. A Facilitator's body language can also be an
effective tool in silencing an overly talkative participant or drawing out ideas from a reluctant
participant.
When dividing the group into the smaller work groups, Facilitators may elect to put the shyest
participants in one group. This will encourage them to participate and create a more comfortable
environment. Facilitators should also require a different spokesperson to report to the group each
time it is required. Facilitators should be creative in dealing with the group dynamics and should
feel free to use a variety of means to involve all of the participants in discussion.
The "Parking Lot" may also be an effective means for extracting questions from reluctant
participants. Write the title "Parking Lot" on a blank flipchart and post it in the back of the room.
Tell the participants to write down questions they might not have felt comfortable asking or did not
have time to ask during the class sessions. Ask the participants to write down their name next to
the question, but only if they want a direct answer. At the end of the course, Facilitators should
respond to the questions posed on the Parking Lot.
Inspection or Site Visit
This course can be improved by adding a site visit to one or more facilities so the participants can
conduct an inspection and be critiqued by their peers and the facilitators. Ideally, this site visit will
happen on the second day so the events can be discussed throughout the rest of the course, and
examples can be drawn from the shared experience. The logistics must be arranged well in advance,
and coordination with the facility may be required. If possible, a digital or video camera, can be
brought to record key events during the inspection for subsequent presentation and discussion with
the rest of the participants. The photographer or videographer should be familiar with the
equipment and be able to quickly create a presentation for the class, or the emphasis and benefits
can be lost. Safety on the site visit should be of paramount importance to all parties and discussed
beforehand.
Introduction
Facilitators Manual
A lecturer knows all and conveys all by speaking at a group of students who are to
listen, take notes and learn. A facilitator is there to help the group discover the
material themselves, by asking questions, validating and eliciting responses, creating
dialogue and creating the experiences participants need to learn. A facilitator plays
a content role by quickly understanding, and ensuring the group understands the
points being made, being able to distinguish nuance, size up group dynamics and
make needed interventions to ensure a safe and respectful learning environment.
Good facilitators can cover a lot of material by asking the right questions,
challenging responses and not the participants, and thinking on their feet. Key
facilitator techniques include: 1) use of reflective questions, for example: What do
you think? after a question is directed to them; 2) inviting others to respond to a
question; 3) brainstorming in which all ideas are welcome and put up on a flipchart
discussion is delayed as is evaluation until the ideas are generated. Experienced
facilitators avoid judgmental and evaluative comments on participant contributions
to discussion so as not to shut someone off from further contributions. A good
facilitator will use all contributions to make the necessary points.
Prepare for the course by reading the Facilitator's Manual - make notes in the
margins or highlight important points. Practice in front of your co-workers and with
your facilitation team. Use humor to become more at ease with the participants -humor in the form of a humorous story is preferable to a joke. Prepare so that it is
unnecessary to read the scripted text which is designed to aid in preparation and not
to be read.
Set the computer and projector up in advance, practice opening and using the files
and become familiar with the software. Make sure that the slides are visible and in
focus. A simple mouse click or keyboard stroke will advance the slides from one to
another, and in some presentations a click is required to bring up different bullets or
graphics on the slide. The focus should be on the class and the Facilitator, not the
slides or the graphics. They are solely intended to guide the discussion. The slides
are only meant as a visible reinforcement for what is said. The Facilitators should
never turn to the screen and read from the slides; the participants can read
themselves and are looking for you to expand on the information, not to repeat what
they see.
Introduction
Refer the question back to the group. Ask them their opinion or ask if anyone else
knows the answer. Or, write the question down and find out the answer at the end
6
Facilitators Manual
of the day. Dont be afraid to admit you just do not know! Also, the question can
be put on the Parking Lot and answered at the end of the class. This gives the
facilitators some time to research an answer with the other facilitators.
What if the Group Asks a Question That Will be Answered in a Future Exercise?
C
Let the group know that you will be getting to that and that it would be preferable
to hold the question until then. Ask the group to repeat the question after the
appropriate exercise or at the end of the day if it still has not been answered.
Perhaps point out the question at the appropriate time and ask the group to answer
it then.
Focus on the situation, issue, or behavior, not the person. Maintain the self
confidence and self esteem of each participant. Maintain good relationships with all
participants. Take the initiative to make things a little better including room
temperature, seating, group assignments, bringing out shy people, and quieting noisy
people so everyone participates.
Dont focus on yourself. Focus on the participants learning from each other and the
message you are trying to convey. Prepare for the training in advance and practice
with co-workers and friends. Practice, Practice, Practice.
At times, group discussions may stray from the course. It is up to the facilitator to
determine if pursuing such a topic will benefit the group. If so, feel free to record
the group's responses on a blank flipchart. If not, exert leadership to politely get
them back on track.
What Are the Characteristics of a Good Style of Delivery?
C
Project your voice so that everyone can hear; speak to the back of the room. Time
your remarks so that the pace is neither too slow nor fast. Maintain eye contact with
the group by looking at different people. Use gestures to animate the discussion.
Introduction
Facilitators Manual
Try to find out what this person wants or what his motive is for arguing. Ask the
arguer if there is anything you, the facilitator, can do.
Be willing to listen to what the group has to say, and be willing to ask for the
courtesy of listening to what you have to say afterward. Emphasize things on which
you and the audience agree. Try to establish a common ground. Rely on logic and
evidence instead of emotions.
Allow more time for the participants to read materials when they are not in their
native language. Also, consider asking for a volunteer to present a summary of the
salient points. Usually, where it is needed, arrangements are made in advance for
simultaneous interpretation and written materials are translated in advance. Care
must be taken to ensure a good translation, but recognize that it is never perfect and
welcome ideas for improving communications about key concepts and terms. In
many cases, translation may not be required, but the English abilities of the
participants may vary or be limited. If this is the case, make sure you speak slowly
and clearly, and ask someone to help explain the key points in the native language
when necessary.
Introduction
Facilitators Manual
2)
inclusion of summaries for sources of information and expertise within the country
Section 14 also provides for an entire session devoted to country specific applications with
provision for key country leaders to speak about the enforcement processes and policies
within the country and facilitated discussion of how the subject matter of the course can be
adopted for use in the country.
2)
3)
4)
5)
Introduction
6)
Facilitators Manual
manual...not a one-time delivery, b) other facilitators depend upon you since the
course builds on itself, and c) lastly, it is designed for participant derived insights,
not lecture, and ad-libbing tends to favor the latter.
Each facilitator must know how to manage the session if they run short of time in
a manner which ensures the integrity and content of the course is maintained.
Course Evaluation
In Appendix B of the Facilitators Manual, and printed after the introduction in the Participants
Manual is an evaluation form that should be used to solicit feedback on the course and the
Facilitators. Facilitators should encourage the participants to complete each section immediately
after the topic is addressed, and at the end of each day, the evaluations for that day should be
completed and collected. This keep the information fresh, and increases the emphasis the
participants will place on their comments resulting in a more accurate and useful evaluation. The
certificates of completion should not be distributed until each participant has completed and
submitted an evaluation. Each facilitator should review the evaluations, and the lead facilitator
should total and summarize the comments received. These should be transmitted to the module
manager along with a written report on the course and the trip.
Introduction
10
Facilitators Manual
C
C
C
C
C
C
C
C
C
C
C
C
Introduction
11
Facilitators Manual
Establish contact person at the location where the training will take place. (This should be
done in the initial letter).
This person can help with problems, questions, language problems, and can receive
shipments of supplies, texts, etc. This person can also serve as a member of the team and
improve successful delivery.
Have the course organizers review the course materials and submit feedback.
Review course and course materials with host locality and solicit feedback.
Plan your schedule. You will need to commit approximately 60-80 hours over the next three
months for preparation for the first delivery of the course in a host locality, as well as the
time out of the office for delivery. Additional time may be required for scoping meetings
prior to delivery. The second presentation should require less time.
Provide host locality with copies of the course brochure. Ask locality to include a copy of
the brochure in its participant invitations. Send enough brochures for this purpose.
Introduction
12
Facilitators Manual
Complete your travel documents and submit them to the Office of International Activities
for approval.
Buy a good travel guide from a local bookstore. They often have good information about
local customs and mores. Also, you may consult with your host country contact.
Learn a few key phrases of the native language, such as "Hello", "Thank You," "Please," and
"Do You Speak English?"
Find out if there are any particular customs with respect to eating times, prayer, siestas, etc.
that may impact the agenda for the course. Rearrange the agenda to accommodate these
local customs. This information can be obtained easily from your host country contact.
Decide what signatures will appear on the Certificates of Completion that will be given to
each participant. Determine which signatures must be obtained prior to shipping materials
to the host country site, as it will be difficult or impossible to obtain those signatures once
the course has commenced.
Introduction
13
Facilitators Manual
Allow at least one day for acclimation to the time and culture change. More time may be
necessary with time changes greater than six or seven hours.
While sightseeing may not be on the agenda, become familiar with the surroundings of the
classroom and the area.
Always reconfirm ALL airline tickets, including internal travel. Tickets could be canceled
if you do not.
Allow time to rearrange the classroom to a configuration that is comfortable and conducive
to learning. A U shape or herringbone is recommended and encouraged.
Have a separate room near the classroom for facilitator preparation. This can also serve as
a get-away room for impromptu meetings.
Take a photograph of the participants as a way of highlighting the importance of the course
and their value in participating.
Make sure the picture is taken with proper lighting and that all participants are visible. Send
copies of the photo to each participant. Digital cameras facilitate this greatly and allow
distribution of the photograph through e-mail.
Make yourself available to answer questions during breaks or after the sessions.
Introduction
14
Facilitators Manual
Plan your time. Follow up can require 4 to 24 hours, depending upon promises made prior
to departure.
If you promise to provide the participants with answers to questions or additional materials
on your return, make sure you do so.
Organize an evaluation of the utility of the training and any specific capacity building needs.
Introduction
15
Facilitators Manual
Session
Start Time
Length
8:00
0:30
Registration
8:30
0:45
Welcome
9:15
0:45
BREAK
10:00
15 MINUTE BREAK
10:15
0:45
11:00
1:00
Ethical considerations
Responsibilities
LUNCH
12:00
1:00
1:45
Enforceability of Requirements
Group exercise
BREAK
2:45
15 MINUTE BREAK
3:00
1:00
Inspection Planning
QUESTIONS
4:00
0:30
ADJOURN
4:30
Introduction
Title
16
Facilitators Manual
Day
Session
Time
Length
8:30
1:30
Collecting Evidence
BREAK
10:00
15 MINUTE BREAK
10:15
1:45
On-Site Activities
Access to site
LUNCH
12:00
1:00
1:30
Interviewing Techniques
Interpersonal communications
BREAK
2:30
15 MINUTE BREAK
10
2:45
1:30
Representativeness
QUESTIONS/
DISCUSSION
4:15
0:15
ADJOURN
4:30
Introduction
Title
17
Facilitators Manual
Day
Session
Time
Length
11
8:30
0:30
Field Equipment
12
9:00
1:15
Preventing Mistakes
BREAK
10:15
15 MINUTE BREAK
13
10:30
1:30
Documenting Inspections
LUNCH
12:00
14
1:00
1:15
Enforcement Process
Penalty calculation
Court process
Resolution strategies
15
2:15
0:45
Panel Discussion
3:30
4:00
END OF CLASS
ADJOURN
Introduction
Title
18
Facilitators Manual
Day Two
Day Three
Introduction
Session #
Facilitator
Recorder
On-Deck
Joe Inspector
EM
LS
Joe Inspector
LS
EM
Enforcement Manager
LS
JI
Joe Inspector
LS
EM
Enforcement Manager
LS
JI
Joe Inspector
EM
LS
Session #
Facilitator
Recorder
On-Deck
Lab Sampler
EM
JI
Joe Inspector
JS
EM
Enforcement Manager
JI
LS
10
Lab Sampler
JI
EM
Session #
Facilitator
Recorder
On-Deck
11
Lab Sampler
EM
JI
12
Lab Sampler
JI
EM
13
Joe Inspector
LS
EM
14
Enforcement Manager
(or host)
JI
LS
15
ALL
ALL
19
Facilitators Manual
Day One
Session #
Facilitator
Recorder
On-Deck
Facilitator
Recorder
On-Deck
Facilitator
Recorder
On-Deck
1
2
3
4
5
6
Day Two
Session #
7
8
9
10
Day Three
Session #
11
12
13
14
15
Introduction
20
Session 1:
Time:
Equipment:
Preparation:
Handouts:
Introduction
45 minutes
Nothing
Prepare guest speakers and
other facilitators
Resumes for facilitators
Last minute logistical items
Facilitators Manual
Environmental
Compliance Inspection
Training
Welcome!
1-1
Facilitators Manual
Role of Facilitator
The facilitator will introduce the material, answer questions about the exercises
and stimulate your own discovery of principles and their application.. The facilitator will
challenge you to think for yourselves and will make sure that the ground rules are agreed upon
and followed.
Role of the Participant
You should participate as much as possible in the course, learning from each other,
testing out new theories amongst yourselves, and taking on different roles to encourage thoughts
about different perspectives. Your participation is essential to making this work.
Networking
(This will vary with the circumstances) You may or may not work together in the
same organization, but how many can say that you know everyone in the room well? One of the
advantages of learning in this type of setting is the sharing of your experiences. To help that
continue, were passing around the attendance list so you can make sure your information is
correct and contact your colleges after the course.
Train-the-Trainer
As you know, most of you have been selected to attend this course to prepare you
to become facilitators and present the course yourselves to your colleagues with your program
and in other organizations or countries. As such, continually ask yourselves how you will present
the material, and how the course could be improved or altered to better suit your needs.
Course Evaluation
As we end each days session, we will want to explore together what you gained
from this experience and how it may be applicable to your current situation. We will also discuss
the course, and will ask for your suggestions in improving it. You are helping us to polish and
streamline this course and we look forward to receiving your feedback. There is an evaluation
form in your manual that may help guide your comments.
1-2
Facilitators Manual
GROUND RULES
Listen while others are speaking
We want everyone to participate as much as possible and to feel free to express his
or her ideas. Therefore, we ask that you listen closely to those ideas so that you may respond to
them later on. Also, please turn off your cell phone to reduce interruptions.
Respect others' opinions:
There are no wrong answers, we are all on the same level, and we can all learn
from each other. Therefore, we encourage you to listen to and respect others' opinions, to offer
your own opinions, and generally, to have a free and open exchange of ideas.
There are no wrong answers or dumb questions:
Even if someone's response doesn't make sense to you at first, it can often lead to
other thoughts and new ideas. Any question is welcome. If you have a question or wish to
discuss a topic that is outside the topic at that time, make a note of your question for later. At the
end of each day, and at the end of the course, we will hold a panel discussion to capture any
remaining issues that may not have been covered in the course.
Use your imagination:
Feel free to be creative--do not be constrained by the way things are done now.
Find imaginative ways to resolve the problems.
Participate:
You will get out of this course only as much as you put in, and others will benefit
from your thoughts. We welcome your input at any time. In fact, the facilitator will make sure
that no one dominates the discussion and that everyone participates. Try out new ideas and
question anything when you disagree!
Timeliness:
We request that we start each session promptly in order to provide everybody the
opportunity to participate as much as possible and to ensure that we have time to cover all the
material thoroughly. Regular breaks are scheduled into the agenda.
1-3
Session 2:
Time:
Equipment:
Facilitators Manual
Expectations for
the Course
Environmental Compliance
Inspection Course
This session is designed as an ice-breaker and way for the class to get to know each other and for
them to share their expectations for the course. It will give the facilitators an idea of what the
class expects to learn, and may help the facilitators change the focus of certain areas, or to
devote more/less time to different sessions.
To begin, play the short video (approximately 15 minutes) that tracks a typical inspection and
highlights the key areas. This video walks through an inspection and tracks the key topics of this
course. It should be introduced as a visual synopsis of the what the students will learn over the
next few days. If the equipment is not available, the video may be skipped.
I would like to show everyone a short video that may help highlight some of the key areas we will
be discussing during the course. Then, well break everyone up into groups for a short exercise.
2-1
Facilitators Manual
As you will see, we have several opportunities for you to meet each other and share your
experiences in smaller groups and with the entire class. As I said earlier, I want everyone to feel
free to talk about your experience and raise any questions you have during the course.
Now lets break into groups: On the back of your name tent, youll find a number, 1 4. That
shows which group you will be in for this activity. Each group should begin by introducing
yourselves further, and talking about why youve come to this course. What are your biggest
problems with inspections? What is the most difficult thing you do? Is there some part of your
job you would like to improve?
Next, the group should select a note-taker and list the different things you would like to learn
during the next three days. Try to be as specific as possible, and dont worry if it doesnt exactly
match the agenda.
Youll have 20 minutes to develop your lists, then someone from your group will read your list to
the rest of the class.
This exercise has two purposes. The first is to help remind us as facilitators why we are here and
what you want to learn. We will try to focus on these areas a little more as we go through the
course.
The second purpose will be to start a discussion at the end of the course. Youll see time on the
agenda for a Panel Discussion. We will begin that discussion by going through these lists again
and answering any questions that didnt get covered during the course. Of course, we wont limit
the discussion there, so dont feel that this is the last chance to ask a question.
If everyone is ready, break up into your groups. Group one in this corner
2-2
Session 3:
Time:
Equipment:
Preparation:
Handouts:
Environmental Compliance
45 minutes
Projector for slides
Study notes
None
Facilitators Manual
Environmental
Compliance:
The Goal
Environmental Compliance
Inspection Course
We have discussed your significant environmental problems. Now I want to discuss in detail
one of the primary means we use to remedy or prevent these problems from occurring.
There are three essential elements for successful environmental management:
Compliance
Enforcement
Deterrence
We will be using these terms extensively throughout the course.
I will also discuss where we, as inspectors, fit into this scheme and our role in achieving changes
in behavior.
But, before I begin, lets talk a little bit more about why we conduct inspections? Why do you
conduct inspections? List responses on flip chart and post. Do not respond to brainstorming, but
come back to the list later.
Punish violators?
Collect revenue for government through penalties?
Educate regulated community?
Monitor environment?
Discover violations?
Determine compliance status?
Collect evidence of violations?
Environmental Compliance
3-1
Facilitators Manual
Deterrence
Q
Deterrence is creation of an atmosphere in which the choice to comply is more appealing than
violating the law or ignoring the requirements.
What are some different ways society can motivate changes in behavior that achieve
environmental benefits? List on flip chart. Now, lets discuss five categories:
Voluntary approaches by definition have no requirements. Voluntary approaches encourage and
assist change through such means as education, technical assistance, and economic incentives.
The next category - economic or market-based approaches - uses market forces to achieve desired
behavior changes. Fee systems, tradeable permits, taxes or rebates, and deposit systems.
Economic approaches generally involve some form of requirements as we will see later on.
The other major category of environmental management approaches is liability. In this approach,
laws are passed that make individuals or businesses liable for the consequences of certain actions
or for damages that they cause (for example, damage caused by improperly disposed wastes).
Liability systems do not have explicit requirements. However, enforcement is still needed to
gather evidence and develop legal cases since liability systems reduce or prevent pollution only to
the extent that individuals or facilities fear the consequences of legal action against them.
Public Pressure can be exerted through purchasing preferences, use of the press, demonstrations,
and appealing to political power. Information is key to educating the public about the situation
and how it affects them.
Regulatory approaches are based on requirements. Through laws, regulations, permits, and/or
licenses the government defines the required changes and then promotes and enforces
compliance. We see from some of the examples listed that requirements can cover just about any
activity, including manufacturing, distribution, use, testing, reporting, and environmental
monitoring and clean-up.
Can we group each item on our list into one of these categories?
Environmental Compliance
3-2
Facilitators Manual
Environmental Compliance
Requirements met
Q Desired behavior achieved
Q Compliance only a concern where there
are enforceable requirements
Q Voluntary approaches to environmental
management have no compliance
component
Q
Compliance occurs when requirements are met, and desired behaviors are achieved. For
example, when proper pollution control equipment is in place and operating, when production
processes or raw materials are changed, when work practices are changed (such as disposing of
hazardous waste at approved sites), when tests are performed on new products or chemicals
before they are used or sold, etc.
You must have a requirement of compliance to be a concern. In other words, compliance is not a
concern when we adopt purely voluntary approaches to solve environmental problems, because
with these approaches there is nothing to comply with.
However , most non-regulatory approaches do have some strict requirements. For example, an
economic system may require the payment of fees, and sanctions may be appropriate if those fees
are not paid. Programs based on public awareness of a situation may have a requirement that
information about environmental releases or damages be made public.
Environmental Compliance
3-3
Facilitators Manual
Enforcement:
Tool to Achieve Compliance
Enforcement is set of actions
governments or others take to compel
or encourage compliance
Q Enforcement is not an end, but the
means to an end
Q
Enforcement is the set of actions governments or others take to compel or encourage compliance
in a desired behavior. Enforcement generally includes monitoring to find information needed to
identify violations, and legal actions to impose some consequence for violating the law.
Inspections, monitoring, and data collection are essential to developing an enforcement response
but do not constitute an enforcement response in and of themselves. Enforcement response
requires that a legal action be taken with some legal consequence.
Government programs are the most obvious means of enforcement but there are other
mechanisms which can be used. In some countries, enforcement can be accomplished by private
citizens and other groups. Insurance companies and financial institutions can encourage
compliance by requiring facilities to comply in order to be eligible for insurance or for a loan. In
societies where there is strong social sanction for noncompliance with environmental
requirements, social norms can be an effective method of ensuring compliance.
The goal of enforcement is not the collection of a penalty or successful prosecution of a criminal.
WHO AGREES WITH WHAT I JUST SAID? RAISE YOUR HANDS - What is the goal? Describe
the end result of a successful enforcement program - (Behavior is changed and compliance is
achieved at the specific facility in question and at others.)
Environmental Compliance
3-4
Facilitators Manual
Enforcement As Deterrence
Credible likelihood that violation will be
detected
Q Swift and certain response to violation
Q Consequence: Sanction or Penalty
Q Perception that first three will happen
to you if violation occurs.
Q
Environmental Compliance
3-5
Facilitators Manual
Components of a Compliance
and Enforcement Program
Creating enforceable requirements
Q Promoting compliance in regulated
community
Q Monitoring compliance
Q Equitable response to violations
Q Evaluating success and being
accountable
Q
Our compliance programs should be designed to cover all the key components of an effective
program in order to drive compliance.
These five elements, taken together, ensure that the government is creating an atmosphere where
compliance is encouraged and assumed to be the best avenue for the regulated community.
They are
1. Creating enforceable requirements
2. Promoting compliance
3. Monitoring compliance
4. Giving everyone equitable treatment where non compliance is found
5. And evaluating the successes and failures of the compliance program so improvements can be
made.
Environmental Compliance
3-6
Facilitators Manual
Enforceability of Requirements
Clear expectations of regulated entity
Q Measurable limits, in regulation or
permit
Q Record keeping to show compliance
history
Q Regulation based clearly on enforceable
law
Q
Environmental Compliance
3-7
Facilitators Manual
Compliance Promotion
Creating awareness of requirements
and expectations
Q Regulatory or technical assistance
Q Compliance/Enforcement enhanced by
publicity - greater deterrence
Q Rewards for going Beyond
Compliance
Q
Compliance must be actively promoted or it will never be achieved. If people dont know what
requirements apply to them and what the rules are, they cannot follow them.
We must, as government agencies, increase peoples knowledge and awareness of the
requirements and why they are important. We may also need to explain how to comply and offer
assistance and understanding. While this may not be your job as inspectors, and should probably
be kept separate from your agencies enforcement program, it should be done by someone. Most
companies clearly understand how to make their products or services, but not the environmental
consequences of their actions.
Publicity, both good and bad, can be an excellent motivator for compliance. By publicizing
enforcement actions, we alert the public to who the bad actors are, and also inform other
companies what may happen if they dont comply. Likewise, we can reward and encourage the
good guys to motivate others.
Environmental Compliance
3-8
Facilitators Manual
What are some different methods used to monitor compliance? Lets list out a few.
Get students to brainstorm ideas, and list on flip chart.
Here are a few I thought of are they covered?
Self monitoring
Government inspections
Self-disclosure and self-correction
Citizen oversight
Database/record review
While we are primarily involved with inspections, and this course will focus on that tool, all these
methods are useful to the overall compliance monitoring program.
Environmental Compliance
3-9
Facilitators Manual
Other Environmental
Monitoring As Deterrence
Area wide monitoring
Q Third party monitoring
Q Public awareness
Q
Emission reporting
Waste volume reporting
10
Environmental Compliance
3-10
Facilitators Manual
Responding to Violations
Informal response
Q Enforcement
Q
11
Once we find violations, we must respond to them or our efforts have little value.
Each of these responses can be effective for different situations. When might each be
appropriate? Tell me from your experience
An informal response?
A formal, legal enforcement response?
Fines or penalties?
One important aspect of fines is a system to eliminate any profits made by a company that can be
attributed to violating the law. For example, if two companies are required to build a waste water
treatment plant, but one chooses not to, they illegally profit by not spending the money for the
equipment that their competitor did spend. We can make up that difference through penalties in
the enforcement process.
Environmental Compliance
3-11
Facilitators Manual
12
Finally, we must operate as a transparent servant of the people. The taxpayers deserve to know
what we are doing, the effectiveness of our program, and the compliance status of the facilities
we regulate. This information also helps us look inward and find our weak points and focus our
efforts where they are most effective.
Environmental Compliance
3-12
Facilitators Manual
13
To ensure equity across all regulated entities, we must try to treat all parties the same way.
Compliance and enforcement programs must develop standard policies that dictate how we will
monitor compliance, respond to violations, and penalize violators.
This will provide consistency and fairness and prevents us from having to re-create procedures
for different situations.
Again, these strategies will help ensure the integrity and transparency and will help explain our
program and how it works to the public and the regulated community. It can also help in court
procedures since we can show consistency in our approach leading to greater deference to the
agencys response from the judges and juries.
Environmental Compliance
3-13
Facilitators Manual
Inspections Provide
Deterrence
Discovery of violation
Q Threat of discovery
Q Showing the flag
Q Educating regulated community
Q
14
Environmental Compliance
3-14
Facilitators Manual
Relationships in Compliance
and Enforcement
Inspector is intermediary between
regulators and regulated
Q Public and environment
Q Regulatory educators
Q
15
We should always remember that we may be the only government official the people we inspect
ever see. They probably dont understand differences in jurisdiction among agencies or within an
agency, and may equate you with politicians, tax collectors, or the police. They may also think
that you are there to shut them down or put them out of business.
Keep in mind that we must work with them as well as serve the public and the environment. We
serve many roles, as we will discuss further.
Environmental Compliance
3-15
Facilitators Manual
Enforcement Team:
Inspector
Program managers
Q Technical experts
Q Law enforcement
Q
Q
Police
Prosecutors
Customs officials
Q
Attorneys
16
Environmental Compliance
3-16
Session 4:
Time:
Equipment:
Preparation:
Handouts:
Facilitators Manual
Role(s) of the
Inspector
Environmental Compliance
Inspection Course
Introduce yourself, mentioning your background and inspection experience and your role in the
course.
Inspectors are the keystone of any countrys 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. Inspectors are often considered the eyes and ears
of the environmental agency.
To ensure the ultimate success of an enforcement action, the inspector's work must meet the
highest standards. But first, lets spend a moment talking about what each of you do.
Try to get an idea of how many and what types of inspections the different students conduct.
How many inspections do each of you conduct a year? Let me see a show of hands of everyone
that does more than 100 inspections a year Between 50 and 100 inspections a year between 20
and 50 How many of you conduct fewer than 10 inspections a year?
Ask for a recorder, and develop a list of the different types of inspections conducted by the
participants.
What types of inspections do you perform? Lets start over here..
Possible answers:
Compliance monitoring at a particular industry
Air inspections
Hazardous waste inspections
Multimedia
etc.
4-1
Facilitators Manual
Inspector Issues
Role of the inspector
Responsibilities of the
team leader and team
members
Confidential business
information
Ethical considerations
2
During this session, we will talk about the different roles and responsibilities of inspectors,
especially as it relates to the compliance team.
We will begin by discussing the different roles inspectors play in your agencys compliance
program, both for the public and for your agency.
We will discuss different ethical considerations that must be followed to keep you out of
difficulty and to ensure the impartiality and transparency of your work.
We will touch on how you should handle confidential information shown to you by a company
you are inspecting.
Finally, we will spend a few minutes talking about situations you have encountered and how to
prevent different responsibilities in your job from conflicting with your job as an inspector.
4-2
Facilitators Manual
Official representative
The title, ROLE OF THE INSPECTOR will appear alone. Use that as the prompt for
discussion about the different roles BEFORE clicking the mouse to advance. Ask:
What different roles do you serve during your inspection duties? Think about how your job
fulfills different needs of your agency, and how those needs affect your activities and conduct.
Lets list a few different responsibilities you have as part of your inspection duties.
Have the recorder write the responses on a flip chart. Spend 5 minutes developing and
discussing the list.
I have listed a few here that Ive thought of. Some of these are on our list.
Click the mouse to bring up the first bullet.
Official representative: You represents your agency and may be the only
government official ever seen by a plant manager. This role requires tact, a professional attitude,
and diplomacy. In addition, the facility staff and management may hold you accountable for
other governmental activities completely outside your scope of work.
4-3
Facilitators Manual
Official
representative
Witness of Fact
Witness of Fact: The inspector gathers information at a regulated facility that may
be used to determine whether a facility is in compliance with the law or not. The inspector is the
eyes and ears of the regulating agency. This task requires extensive knowledge of the
requirements and skill in obtaining information and following up on leads to identify less obvious
violations.
It is imperative that the inspector gathers information of verifiable quality, and documents its in a
way that supports a finding of fact. The inspector then organizes the documentation into a
supportable narrative report. The focus of this course is to improve your skills in this area.
In the legal universe, there is no such thing as a fact unless it is determined to be so by the
trier of fact (a judge, jury, or hearing official). The inspector is therefore not the trier of fact as
they do not legally determine the facts by themselves. However, the documentation gathered by
the inspector and the testimony they give can be entered into evidence to support the
determination of the facts of a case.
4-4
Facilitators Manual
Official
representative
Witness of Fact
Enforcement
case developer
4-5
Facilitators Manual
Official
representative
Witness of Fact
Enforcement case
developer
Provider of
enforcement
presence
4-6
Facilitators Manual
Official representative
Witness of Fact
Enforcement case
developer
Provider of enforcement
presence
Technical
educator
4-7
Facilitators Manual
Official representative
Witness of Fact
Enforcement case
developer
Provider of enforcement
presence
Technical educator
Technical
authority
Technical authority: Inspectors may be called upon to help the agency interpret
regulatory requirements, assess the adequacy of control measures, interpret technical data, and
assess environmental effects. You probably have more experience in the field seeing how the
environmental programs are implemented than anyone else in your agency.
4-8
Facilitators Manual
We talked earlier about different types of inspections you conduct. Here are a few broad
categories of activities that we consider. The approach to each one varies.
Compliance monitoring inspections are usually routine inspections to determine if a facility is in
compliance with the regulations and is operating the facility in a manner that will prevent
environmental harm. This course focuses around this particular type of inspection.
Criminal investigations are somewhat different in that we are acting on the suspicion that the
individual or company under investigation has purposefully broken the law. We are trying to
determine the facts and to collect evidence that will put that person in jail or severely penalize
them. In these situations, the police or other law enforcement agencies may be involved, and the
inspection can be much more confrontational. However, the collection of evidence and
observation skills that you will need are the same.
Finally, how many of you are called upon to provide compliance assistant to the regulated
community to help them better understand their responsibilities under the law? Ask for a show of
hands, then ask a couple of them the following:
What kind of Compliance Assistance to you provide?
Do you provide that assistance during your normal inspection?
There can be an awkward overlap between helping and enforcing at a particular facility. On one
hand, we are trying to be friendly while on the other hand, we are looking for evidence of
violations that may lead to a serious enforcement action and penalty. It may be best to separate
these two activities so there is no confusion between whether you are helping a company comply,
or trying to force the company to fix their violations.
4-9
Facilitators Manual
ETHICS
When in Doubt, Don't!
Q
Professionalism
Integrity and impartiality
Conflict of interest
Standards of conduct
10
Integrity and professional impartiality are crucial. The inspector must not only be impartial, but
must also appear to be impartial. Ask yourself how things would look to your boss, your mom, or
the press.
Enforcement actions based on the inspector's work may represent a major commitment of your
agencys funds and time. Success before a judge or court may hinge on the inspector's freedom
from bias, so dont jeopardize a case by even an appearance of bias.
It is crucial that inspectors be familiar with and comply with laws and regulations about conflict
of interest and ethics. This could also needlessly jeopardize a case.
Have any of you ever experienced unethical behavior in your work? Ask for a show of hands. I
can understand if you dont wish to discuss particular instances, but does anyone have an
example? Encourage them to share, but understand reluctance to discuss sensitive or
compromising situations. Listen to their examples if they are unwilling to share, use the below
examples or others from your own experience to spark discussion.
Two examples I know of involve inspectors who did not think they were doing anything wrong at
the time, however, the appearance of impropriety affected the rest of their work.
1.
A senior inspector finished a thorough inspection the found several
significant violations. His inspection report was a key piece of evidence during the trial and he
was called to the witness stand. He had listed on his resume that he had a masters degree in
environmental engineering, but when asked by the defense attorney about his background, he
admitted that he had not finished his thesis and was not awarded the degree. This put the rest of
his testimony in question, and the case was lost.
(Notes continue on the next page without a slide; dont advance the slide)
Role(s) of the Inspector
4-10
Facilitators Manual
2.
An inspector was asked to do an inspection at a facility where his
brother worked. No violations were found, but the inspection was called into question because of
the apparent conflict of interest.
Do any of you have written guidelines from your agency on Ethics? Please describe.
What are some of your standards of conduct?
Professionalism
Dress (do you wear a uniform?)
Knowledge of the regulations and law
Not accepting gifts or bribes
Continue the Discussion bring out other standards of conduct.
4-11
Facilitators Manual
Planning
Specific tasks
Broad perspective
Trouble shooting
Work as a team
Complete report
12
How many of you conduct inspections by yourselves? Do most of you go out as part of a team of
inspectors? A team can be any size more than one. Wait for a show of hands.
The team leader is responsible for all planning aspects of the inspection, as outlined in the next
session, Inspection Planning. Team members should assist in the planning process and offer
suggestions, but defer decisions to the team leader.
Team leaders are the primary trouble shooters in the field. They are the focal point for
interaction between the team and the facility, their lawyers, the media or public. They coordinate
communication and prioritize responses to events or emergency situations.
The team leader is also responsible for supervising on-site and post-inspection activities, to
include completion of the inspection report. Normally, all team members will assist in this effort,
usually writing up portions of the report concerning areas they inspected while on site. While onsite, inspectors are responsible for following all safety requirements, to include ensuring that
contaminated equipment is disposed of or cleaned properly.
The bottom line is that the team leader and team members must perform as a team, with the
teams overall success being the paramount goal. Team members must guard against becoming
buried in individual tasks and losing sight of the big picture. Likewise, team members must avoid
a parochial set of blinders which might cause them to overlook potential violations in media other
than the program to which they are assigned. On the other hand, the team leader must ensure that
the team members stay focused on the inspection objectives, and accomplish those objectives in a
timely manner. Finally, the team leader will coordinate potential enforcement actions with
management and the legal staff, and assign individual team members to assist in specific
enforcement activity as appropriate.
4-12
Facilitators Manual
Confidential Business
Information
13
Inspectors gain access to and collect information that companies ordinarily would not make
available to outsiders. We may need to see that type of information to make a compliance
determination.
Your agency should develop procedures to ensure that confidential information is not released.
This will provide the facilities more security that the information will not be released.
4-13
Facilitators Manual
What Is Confidential?
Q
Proprietary data
Chemical formulations
Special process operations-special
techniques
Financial information-lists of customers
Anything that might give another company
a competitive advantage
14
Inspectors gain access to and collect information that companies ordinarily would not make
available to outsiders. We may need to see that type of information to make a compliance
determination. Your agency should develop procedures to ensure that confidential information is
not released. These procedures will provide the facilities a greater sense of security that the
information will not be released and they will speak with you more openly.
CBI is information such as process, formulation, sales, and production data that could hurt a
company's competitive position if it became known publicly. In many cases, companies work
very hard and spend large amounts of money to develop their product or process in the most
economical and profitable way possible. Release of that information to other companies can
eliminate their competitive advantage and threaten the profitability of a company.
Please use your own example where access to CBI has been necessary, or use this one:
For example, a petroleum refinery I inspected had a unique process that could take low quality
crude oil, used oil, and even contaminated water, and refine the materials into gasoline. They
were the only refinery in the United States with this type of process, and were able to take
material everyone else would consider waste and convert it to gasoline. The unit was very
profitable, since they could get the raw materials very cheaply. We needed to examine the
process to ensure that they were not, in actuality, illegally treating or disposing of hazardous
wastes. The company reluctantly allowed us to review their confidential engineering records,
(after being assured that WE go to jail if the information is released). We were able to determine
that the unit was operating in compliance with environmental laws, and they were able to
maintain the confidentiality of the process, and their profit.
4-14
Facilitators Manual
Enforcement Confidentiality
Pre-decisional (draft) documents
Prejudicial information
Q Internal deliberations
Q Contrasts with transparent and open
governance
Q
Q
15
Some of the governments information needs to be treated confidentially for other reasons having
nothing to do with proprietary business secrets. When we engage in enforcement proceedings,
certain documents should be shielded from the defendant and from the public for a variety of
reasons.
Initial agency determinations often should not be made public until a final decision is reached. If
draft documents are made public, we are often put in an awkward position where we must defend
statements or conclusions that dont represent official views. For example, we may write a draft
inspection report that fails to cite a particular violation that is later changed based on a more
thorough analysis of the facts or additional evidence.
Another reason for keeping enforcement information confidential is the potential damage to a
companies reputation or business is potentially damaging information is leaked to the public
before it can be confirmed. For example, a facility may be targeted for an inspection based on
complaints that they have polluted the groundwater. After the inspection and sampling, the
agency may determine that there is no problem. If the public found out the company was
targeted, they may become unnecessarily concerned about their water just by knowing the facility
is under investigation or unnecessarily condemn the company.
In many cases, documents concerning internal agency deliberations about subjects such as
penalties or enforcement responses may be kept confidential to allow the agency to discuss or
analysis different ideas before reaching a decisions. Early release could jeopardize the case.
Withholding information from the public must only be done when it is crucially important.
Otherwise, the public has a right to know what their employees in the government are doing.
Transparency and openness in governing allows the public to oversee our actions and participate
more fully in a democratic government.
4-15
Facilitators Manual
Our next topic is called Enforceability of Regulations, and well discuss how to analyze a
regulation or permit condition and determine how to inspect for compliance with that regulation.
You will need to work as a group to assess a requirement and determine how to determine
compliance with the requirement.
_________ will be facilitating that session. (introduce the next speaker). Were going to take a
break for lunch, now. Describe lunch logistics and location. Please be back at (_____) so we
can keep on track.
4-16
Facilitators Manual
Session 5:
What Makes
Requirements
Enforceable
Environmental Compliance
Inspection Course
This topic contains a brief talk on what is needed to interpret a regulation and prove a violation.
The lecture portion should be covered quickly to leave adequate time for the exercise.
The primary goal of an inspector is to determine the compliance status of the facility inspected.
As stated before, the goal is not to find violations, but to establish whether or not the facility is in
compliance. We are fact finders, and success is determined not by the facts we find, but whether
we find everything we need to know.
5-1
Facilitators Manual
This morning, we discussed different ways to achieve environmental goals. Does anyone
remember what they were?
Voluntary Approaches
Economic or market-based incentives
Liability
Societal or Public Pressure
Legal/regulatory approaches
Were now going to discuss three different types of requirements used to meet environmental
goals.
A technology standard requires the regulated community to use a particular type of technology
(e.g. best available technology) to control or monitor emissions. Technology standards are
particularly appropriate when the equipment is known to perform well under the range of
conditions generally experienced by that type of source. It is relatively easy for an inspector to
determine whether sources are in compliance by checking if the equipment is in place and
functioning. Can someone give me an example? (Particulate scrubber required on coal
burning power plant)
Performance standards limit the amount or rate of particular chemicals or discharges , but allow
the source to choose which technology they will use to meet the standard. Often the standard is
based on limits achievable through the best technology, but that technology is not required,
allowing for more flexibility. Can someone give me a specific example? (discharge limit of 5
mg/l lead in waste water.) How do you measure compliance (Sampling and analysis is
required).
An economic standard may assess a fee, tax or charge for certain activities or emissions. It may
also involve tradeable emission rights making the right to pollute a saleable commodity. What is
an example? (per ton tax on hazardous generation.)
5-2
Facilitators Manual
Elements of Proof
Key information to establish compliance
Q What do we need to determine before
the inspection?
Q What do we need to determine during
the inspection?
Q
The requirements are the standard or practice with which we are determining compliance. We
need to discover how they apply and whether the facility is obeying these standards.
So, what are some things that make a requirement enforceable and easy to inspect? Get some
suggestions.
Clear standard or limit
Defined applicability
Explicit expectations
Observable activities
Record-keeping
We use the term elements of proof in a legal context to list the specific information needs to
prove a violation. Before you go on your inspections, you need to determine the information
you will need to determine the compliance status at the facility. Those information needs will
vary depending on the requirement. You need to determine what information you need to
gather before you get there, and understand that you will probably need additional
information after you leave.
Say you find a dead person on the street. Was a murder committed? What do you need to
establish?
1. Is the person dead?
2. Were they shot?
3. Is there a gunshot wound?
4. Where is the gun?
5. Who Shot the gun?
5-3
Facilitators Manual
The Requirement:
The owner or operator of a
registered sewage treatment plant shall
not discharge to a protected water
more than 90 mg/l of suspended solids
from its permitted discharge pipe
except during cleaning of the surge
tank.
4
Lets look at a sample requirement written to help protect a particular water body.
(Read the requirement).
First, is this a Technology, Performance, or Economic Standard? How do you know?
(Performance, it specifies a limit, but not how to meet the limit)
The owner or operator of a registered sewage treatment plant shall not discharge to a protected
water more than 90 mg/l of suspended solids from its permitted discharge pipe except during
cleaning of the surge tank.
Now, lets quickly go through the facts you will need to establish to demonstrate compliance or
prove a violation.
5-4
Facilitators Manual
Who ?
The owner or operator
of a registered sewage treatment plant shall
not discharge to a protected water more
than 90 mg/l of suspended solids from its
permitted discharge pipe except during
cleaning of the surge tank.
5
(The next few slides are animated by mouse click. You should ask the question, then click the
mouse to reveal the answer in the requirements language.)
The first thing to determine is to whom the requirement applies.
Click
The owner or operator of the wastewater treatment plant is responsible for compliance. This
example tells us what type of facility, and who carries the liability at the facility. Note, it is not
the laboratory technician or the engineer that designed the plant, but the owner/operator.
5-5
Facilitators Manual
5-6
Facilitators Manual
What?
The owner or operator of a
Next, we need to determine what type of facility the requirement applies, and what whether this
particular facility meets that definition.
Click
The requirement is for registered sewage treatment plants. If the facility is something else, they
dont need to worry about compliance with these rules.
5-7
Facilitators Manual
5-8
Facilitators Manual
Where ?
The owner or operator of a
registered sewage treatment plant
5-9
Facilitators Manual
discharge
pipe/ditch
Q Check
whether
water is protected
You need to determine if the facility is discharging to a protected water. If not, then the
regulation doesnt apply. There are two parts to this question:
Are they discharging?
Click
Is the water protected?
Click
If either of these conditions is not met, then the regulation doesnt apply.
5-10
Facilitators Manual
How Much?
The owner or operator of a registered
sewage treatment plant shall not
discharge to a protected water
11
5-11
Facilitators Manual
may be required
How are we going to determine if they are above or below the limit?
Click
You may be required to sample, or you may be able to use the facilitys sample results, saving
you some money. However, you would then have to establish the veracity and accuracy of their
results. There may be additional requirements for self monitoring and quality assurance/quality
control that may make their monitoring accurate enough for you to use.
5-12
Facilitators Manual
When?
The owner or operator of a registered
sewage treatment plant shall not
discharge to a protected water more
than 90 mg/l of suspended solids from
its permitted discharge pipe
When does the requirement apply? Are there any special conditions or exemptions?
Click
If they are above the 90 mg/l limit, but they are cleaning the surge tank, then they are not in
violation. You will need to establish whether the surge tank was being cleaned or not.
5-13
Facilitators Manual
5-14
Facilitators Manual
The Requirement:
The owner or operator of a
registered sewage treatment plant shall
not discharge to a protected water
more than 90 mg/l of suspended solids
from its permitted discharge pipe
except during cleaning of the surge
tank.
15
Finally, you can see how many parts there are to a particular requirements. Some lend
themselves to easy verification, while others are hard to determine. I wish all our requirements
were this straightforward!
You can make this process easier by developing checklists or inspection guides that break a
requirement down into the items you must verify during your inspection. I have brought a few
examples of checklists that we use in our program in the United States. You will find that they
are based on specific regulatory programs and may not apply to your situation, but they are good
examples of how a checklist can work.
Some of these checklists were designed for industry to audit their own activities, but they serve as
an excellent guide for industry as well.
5-15
Facilitators Manual
16
Now we have an exercise for everyone that will help reinforce what we have discussed. Look on
the back of your name tent and you will see one of three colors, Green, Blue, or Red. That tells
you which group you will be in. But, before we break into groups, let me explain the exercise.
Turn to the end of this section in your manual. You will find three environmental goals. For each
goal, we have two possible requirements to achieve the goal. Working together in your groups,
please answer the following questions:
First, determine which requirement (A or B) you would rather enforce or inspect
and why. Look at the key elements in the requirement, and decide how easy or
difficult it would be to demonstrate compliance with the requirement.
Second, after your group has chosen your favorite requirement, I would like you to
identify what information you would need to determine if the plant is in
compliance. Think about how that information would be collected, and how you
would conduct your inspection.
In 30 minutes, I would like two people from each group to come forward. The first person will
tell us which regulation they chose and why, and the second person will list out the key elements
of proof and how they will collect that information.
Any suggestions on ways to improve the regulation will also be appreciated.
5-16
Facilitators Manual
Technology Standard
A or B?
Q What do you need to know?
Q
17
Providing a companion requirement that the company keep records and make them available
to inspectors.
5-17
Facilitators Manual
Performance Standard
A or B?
Q What do you need to know?
Q
18
All operations emitting sulfur dioxide are covered. This may include many more operations
than just power plants.
The requirements penalize operations that already have low sulfur dioxide emissions. In fact,
if some companies are already using effective control equipment, they may not be able to
lower their emissions any further.
The requirement does not specify the time frame over which the reduction is to occur.
5-18
Facilitators Manual
Economic Standard
Q
A or B?
What do you need to know?
19
5-19
Facilitators Manual
Most of the following key points will be elicited by asking the questions listed above. Fill in the
gaps as appropriate.
These requirements were designed to provide incentives for pollution prevention. Problems with
Requirement B are:
It creates a situation where companies have to spend money either as a fee or to prove that their
waste is not hazardous.
The requirement does not define what a significant risk is nor does it say what kind of data
would be acceptable to show that a waste is not hazardous. Much time and money could be
wasted debating these issues.
The regulation places a burden on the government to review all submissions by industry to
determine whether they really demonstrate that the waste is not hazardous.
It is not clear what, if any, fee a company would pay in a situation where the company claimed
that a waste was not hazardous and the government decided several months later that it was
hazardous. Would the company pay a fee for the period of time that the nature of the waste was
in dispute?
More detailed requirements are not always more enforceable. It is possible for the requirement to
be so detailed that it becomes confusing or even more difficult to enforce. On the other hand,
more detail can help to clarify and, if done properly, does not necessarily diminish the flexibility
of the regulated community. It is all a matter of balance.
5-20
Facilitators Manual
Planning Is Critical
Q Before
you
conduct the
inspection,
know what you
need to know.
When writing a requirement, it is very important to ask exactly what kind of information an
inspector would need to determine whether a facility was in compliance and whether or not that
information is available. The information kept by a company for its own business purposes may
be very different than the type of information an inspector would need to monitor compliance
with a requirement. It is often important to include a provision in the requirement that requires a
company to run certain tests at certain times, keep certain records, and submit these records to the
government or make them available to inspectors.
Compliance and enforcement are concerns only if there is a requirement (except as we mentioned
earlier for liability-based approaches). Environmental requirements must be enforceable to
ensure the environmental results they are designed to achieve. To be enforceable, requirements
must be clear and not subject to misinterpretation or debate.
If they are clear and complete:
We can be more sure that they will achieve the environmental goals we want.
Enforcement will be easier.
The regulated community will understand the requirements and will be able to more accurately
plan for compliance in their business decisions.
They also should provide enforcers with enough information to assess compliance.
If a regulation is not well designed:
You may not achieve the desired environmental results.
Enforcement will be difficult, lacking essential information.
Differences in interpretation may cause problems between government and industry.
Think about these these things and the information you will need before you conduct the
inspection. As you will see in the next section, this is only one part of the critical planning you
will need to conduct before you leave your office.
5-21
Session 6:
Time:
Equipment:
Preparation:
Handouts:
Inspection Planning
1 hour
Projector for slides
Study Notes
Think of Anecdotes
None
Facilitators Manual
Inspection Planning
Environmental Compliance
Inspection Course
From your own experience or the anecdotes described below, tell the group some horror stories
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.
Do you know who Murphy is? He wrote, "Murphy's Law which applies to inspections as well
as everything else:
"If anything can go wrong, it will."
You should always plan for your inspections to prevent the worst from happening:
Inspection Planning
6-1
Facilitators Manual
Make the most efficient and effective use of the time spent on site
Inspection Planning
6-2
Facilitators Manual
Be Prepared!
This is a photograph of a wood product plant where they make pressed plywood. As you can see,
it is not the cleanest operation, and there are multiple sources of pollution. Where would you
begin your inspection? What hazards may exist on the facility that could put you in harm? What
questions are you going to ask? You need some sort of plan of attack so you can conduct the
inspection in the most efficient way.
What are some planning activities you can think of doing before an inspection?
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 include at least the points
shown below.
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
procure it
appropriate
Inspection Planning
6-3
Facilitators Manual
For complex inspections, we will list all these elements in a written Project Plan. The plan should
include a discussion of :
Objectives of the inspections
The background of the facility
What Tasks you hope to accomplish during the inspection
What policies and procedures you and your inspection team must follow
Any safety concerns to ensure you come back from the inspection unharmed
Any resources you will need such as people, funding, cars, etc.
The schedule for the inspection when you will begin, and when you will present the final
report.
I will discuss each of these elements in detail.
Inspection Planning
6-4
Facilitators Manual
Inspection Planning
6-5
Facilitators Manual
Gather Background
Information:
Q
You should 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
Inspection Planning
6-6
Facilitators Manual
Inspection Planning
6-7
Facilitators Manual
Facility Map
When you are inspecting facilities with multiple buildings or units, you should try to get a map
or plan for the facility. This might be found in previous inspection reports or other files in your
agencys office, but you may not be able to find one until you actually get on the site.
This is less important at smaller facilities, since it is easy to find your way around. However,
even at smaller facilities, some type of floor plan or map can be very useful as a guide for your
notes. You will be able to show what areas you visited, the location of different pollution
sources, and where you may have taken samples.
A map, such as the one here, can also serve as an important piece of evidence as you explain the
violations or impact of the violations in a court. It can help others better understand the layout of
the facility.
Inspection Planning
6-8
Facilitators Manual
Identification of Tasks
Q
Your project plan should list each task or activity that must be accomplished to meet the
objectives of the inspection. Some of these will be the same for any type of inspection, but there
will be some variation depending factors such as whether or not you intend to sample, what
specific areas of the facility you want to visit, and what environmental media you are concerned
with.
You should also list what specific questions you need answered or areas of focus. This may
include areas of the facility you need to observe, or people you need to talk with. Many of our
inspections are the result of a complaint from a neighbor or another concerned person. You
should specifically list a review of those issues as part of your list of tasks.
Inspection Planning
6-9
Facilitators Manual
10
You need to be aware of any special procedures your agency may impose on you during the
inspection. Some of these may come from agency policy, while some may be mandates from the
legislation. They may vary depending on the scope and purpose of the inspection. For example, in
the United States, one of our environmental laws requires that inspectors obtain a written statement
from the facility giving permission to inspect. However, the other environmental laws do not have
this requirement, so an oral authorization is adequate.
Another issue to resolve before beginning the inspection is whether or not to tell the facility you are
coming before you arrive. Lets talk about that for a minute. Who thinks you should call ahead of
time and make an appointment? Who thinks you should show up unannounced? Take a vote.
Alright, lets make a list of the Pros and Cons of announcing your inspection.
Using a flip chart, ask for at least 5 pros and 5 cons for announcing the inspection ahead of time.
Typical suggestions include:
PRO
CON
You may also need to notify other regulatory agencies. In the United States, the Federal EPA can
conduct inspections, but we share that authority with our states through annual agreements with
them. These agreements often outline the terms for EPA inspecting when the primary regulator is in
the State. This may also occur with local governments, or even police. Be mindful, and make sure
everyone that needs to know, knows.
Inspection Planning
6-10
Facilitators Manual
Safety Plan
Requirements of specific organization
Q Safety equipment required
Q Special safety considerations
Q
11
This course will not cover your health and safety concerns very much at all. However, we do
believe that it is an extremely important topic, and one you should think about continually as you
prepare for and conduct your field work. In many cases, the very nature of our business is
dangerous and requires extra care to stay safe. Many of the chemicals that pollute our
environment are regulatory concerns because of their toxicity or risks, so every time you are near
these chemicals you are putting yourself at risk. In other situations, there may be physical risks
from machinery or activities at the sources we are inspecting. Pay attention.
Your agency or other agencies may have specific requirements to keep you safe as you do your
job. For example, in the United States, the Occupational Safety and Health Administration, a
completely separate agency from the Environmental Protection Agency, sets the standards for
worker safety. One of those standards applies for inspectors, and requires us to attend up to 40
hours of health and safety training before we can go on a site with hazardous materials and 8
hours of refresher training every year. If your subject to similar requirements, make sure you
follow them.
As part of your inspection planning, you should develop a Site Safety Plan. This plan should
identify potential hazards at the facility and how you intend to reduce your risks to an acceptable
level. It should also specify what type of equipment you need to protect yourself. What type of
safety equipment do you have available? How many of you have hardhats? Steel toe shoes?
Respirators?
What should you do if you are presented with a condition that you do not have the equipment to
handle, for example, an area with high levels of toxic chemicals in the air with no respirator? You
should avoid the situation your health is more important than the violation.
Inspection Planning
6-11
Facilitators Manual
Safety !
Be Prepared!
Know what kind of
hazards you are
dealing with!!
12
The main thing to keep you safe is to understand what the hazards are so you can avoid them.
This picture is from a landfill full of drums of unknown material giving off some type of fog. As
we later found out, this fog was highly flammable, and could have lead to an explosion if any
spark or source of ignition was present. If we had charged right in assuming it was not
hazardous, we could have easily blown ourselves up, as well as everyone within hundreds of
meters.
Inspection Planning
6-12
Facilitators Manual
Resources
Q
Laboratory support
Q Administrative support
Q Money
Q Time
Q
13
Your inspection plan should outline everything you will need for the inspection including people
and expertise. You should list who will be going on the inspection, including yourself, and if
any additional support will be needed. This document may be used by management to allocate
resources, so you should clearly spell out what you need. Depending on the scope of the
inspection, you may need more or less people.
You should also list any laboratory support you will need, and contact the laboratory before you
go. Laboratories dont like samples that arrive at their lab unannounced, and you should let them
know what to expect. We have lost cases where laboratories received important samples but
were not able to process them quickly enough to use the results. In other cases, samples were
sent to a laboratory that did not have the capability to test for the particular contaminant of
concern because the inspector did not check with the laboratory on their capabilities prior to
collecting the sample.
Finally, list any other supplies or support you will need. You should include an estimate of the
cost of the inspection, both in terms of travel expenses and time.
Inspection Planning
6-13
Facilitators Manual
Milestones in
Schedule Development
Q
Schedule
Date for the pre-inspection planning
meeting
Date of the inspection (on site)
Q
Q
Opening conference
Closing conference
Draft report
Final report
7
8
7
9
APRIL
APRIL
A PR
IL
A
PR
IL
14
Your inspection plan should specify when certain milestones will be reached before, during, and
after the inspection. These should be agreed to by all members of the inspection team and
management. You should set a date for meetings prior to the inspection, the dates of the actual
inspection itself, and dates when the inspection report will be finished. In some situations, you
may have different people writing different parts or sections of the report. When that happens,
you must have a due date or they will put things off and never finish the product. While there
may be some uncertainty due to outstanding information such as sample analysis results, you
should have projected or target dates.
Inspection Planning
6-14
Facilitators Manual
Finally, if more than one person is going on the inspection, you should have a meeting with
everyone going to the facility. This gives everyone the chance to share any information they
know about the facility with the group and for each member of the team to discuss their strategy
for the inspection.
Also, it helps you form a true team. You will need to work together during the inspection, and
building a rapport with everyone helps. In some cases, inspectors may come together from
different locations or programs to conduct the inspection. It is much more effective if they meet
each other before they arrive on the facility.
Inspection Planning
6-15
Facilitators Manual
In your notebook, Ive included an Inspection Planning Checklist that runs down through
everything Ive said on a one-page form. Even if you are going on an inspection at a fairly simple
facility, it is worthwhile to at least go through this checklist in your mind to make sure you
havent left anything out of your planning. Read through the checklist as summary.
GENERIC INSPECTION PLANNING CHECK LIST
OBJECTIVES
What is the purpose of the inspection?
TASKS
What records, files, permits, and regulations will be checked?
What coordination with laboratories, other programs, attorneys, and state or
local governments is necessary?
What information must be collected?
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?)
Inspection Planning
6-16
Session 7:
Time:
Equipment:
Preparation:
Handouts:
Facilitators Manual
Collecting Defensible
Evidence
Environmental Compliance
Inspection Course
This session will introduce the rules of evidence and their relevance to the activities of the
inspector. While the session is written in a general way, there may be significant variations on
the rules of evidence for a particular country. If possible, have a local authority present this
session, or at least be present to identify and respond to information that is not consistent with
host country practices. Begin the session with an obvious example of a murder call someone to
the front to be the murder victim, then kill them. As they lie there, dead, ask:
What just happened here? You come upon the scene and find a dead person. What do you need
to determine if a crime occurred? Evidence What specific evidence?
Is the victim dead? (medical evaluation)
Did anyone see what happened? (witness)
Who is this person? (documents of identification)
How were they killed? (gunshot wound?)
Is there a murder weapon? Bullets? (sample or real evidence)
Why are these questions important? They establish the facts of what happened the proof we
need to determine the truth.
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.
This session will:
Guidance you on documenting evidence to ensure its admissibility in a court proceeding.
Present procedures for recording and documenting observations.
Present tips for improving techniques.
Make sure to remember to bring the murder victim back to life and thank him/her.
7-1
Facilitators Manual
What Is Evidence?
Q
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.
Our dead person may have killed themselves, so we need to look at situation in an unbiased,
impartial way and determine what happened the facts of the situation.
Not all evidence is admissible, but evidence that is not admissible still can be useful as you
develop your case. Remember, most cases are settled before trial, and all evidence may be
helpful during negotiations.
7-2
Facilitators Manual
The title of this slide will come up alone. Ask the question, Why do you collect evidence? and
spend a few minutes discussing some of the different reasons people collect evidence. Some
possible responses are listed below:
Why would you collect evidence as part of your inspection?
Demonstrate your observations to others
You were the only one that can see things through your eyes. However, you must
relate what you saw and observed to people that were not there. Evidence will
help you share your experience in such a way that others can be there through
you.
Convince a judge/jury that your conclusions are correct
We have to convince others that your interpretation of the situation is correct.
Evidence can help do that by proving the facts exist as you describe them.
Refresh your own memory for later use
As time passes, we tend to forget the details of the things we observe. Evidence
can help us bring those issues back into our memory.
7-3
Facilitators Manual
Examples of Evidence
Lets list some examples of evidence you might collect to document an environmental crime:
Appoint a recorder and develop list of examples from audience. Leave some space on the
margin for later classification. Dont discuss each in detail you will do that later, just list
ideas. Later in the session, you will refer back to this list to decide what type of evidence each is
Testimonial, Documentary, Demonstrative, or Real. Also, you will assess the strength of each
example Examples:
Witness that saw what happened.
Sample of waste stream
Letter authorizing discharge
Process information flow diagrams
Sketches of area
Photographs
We will discuss a few of these in greater detail throughout the course, but I want to go through
evidence in general and the legal importance of evidence as you try to make your case.
7-4
Facilitators Manual
Types of Evidence
Testimonial
Q Documentary
Q Demonstrative
Q Real
Q
These are four general types of evidence. I will discuss each in detail.
Testimonial
Documentary
Demonstrative
Real
7-5
Facilitators Manual
Testimonial Evidence
Q
Interview
Mr. Honest said
Witness testimony
7-6
Facilitators Manual
Documentary Evidence
Q
Q
Field notes
Documents
Messages/letters
Accounting ledgers
Computer printouts/files
Manuals/SOPs
Q
Q
Inspection Reports
Sample Results
Documentary evidence is anything written that describes the facts in question. It may document
activities, events, or conditions important to your investigation of findings. Examples include:
Your field notes
Documents from the company such as
Messages/letters
Accounting ledgers
Computer printouts/files
Manuals/SOPs
Inspection Reports
Sample Results
7-7
Facilitators Manual
Demonstrative Evidence
Q
Demonstrative evidence demonstrates or helps to clarify or explain the facts or the point you are
trying to make. Alone, it is usually insufficient for proof, but can help explain or demonstrate
other evidence or help the judge or jury understand the situation better. Examples include:
Photographs (Session 13 covers types for good documentary photography)
Maps
Flow charts
Diagrams
7-8
Facilitators Manual
Real Evidence
Q
Samples
Container or label
Object or item
Real evidence is an actual item or material. In the case of our murder, a piece of real evidence
would be gun and bullets used to commit the crime. A sample of contaminated dirt would be real
evidence, but would be of limited use without some documentary evidence, such as the sample
results that show that it is contaminated and, possibly, a picture of the sample where it was
collected and a diagram showing where the contamination is located. This could also be
presented along with your testimonial evidence as you describe to the judge how you collected
the sample.
This is a good example of how different types of evidence should support each other. One type or
piece of evidence is not worth much without additional evidence to help it prove the point.
7-9
Facilitators Manual
10
Good evidence will answer the key questions that establish the truth of the situation.
Now you can use the list of examples of evidence to illustrate the different types of evidence. Go
through the list and mark whether the example is Testimonial {T}, Documentary {Doc},
Demonstrative {Dem} or Real {R}. If there are not examples of each type, ask the group to fill in
the gaps.
Now, lets go back to our list of examples and classify them into one of these four types.
Witness that saw what happened. {T}
Sample of waste stream {R}
Letter authorizing discharge {Doc}
Process information flow diagrams {Dem}
Sketches of area {Dem}
Photographs {Dem}
7-10
Facilitators Manual
11
How many of you have heard of O.J. Simpson? One of the reasons he was not convicted for the
criminal act of murder was that the prosecution could not prove the evidence collected in the
investigation had not been tampered with. Blood stains found at the crime scene were tested to
determine blood type and to provide DNA samples. Blood stains were found in O.J. Simpson's
white Bronco, on a pair of socks in his bedroom, on the pair of gloves, at the crime scene, in O.J.
Simpson's driveway and in his house. The prosecution states that the blood evidence proves that
O.J. Simpson is the murderer, while the defense contends that the blood was contaminated and/or
planted. Because some of the blood samples were out of the control of the police and were not
always handled according to procedure, the defense was able to raise enough questions about the
collection and analysis done to give the jury reasonable doubt.
7-11
Facilitators Manual
Identification
Chain-of-Custody
12
7-12
Facilitators Manual
13
Chain-of-custody is The meticulous process of showing the succession of persons who handled
or had access to the evidence
It is imperative that we be able to demonstrate that a piece of evidence, such as a sample, was
never tampered with. Otherwise, we can not prove that the evidence is what we describe. It
could have been altered or changed between the time it was collected and the time it is presented
in court.
For example, lets say an inspector collects a few samples to document an illegal discharge of
solvents into a river. He carefully takes the samples, then leaves them in the facility managers
office while he finishes his inspection. Later, the sample results come up very high in ammonia,
and he reports the violation. In trial, how is he going to prove that the results are from the
discharge when the defense attorney asks about the cleaning lady that accidentally poured
cleaning solution into the jars.
7-13
Facilitators Manual
14
The secret to maintaining a chain of custody is to show that it is under your control from the time
you collect the evidence until you place it under the control of someone else that can testify about
its disposition. To demonstrate that control, you must be able to show that it is in your
possession, control, and presence, or it is in your view, or in a restricted storage area. Sitting in
your car with the windows open while you are in a restaurant eating lunch would not qualify, but
being locked in the trunk of a car to which you have the only keys would be under your control.
You can document control by using a form that notes whenever control is passed from one person
to another. The form requires that each person sign, date, and note the time when they accept the
evidence and when they pass the evidence on to someone else. This form can then be used to
show that the evidence was always under someones control.
7-14
Facilitators Manual
15
One thing that will help you establish the credibility of your activities, and thus the credibility of
the evidence you collect is that you always act the same way. You should regularly do things
the same way, and establish good working habits so that you can say you did things they way
you always do it.
You testimony can be supported this way:
Q. When you talked to this employee, did they know who you were?
Q. But, there is nothing in your notes that says you told him who you were.
No, but I always tell people who I am before I talk to them and give them my card.
Q.
A. No, but our agencys standard operating procedures and training states that inspectors should
always identify themselves before conducting an interview. I have conducted 230 inspections
following that protocol, so Im sure I did the same thing this time, too. It is a habit to identify
myself and present a business card when Im done with the interview.
This line of questioning would apply whether you are discussing an interview or any other
common activity done as part of your inspection. As you will see, this is especially important
when we discuss sampling protocols.
As a government inspector, the evidence you collect will be given a higher regard in the courts
merely because of your position with the government. However, if you deviate from your
agencys standard protocols or do things differently than usual, it can call your results into
question.
This is not to say you should never deviate from the SOP, but when you do, that becomes
something out of the ordinary that should be documented. If you dont follow the protocol,
explain why in your notes, report, and any testimony.
7-15
Facilitators Manual
Waste Woes
Q
Q
Documentary
Demonstrative
Testimonial
Real
16
Now you will conduct an exercise where the students determine what type of evidence, and some
specific items they should collect, to support their findings in a situation. Hand out the article
Waste Woes or another article or case study from the host country. Split the class into four
groups, Testimonial, Documentary, Demonstrative, and Real. Have each group list several
different items they would collect as evidence for the situation in the article. Give the group fiveten minutes then have each group present their list.
The Star, Kuala Lumpur, Malaysia Tuesday, July 10, 2001 (thestar.com.my/news)
Waste Woes at Sungai Masi
By Shahar Yaacob
PASIR GUDANG: After a recent toxic spill from a sunken tanker, hundreds of fishermen in Pasir
Putech here are being plagued by chemical dumping.
They found more dead fishes and other marine life in Sungai Masai Monday.
The fishermen claimed that the Pasir Gudang municipality garbage disposal site located close to
the river was contributing to the problem.
Yassin Montel, 66, said factory owners here had been taking advantage of Sundays and public
holidays to dump chemical and other toxic waste at the site.
Another fisherman, Mustaffa Khalil, 44, whose house is among those on stilts by the waterfront,
said dead fishes were trapped under the houses,
Mustaffa said he saw a cat dragging a dead fish from the water but walked away without eating it.
MP for Tebrau Datuk Mohd Ali Hassan, who visited the fishermen, said the dumping of toxic
waste at garbage disposal sites should be stopped.
The Department of Environment must identify the toxic waste and trace the relevant factories
producing them, he added.
According to Ali, the government had acquired a new area as disposal site to replace the present
one and called on the relevant agencies to expedite work on it.
7-16
Facilitators Manual
These are just a few examples. The discussion should center around their suggestions, whether
they are appropriate, and how they would discover and collect the evidence.
Group A, what are some examples of documentary evidence would you present?
Documents from owner of tanker describing contents of tanker prior to sinking
Maintenance reports from landfill showing possible releases
Records from surrounding factories describing schedule of activities
Production records from factories to identify waste streams
Sample results from water, biota, fish, effluent, etc.
Group B, what are some examples of Demonstrative Evidence you would present?
Photographs from the site
Map showing location of factories and disposal site related to river
Map showing where dead fish were found
Group C, what about Testimonial Evidence?
Interviews with fishermen
Interviews with factory owners and employees.
Your own testimony describing your observations
Expert witness testimony linking chemicals to sources
Group D, what about Real Evidence?
The dead fish
Water samples, effluent samples (results would be documentary)
The cat
7-17
Session 8:
Time:
Equipment:
Preparation:
Handouts:
On-Site Activities
1 hour 45 minutes
Projector for slides
Study Notes
None
Facilitators Manual
On-Site Activities
Environmental Compliance
Inspection Course
This session should be used to prompt an open discussion. The time allotted to the topic will
allow most of the students to offer some of their experiences in the different areas under
consideration. The instructional goal is not to dictate the way to conduct an inspection, but to
expose the students to different models represented by the experience in the room.
In this session, I will discuss some of the different on-site activities involved with the inspection,
including getting access to the facility, the inspectors first communications with the facility
personnel, and usual procedures for looking at the facility.
I hope that you will help me in some areas by explaining what you know about legal constraints
or tools that can be utilized in your country for gathering the information needed to determine a
facilitys compliance status. I would like to make this more of an introduction to a discussion
than a lecture.
On-Site Activities
8-1
Facilitators Manual
On-Site Activities
Q
Q
Q
Q
Q
Q
Site entry
Opening conference
Site tour
Information collection
Documenting your inspection
Closing conference
On-Site Activities
8-2
Facilitators Manual
Site Entry
Q
Owner/manager
gives permission to
enter
Most common way
to get on site
Different countries have different approaches to protecting the privacy of individuals and
companies vs. allowing the government to observe what happens on private property. You
must be familiar with those laws and respect any limits on your inspection authority.
The most commonly used authority to get on a site is the consensus of the facility itself.
The inspector asks a responsible person at the facility for permission to conduct the
inspection, and in most cases, the facility grants the inspector access and allows the inspection
to occur. In effect, the owner or manager of the facility is waiving their rights to privacy by
allowing the inspection to occur.
By giving consensual access, the facility shows cooperation and saves the inspector the time
and trouble it takes to get a warrant from a court. Most of the time, facilities that have
nothing to hide willingly allow inspectors to do their job.
You should first attempt to obtain access to a facility or site by consent. What does consent
mean? Consent is the intentional foregoing of right to privacy that has not resulted from fear,
ignorance, or trickery. Only if you have followed the previous inspector requirements you
may request entry. So when have you been granted entry?
On-Site Activities
8-3
Facilitators Manual
Other times it may be necessary to use higher authority, such as a court order or warrant to give
the inspector the authority to enter the site, despite the owners reluctance. Usually, you needs the
cooperation of law enforcement officials.
When have you been denied entry?
If the person-in-charge denies you entry. Note who and when in your log book.
When unreasonable delays prevent you from conducting a thorough and accurate inspection. In
this case the inspector must inform the person-in-charge of exactly when the inspector will
consider a delay unreasonable. For example; After a delay of one hour the inspector should
formally inform the person-in-charge. I will wait another half an hour before I will have to
consider this a denial of entry. Exact times will depend upon the circumstances but the inspector
must set the limits.
Any unreasonable threat to the safety or health of the inspector should be treated as a denial of
access. General plant operations would not be considered unreasonable. Failing to secure a
guard dog probably would. Any real or suggested threat of violence would absolutely be
considered denial. The inspector is best suited to determine unreasonable threats to safety or
health.
Unreasonable conditions. For example the person-in-charge might allow a facility tour but not
allow the taking of samples, copying documents, or taking photographs. Any of these might be
considered unreasonable conditions and denial of entry or access.
If you are denied entry leave. Any delays may be argued as intimidation, threatening or an
unauthorized infringement of privacy.
Before leaving the area, notify your supervisor and/or agency counsel. They may be able to
persuade the facility to grant entry. Psychologically this leaves the inspector in a neutral and
more objective position to continue with the inspection. The facility may prefer to deal with the
inspector rather than the bureaucrat that just informed them that Agency policy is to obtain a
warrant.
(notes continue on next page, but dont advance the slide until you have discussed.)
On-Site Activities
8-4
Facilitators Manual
At this point, you should take about 5 10 minutes for the class to discuss their pertinent laws
that grant inspectors authority, and what happens when a facility does not provide the inspector
with permission to inspect.
1.Has this ever happened to anyone?
2.Is there a process for getting a warrant?
3.Does anyone else have to be there to serve the warrant?
4.Are there any penalties associated with denying access to the facility?
5.Have any of the students ever been threatened, and what happened?
On-Site Activities
8-5
Facilitators Manual
Explain
Purpose
Scope
Methods
Needs
Learn
Identify safety concerns
Discuss confidential
business information
Usually, as soon as you can, you should have a meeting with the facilitys representatives to
explain the purpose and scope of the inspection, what methods you will use to assess
compliance, and outline any needs you know of at the time. This will help the facility
anticipate what you will be asking for, and will give them an understanding of what to expect.
I often present them with a list of documents I will want to review, and people I will want to
talk to so they can immediately begin to bring that information together.
This is also a chance for you to get an overview of any facility specific concerns that you
may not be aware, such as safety concerns or abnormal operating conditions. This is also
your opportunity to introduce yourself and your team to the facility personnel and exchange
business cards and other information.
You should also discuss how you will handle Confidential Business Information. Who
remembers what I mean by CBI? This is information that the company needs to keep secret
to maintain their competitive edge; information such as patents, process or engineering
details, client lists, product formulation, etc. Our agencies should have procedures to prevent
the release of this information, but to allow us to review it as needed for compliance
determinations.
Now take 3-4 minutes to discuss the students experiences:
1.
2.
3.
On-Site Activities
8-6
Facilitators Manual
Site Tour
Q
Q
Q
Inspector directed
investigation
Follows process
Must See items
After the opening conference, we usually conduct a site tour. TOUR may be a poor choice of
words, since you should be the one deciding where to go. You should not let the facility
representatives lead you to different areas of the plant, since they may be trying to control where
you go and when. However, they know the site better than you do, so you should ask for their
participation and suggestions in getting to different areas that you want to see.
Initially, I like to trace the production process from the point where the raw materials enter the
facility to their ultimate transformation into products or wastes. This allows me to look at all
aspects of production in a systematic way rather than starting with waste treatment and moving to
raw materials handling. It also provides the opportunity to look for unreported waste streams or
releases, as well as pollution prevention opportunities.
During that tour I will note specific areas I want to return for a longer visit or specific
individuals I want to interview. This usually gives me a chance to schedule the rest of the
inspection and meet the rest of the people I will want to talk to later.
On-Site Activities
8-7
Facilitators Manual
I usually begin collecting information as soon as I walk in the door. At the opening conference, I
notice the people in authority, and try to see how decisions are made.
I also ask for an overview of activities at the facility, and have them discuss how they make their
products.
In some cases, we go through an in-depth discussion of process flows and create process flow
diagrams if they are not already developed.
I always ask for a layout of the facility if there are multiple buildings or production units, and try
to get oriented so I can refer to things quickly and accurately.
I also ask for a history of the facility discussing ownership, different products over the years, any
changes in use of the production units, and if they have had any environmental compliance
problems.
This is also the chance for them to tell you how they are regulated, including what permits they
hold, any discharge limits, or any special permissions they have that alter the way they are
regulated. Their interpretations may differ from yours, so pay careful attention.
I
On-Site Activities
8-8
Facilitators Manual
Many environmental rules or laws require extensive record keeping to demonstrate compliance
with the standard. Records are kept to show the performance or the activities of the facility when
the inspector is not there, which is most of the time. These records allow the facility to
demonstrate that they are continually in compliance, but also show the inspector when a violation
may occur. Often, not keeping the records is a violation itself.
These records should be reviewed while you are on the site. In many cases, the requirement may
state that the records be submitted to the agency, so you can review them in your office.
Nonetheless, some on-site verification is required to see that the records are accurate.
You should finally identify any follow-up activities that might need to occur later. In some
programs, the inspector may not conduct sampling, but will identify when it needs to be done,
and request that someone visit the site later to take the samples.
You may also find other people you want to talk with, or additional records you need to review.
If you ask the facility to send you anything for review after the inspection, follow the request up
in writing, and dont let them wait too long to send them to you.
On-Site Activities
8-9
Facilitators Manual
Inspection Photography
Q
Q
Q
Q
10
How many of you use cameras as part of your inspections? Do you use digital or film based
cameras? We use both, though I prefer _______________. (Be personal if you wish)
Pictures, either used as evidence or simple as a means of recording your inspection, are
invaluable for recording observations. Photographic evidence has been known to have more
subjective influence on a case than solid technical data because of its ability to tie things together
and add perspective. Inclusion of photographs into the inspection report makes it more readable,
more interesting, and clearer as the pictures help support the written description of events.
How do you enter a photograph into evidence? The counsel asks a single question to a witness
present when the photograph was taken?
Is this a fair and accurate representation of what you saw?
Since the only way to enter a photograph as evidence is through the corroboration of a witness,
the technique used to capture the image is not so important. Digital images can be easily altered,
but if the witness can vouch for the photograph, it is still useful. The initial image should be
secured and stored in an unalterable medium such as a non-rewriteable CD, or original negatives,
but images can be enhanced or improved if the image is still an accurate representation of the true
situation.
(notes continue on next page, but dont advance the slide until you have discussed.)
On-Site Activities
8-10
Facilitators Manual
Be sure to take enough batteries, film, disks or memory cards, flash or other equipment you may
need (and enough usually means much more than you think you will need). Also, become very
familiar with the use of the equipment before the inspection, just as you would with sampling
devices or safety gear. An inspection is not the time to learn how to use the borrowed camera.
Take lots of pictures! You often will not know what photographs you will need until you write
the final report and piece together the facts of the case. However, avoid taking photographs of
the inspectors. It is not necessary to show that we are using proper techniques, and any
photographs taken of improper procedures can be used to lower the credibility of the inspection
team.
Finally, what if the facility refuses to allow you to take pictures? Should you leave? Probably
not. You can still establish proof of violation without a photograph through your notes and
observations. Usually, they dont want confidential information in a photograph, so think about
how to avoid that part of the picture by changing the angle or masking background.
We usually send the facility a copy of the pictures after they are developed, but are not required
to do so. They may want to review them for confidential information, which is much easier to do
with a digital camera.
On-Site Activities
8-11
Facilitators Manual
Establishing Shot
Subject Shot
Close-up Shot
12
On-Site Activities
8-12
Facilitators Manual
Shows leakage
from drum
Shows release
to soil
13
Ive seen a single picture of a drum used to show that it had no label. What if the label is on the
other side? Shoot all angles.
These three shots show the condition of the drum, markings or identifiers for the drum, leakage
coming from the drum, and evidence that the leakage is leaving the containment pad and
migrating into the soil. You might add another establishing picture showing where the drum is
located.
Think about what elements of proof you must establish and how your photographs can help
demonstrate the facts you are trying to prove.
On-Site Activities
8-13
Facilitators Manual
Who
What
Where
When
Why
How
14
Just like any other part of the inspection, your focus should be to identify the answers to these
questions.
Who
What
Where
When
Why
How
You must document these answers carefully in your inspection log, since they will be the basis
for your inspection report and provide the support for any enforcement actions.
On-Site Activities
8-14
Facilitators Manual
Methods of Documenting
Environmental Inspections
Q
Q
Check lists
Narrative notes
15
There are two methods for documenting the inspection as you conduct it: A checklist and notes.
A checklist uses a previously written list of questions to guide the inspector as they ask questions
or review information. Checklists can be very helpful in condensing complex requirements into
yes/no questions that can be verified in the field. Checklists serve as a useful tool to ensure the
inspector doesnt forget any key areas. They may be created for a specific set of regulations, or
an individual permit.
Notes are simply that your record of what happened as recorded by you. You should take
notes of all aspects of the inspection, who you talked, what they said, what you asked, what you
saw, etc.
On-Site Activities
8-15
Facilitators Manual
Checklists (Benefits)
Easy and quick to prepare
Q Reduces paperwork
Q Reminds inspectors of items to check
Q
16
Checklists are quick and easy to fill out in the field, and can simplify questioning and fact
gathering. They can reduce the amount of time writing notes and creating reports, since some
people can submit the completed checklist as their report. They also provide inspectors with a
guide and can help prevent them from missing key areas.
On-Site Activities
8-16
Facilitators Manual
Checklists (Problems)
Limited record of inspection activities
Q Observations, statements, and other
details are not documented without
narrative notes
Q
17
However, they can set artificial limits on the inspections. I have seen programs that require the
inspectors to use a particular checklist on all inspections. The checklist does a good job at
guiding them through compliance verification for the particular issues covered by the checklist,
but if anything else is going on a the site, it may be completely ignored. Checklists can focus the
inspector to tightly and at best, checklists do not encourage innovation.
Also, a checklist limits the recording of other observations, statements, or details that may not be
covered by the checklist. Many times, a simple yes/no question will not ask enough to get the
information the inspector really needs.
At this point, solicit the students experiences with checklists. Do any of them use them? If so,
who created the checklist?
On-Site Activities
8-17
Facilitators Manual
Closing Conference
Q
Confirm observations
Ask any remaining questions
Clarify any points of potential
misunderstanding
Get explanations from company managers
18
The closing conference is a chance to meet again with the facility managers and close up the
inspection. You should get the answers to any remaining questions, clarify any
misunderstanding, and give the company managers a chance to clarify anything their staff may
have said that was incorrect or misunderstood. This is also the chance for the facility managers to
ask you questions, either about the inspection, or the requirements. This is often an ideal
opportunity to give the facility information about other aspects of environmental management
such as pollution prevention or compliance assistance.
On-Site Activities
8-18
Facilitators Manual
Preliminary Discussion of
Findings
Q
19
I think you should tell the facility what happened during the inspection, but with some caveats.
For example, you should not make conclusions of law, or speculate about what the
punishment or fines for violations will be unless your program specifically gives you that
authority.
If you do have the authority to issue penalties on the spot, this is the time to explain your actions
and how the facility can respond.
You should also try to get any additional information you need. In many cases, there may still be
outstanding questions or documents you still havent reviewed. Make a list of anything the
facility is supposed to provide to you after the inspection, and agree to a timetable for
delivery.
Also, you should provide the facility with a receipt of any thing such as samples, documents, or
other evidence that you are taking with you, so they know what will happen with their
property.
I believe the facility has a right to know what their problems are so they can fix them as soon as
possible. The fact that they fix a violation as soon as you find it does not make your finding
any less credible, but does help solve the compliance and/or environmental problem, which is
what we are supposed to do.
At this point, you should facilitate a discussion about how this information may differ from the
inspection procedures the students use. Go around the room and pointedly ask individuals if
they follow this routine, and if not, what variations exist.
1. Do they have a field citations process for immediately collecting penalties for violations?
2. Do they have a policy about telling the facility what violations were found?
3. What do you do if the company has a lawyer on the inspection?
What do you say if the facility asks for a copy of your notes?
On-Site Activities
8-19
Session 9:
Time:
Equipment:
Preparation:
Handouts:
Interviewing Techniques
1 hour 30 minutes
Projector for slides
Study Notes
None
Facilitators Manual
Interviewing
Techniques
Environmental Compliance
Inspection Course
This talk requires interaction from the audience to point out several interviewing techniques. You
should practice the session carefully and prepare questions or activities that emphasis the key
points. You may want to prepare someone to be interviewed, or put different people on the
spot. Pay attention to the audience before the session so you will know who will answer and
respond as if they were being interviewed.
Another idea is to video take an interview between two students, then critique the episode with the
class. This is obviously only effective if you have the right equipment, but the interview could be
done ahead of time or during the course, but away from the other students.
In this session, I will briefly discuss some ways to gather information from people. Weve talked
about getting information from observations and well discuss sampling, but the most effective
and easiest way to find out whats going on at a facility is to ask the people that work there and
understand the daily activities. To do that, you need some skills at getting information from
people.
The focus of this session will be how people communicate. As inspectors, we need to get people
to open up and tell us the truth. We need answers to our questions, truthfully and completely, and
it is a skill to get people, who may see you in a confrontational way, to be honest and respond
truthfully.
Interviewing Techniques
9-1
Facilitators Manual
Information
2
Interviewing Techniques
9-2
Facilitators Manual
Who?
What?
When?
Where?
Why?
How?
While this may not translate as Ws, there are six questions that our questioning needs to
answer.
Who did it?
What did they do?
When did it happen?
Where did it occur?
Why do you do it that way?
How did it happen?
The details will differ, it will be different, but we will still need to answer these questions.
Interviewing Techniques
9-3
Facilitators Manual
We gather information from people in four main ways but these may vary with cultures. For
example, in the Dominican Republic, this (scrunch nose) means I dont understand. That
means nothing in the United States, so my Dominican wife is often thought to have a nervous
condition.
Verbal: people tell us things obvious
Non-verbal What are some non-verbal cues? (these will vary depending on where you are
from, but what are some you can think of?)
Symbolic some things mean different than then normal appearance. What are some examples?
Written all our documentation and papers, etc.
When we see all four of these modes together, the signal is strong. (think of this as you are
training others use all four modes, and people will understand you and remember what you say.
Interviewing Techniques
9-4
Facilitators Manual
Communication Barriers
Makes the other person less
willing to communicate
Q Causes the other person to
become defensive
Q Unnecessarily irritates the
other person
Q
You will meet people who say things you dont understand, or refuse to listen to what you are
saying. There will be barriers between you and the personnel on the site that will inhibit your
communication with them. These barriers can be worked through if you understand them.
These barriers are things that make people less willing to communicate with you. You must get
past them.
They can be outside causes, such as their impressions toward the government that makes them
defensive or irritable.
Have any of you run into people that just didnt want to talk with you?
Please tell us about it.
Interviewing Techniques
9-5
Facilitators Manual
Creating Barriers
Q
Interrupting others
We need to be careful not to create barriers between ourselves and the people we talk to.
These are some of the things we can do that really make people not want to talk to us.
If we comment on what they say before they have finished their statements
If we interrupt them or cut them off.
If we talk to much remember, we want to hear them, not tell them what to say.
If we try to blame them or others for what happened, people tend not to talk because they dont
want to get in trouble or get others in trouble.
Never, never argue with someone youre interviewing. We dont know what they are saying, or
what the truth is, so how can we question their comments? That also puts them in a position
where they wont want to talk to us anymore.
Finally, Dont use irritating listening habits. What are some examples of things people do that
make you not want to talk to them?
Interviewing Techniques
9-6
Facilitators Manual
First consideration
Announced or
Unannounced?
Second consideration
Whose territory?
Ours? Theirs? Neutral?
While it is not always possible, you should set the appropriate time and place for your interview.
Was the inspection announced? Does the company know you are coming? If so, you can tell the
facility who you want to talk to and arrange appointments with the necessary people before
arriving at their front door.
If the inspection was unannounced, then the facility will not know you are coming, and the
people you need to speak with may not be available. Vacations, etc., may have taken them out of
your reach.
Also, remember that you are on their territory, and they will be threatened by your presence. As
such, you begin at a slight disadvantage. However, by being respectful and understanding, their
apprehension can be worked to your advantage. Make them feel that they are welcoming you,
and then they will be nicer and more accommodating.
Interviewing Techniques
9-7
Facilitators Manual
Physical Environment
General Rules
Eliminate as much noise as possible
(physical, psychological, and semantic)
Q Eliminate communication barriers
(desks, tables, crossed arms/legs,
personal items, etc)
Q Use proxemics to your advantage
Q RememberSet the stage
Q
Try to find a quiet place to talk. That can be difficult when you are speaking with operators of
machinery, but it eliminates distractions and aids communications. If you have to repeatedly ask
what someone says, they will change what they say, and get tired of repeating themselves.
Also, eliminate any communication barriers and create a pleasant atmosphere for your advantage.
Set the stage as much as you can take control of the situation and you will be able to get more
information.
Interviewing Techniques
9-8
Facilitators Manual
Proximics
Intimate
0 1.5 Feet
Personal
1.5 4 Feet
Social
4 12 Feet
Public
12 25 Feet
Does anyone feel uncomfortable the way I am speaking now? I am at a social level
now move up closer to first row
Do anyone of you feel differently now
Move still closer
What about now? Do you feel like Im talking to you alone?
Now move still closer, right into their face
Now do you feel uncomfortable? This is an intimate level, that you normally dont use with
anyone except your closest friends.
If we get this close to people, it makes them uncomfortable. But if we are too far away, it will
seem as if we are distant and dont care. We need to come in and out as the situation dictates.
Proximics is a fancy word used to describe our physical distance from people and how that makes
them feel
Interviewing Techniques
9-9
Facilitators Manual
10
Before we talk to people, we need to know what we need to know, and why we are asking them
questions. Otherwise, we can seem disjointed with our questions and unprepared.
We need to think about what we know already, what we want to discover, what we are concerned
with, and what we know about the people were talking to. We will need to know something
about them in order to know the level of complexity of the questions and how much they actually
know about the situation.
Interviewing Techniques
9-10
Facilitators Manual
Five Steps of a
Law Enforcement Interview
Q Identification:
Q Questions:
IDyourself
general
IDinterviewee
specific
IDpurpose
Q Summary
Q Rapport
Q Close
11
These are some general rules to interviewing. Tell the interviewee who you are, and start by
finding out about them. This helps build a rapport between you and the interviewee.
Start your questions with the general and move toward the specific. This creates a pattern, and
the answers will help guide you toward the next questions.
As you finish, summarize the answers youve been given to ensure you heard things correctly and
to give the interviewee a chance to correct anything you may have misunderstood.
Close by thanking them for their time, and always give them a chance to tell you anything else
you may have missed.
Interviewing Techniques
9-11
Facilitators Manual
Types of Questions
To Use
General or open-ended
Q Specific or direct
Q Narrative response, the 6 Ws
Q Backward reaching
Q Empathetic/sympathetic
Q Opinion
Q
Use questions that are open ended. Am I asking you an open ended question right now? NO
Yes/no questions dont yield much information.
Someone give me an example of an open ended question
The backward reaching questions can help the person remember details in the past. Start with
what happens now, then what happened yesterday, then work backward from there until all
details have been discussed.
Always be empathetic and sympathetic to continue the good raport youve established.
Finally, ask for their opinion. That will show the interviewee that you value their insight and
consider their opinion valuable. That will encourage them to open up more.
Interviewing Techniques
9-12
Facilitators Manual
Avoid
Leading questions
Q Negative questions
Q Compound questions
Q Complex questions
Q
A leading question is one that gives the answer as part of the question. Someone give me an
example.
Then you pour the stuff into the creek, right?
What about a negative question? Nobody knows an example of this do you? You wouldnt
ever do that would you (of course not)
Compound questions and complex questions can confuse the interviewee and make it impossible
to answer. This make them feel like they cant help you, and can destroy the report youve
established.
You there, can you tell me you name, address, phone number, wifes maiden name, your age, the
birthday of your child and how many pounds of hazardous wastes your company generates?
Interviewing Techniques
9-13
Facilitators Manual
Listening
People give meaning to words
Q Feelings more important than mere
words
Q The listener usually maintains the
most eye contact
Q
Listen carefully to what you are being told. Listen with more than your ear. Pay attention to all
aspects of communications.
Interviewing Techniques
9-14
Facilitators Manual
How To Be an
Active Listener
Remain neutral
Q Give your complete attention
Q Ask about their statements
Q Restate their main points
Q Put their feelings into words
Q Get agreement
Q
15
Active listening means that you are participating in the conversation, not just asking questions.
To do that, you must remain neutral and non judgmental.
Give the interviewee your full attention and ask them to explain their statements more fully.
Go back over their main points, and try to put their feelings into words to make sure you capture
their feelings. Finally, get their agreement on what you think they said. Read your notes back or
say things like
I think I heard you say that you were told to bury the drums in the back yard. Who told you to
do that?
Interviewing Techniques
9-15
Facilitators Manual
You should always understand the context of the persons background during the interview. You
would have much more success interviewing each other than I would, since I dont understand all
the mannerisms and customs of your culture. Despite our common understanding of English, I
dont think I would know the culture context of our conversation, and would miss some things
you easily understand.
Interviewing Techniques
9-16
Facilitators Manual
17
While I think it is better to conduct interviews as a pair, most of us dont have that luxury. How
many of you conduct inspections alone? If you do team inspections, do you both talk to everyone
together?
When you are alone, talk in a non-confrontational way.
Try not to write while people are talking focus on them. Use words theyll understand, and
speak in a nice, friendly way.
We have a saying that you can catch more flies with sugar than with salt. I have found that being
nice can get you more information than challenging people to an argument.
Interviewing Techniques
9-17
Facilitators Manual
Q
Q
Finally. Use guilt to your advantage. People like to tell secrets, and often, the operators and staff
at facilities want to tell you what is going wrong. Encourage that. Listen, and let them talk.
They may want to tell on their bosses, so give them that chance.
Remember, you may be the first person that has cared enough to listen. They may care deeply
about the environment and be troubled by the problems at the site. Let them tell you about it. It
may not all be true or accurate, but it will give you a chance to start.
Also remember, that everything Ive said will depend on who you are interviewing. The plant
manager will react to you and your questions completely differently than the person that drives
the forklift or that collects the garbage. However, the generalities of talking to people will not
change.
Interviewing Techniques
9-18
Facilitators Manual
Session 10:
Sampling and
Laboratory Issues
Environmental Compliance
Inspection Course
This session requires more preparation work to collect material. You should begin with a couple
of examples of material and a discussion of how to sample those materials and problems that
might arise. While appropriate, professional sampling equipment can be brought as a
demonstration, simple glasses and jars will suffice. The point is primarily to discuss how to
collect a representative sample from heterogeneous material. Readily available materials that
could be used include:
Salad oil and water (multiphase liquid)
Peanut Butter and water (Solid/liquid mix)
Uncooked (or cooked) rice with beans mixed in (similar to soil and rocks)
Smoke from a cigarette (if allowed) or steam from hot water (air sample)
Honey on a plate (could use a wipe sample similar to PCB oils)
Here on this table are several examples of material. We need to know if any of these are harmful
how can we tell?
We can sample the material and have it analyzed in a laboratory to find out what is there.
However, how would we physically take the sample? Ask how the group would collect a sample
for each item.
This session will give you an overview of some key points to remember about environmental
compliance sampling. It is not designed to teach you everything you need to know, but will help
guide you as you learn the techniques and considerations involved.
10-1
Facilitators Manual
Why Sample?
Show that a particular requirement
applies
Q Define extent of contamination
Q Background information
Q Verify a self monitoring program
Q Prove a violation
Q
How many of you take samples as part of your inspections? (Get a show of hands)
What are some reasons you can think of to take a sample?
Here are some of the reasons Ive thought of:
Show that a requirement applies: For example, a waste may require special treatment if it
contains high levels of a certain contaminant such as lead.
Define extent of contamination: If there has been a spill or release, you may have to define the
plume in the groundwater, the downstream transport in a river, or the amount of soil affected by a
leak.
Background information: What were the conditions before the accident?
Verify self monitoring program: Many programs require facility to sample themselves to show
compliance. If we never conduct our own samples, we cant be sure the facilitys analysis and
reports are accurate.
Prove a violation: This is the most common reason we sample as part of an inspection. The
sample and analytical results will become evidence.
10-2
Facilitators Manual
Remember:
Samples are a form of evidence, so it is
very important to do it right!
Needs to be credible to a court, the
public, the regulated community,
government officials.
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).
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, you 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.
There are strict guidelines you must follow to show that the sample results you are presenting are
credible before they can be used as evidence. Even then, the defense attorneys will attack your
results since they can prove so valuable to your case.
10-3
Facilitators Manual
What is the most important thing to remember when sampling? Who can guess?
(Solicit some opinions and discuss each)
I believe that the most important thing you will have to demonstrate is that the sample is
representative of the material you are concerned with.
You may have done everything right, but if you cant show that youve done everything correctly,
your results will be called into question in court.
10-4
Facilitators Manual
What is a
Representative
Sample?
5
A "representative" sample is equivalent to the total population in composition and in physical and
chemical properties.
It is a small amount of something that TRULY reflects the whole. What are some examples?
A bite of pie? (Did you taste the crust AND the pie?)
One page out of a notebook
10-5
Facilitators Manual
Representative
QA
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.
We obviously can not analyze the entire contents of a lake or river. So, we must collect a small
portion of that lake that is similar to the rest of the water in the lake.
The sample should accurately represent the whole, and anyone else should be able to reproduce
the sample and get similar results.
10-6
Facilitators Manual
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)
Process changes
--
Schedule changes
--
Manufacturing changes
--
--
--
System aberrations
--
Seasonal changes
We often use grab samples for compliance purposes. We may not be able to prove that a
grab sample is representative of the whole, but can show that at least the portion of the whole in
the sample container is above or below a certain limit. In some cases, that may be the only
evidence you need to substantiate a violation or to at least require a company to do a more
thorough investigation.
10-7
Facilitators Manual
Remember that I said that not only do you have to take a representative sample, but you have to
be able to prove that your sample is representative and your results show what is really there. Im
going to talk for a minute about different things you can do to demonstrate that the sample is
representative.
10-8
Facilitators Manual
Prior to any sampling event, you should prepare a sampling plan that identifies the key
information your samples will attempt to show and how you will go about collecting and
analyzing the samples.
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. This will become part of the legal record for your investigation.
For many types of samples and locations, there are Standard Operating Procedures (SOPs) that
prescribe in detail how sampling sites should be selected. These SOPs are the first line of
guidance on representative sampling. They greatly facilitate the development of an individual
sampling plan.
10-9
Facilitators Manual
10
These are the key elements in a Sampling Plan. I have included a very simple sampling plan that
can be used as an example in your handout material. This example may be more complex than
some, but is much more simple than others. Nonetheless, it does cover these basic elements in
enough detail to see what needs to be done.
The Project Description describes why you are taking the samples, and provides some
background on the location where the samples are to be collected. It puts the event in context. It
should also describe what substances you hope to find (or expect not to find).
The Project responsibilities lists the personnel that will be involved, and what is to be expected
from them. It should list the samples and the laboratory that will conduct the analysis.
The Sampling Procedures should be clearly defined. Will the samples be collected with a spoon
or a shovel? What types of containers will you use? What storage requirements exist? Are
preservatives required? All these types of procedural requirements must be listed specifically for
your sampling event. This will be the longest, most detailed part or your plan.
You should list any laboratory issues that may affect your efforts in the field. Ill talk more about
them in a second.
10-10
Facilitators Manual
11
Calibration procedures
Sample custody procedures
Shipping requirements
Safety
Many samples can be analyzed in the field, or you may be able to directly monitor a substance
without ever collecting a sample. (Unless the entire substance passes through the measurement
device, you are still analyzing a sample even though it is not collected.) These devices must be
calibrated or set to correspond with a known value. Ill give you an example.
What does your watch say? (It doesnt say anything it cant talk) What about
yours? (ask several people). They all give a different time, because you havent calibrated them
to a known, accurate standard, which is what my watch says.
You will also need to outline how you are going to ensure chain of custody procedures are
followed. We talked about that already in the evidence discussion.
How will you get the samples to the laboratory? It may be easiest to drive them there yourselves.
If you are using a private shipping company, they may have requirements on how you must
transport hazardous materials.
Finally, you should discuss any safety issues to keep yourself healthy while you do all this.
10-11
Facilitators Manual
Laboratory Issues
Methods
Q Detection limits
Q Type of container
Q Volume
Q Preservative
Q Holding time
Q Interpretation of results
Q
12
10-12
Facilitators Manual
Control Samples
Q
Q
Q
Q
Q
13
Control samples are used to show the quality of the samples youve taken. These may not be
samples of the material, but samples to show the other samples are correct.
Field Blanks are used to show that no contamination from one sample could have carried over to
another. You put a container of clean water in with the samples. If it is still clean when the
analysis occurs, it shows that no cross-contamination occurred.
Rinsate Blanks after youve cleaned the equipment, you can take a sample of water run over the
shovel (or other equipment) to show the contamination didnt come from the equipment.
Replicate/Duplicate two samples from the same source at the same time. If there is variation
between the two, it could show that something was done wrong.
Splits You may want to split your sample into two containers and have them analyzed
independently. We often split our samples with the company were inspecting so they can test
the samples in their own laboratory. Difference will be argued but this can serve as a quality
control check.
Finally, spiked samples are samples where you inject an exact, known amount of the
contaminant, then see if the instruments find the amount you put in.
10-13
Facilitators Manual
14
I have listed here several sources of sampling error. Each of these sources of errors can be
prevented or reduced by your efforts.
Failure to calibrate instruments
Lack of Control Samples
Forgetting equipment or supplies
Wrong Sampling Procedure
Misreading instruments
Mislabeling
Poor documentation
What are some other sources of error that you can not control? How can you correct or estimate
the error?
Variation in the waste stream (you could increase number of samples)
Equipment variation most give range of estimates, not precise value
10-14
Facilitators Manual
In Summary:
Q Plan
ahead
Q Follow your plan
Q Properly document what you did
15
The key to successful sampling is to plan ahead then follow your plan. You must also document
how you followed your plan.
Sometime you may have to take what we call samples of opportunity, a sample that we need to
take of an immediate and unexpected circumstance. You may not have planned to take any
samples on the inspection, but see a spill or release that you need to document. Can you still
take the sample without a sampling plan? Will it still hold up in court?
Yes, but the results may not be as strong a piece of evidence as an anticipated sample.
You can also rely on your habits and standard practices, as we discussed before. You may have
standard operating procedures that dictate how these types of samples should be collected, or you
may be able to fall back on generic sampling plans. Document the sampling event thoroughly,
and you can show that your procedures would have followed a plan that would have conformed
with your agencys guidelines.
10-15
Facilitators Manual
Session 11:
Time:
Equipment:
This session is optional, and, if time does not allow presentation during the normal hours of the
course, it could be presented as extra since many countries will not have access to the
equipment shown. However, it does give an overview of what is available, and may spark interest
in acquiring the equipment if it is not owned by the agency.
If possible, this session should be conducted using real instruments instead of the pictures
presented here. To the extent possible, the students should be able to examine the equipment and
use it, so they can see how certain pieces work. However, care and consideration should be
taken in the shipping of expensive or fragile equipment. You should have an understanding of
international laws that may regulate the transport or entry of such equipment and accommodate
any taxes or fees on their entry.
If you can not supply the equipment, make sure you are familiar with the equipment shown here.
This is not an exhaustive list, but does show some equipment commonly used in the United States.
11-1
Facilitators Manual
How many of you have access to sampling equipment and know how to use it?
These are some of the different pieces of equipment that are commonly used for environmental
sampling. It is not an exhaustive list, and sometimes, a specific piece of equipment must be
created for a particular situation. But, we thought you might be interested in some common
technology.
11-2
Facilitators Manual
You must know which container is required for each analysis and the minimum quantities
required. Allow for duplicates and extra containers in the case of loss or breakage.
Lets look at each of these and when they might or might not be appropriate:
Why glass instead of plastic? (incompatibility with plastic)
Why brown glass instead of clear glass? (photo sensitivity light may degrade sample.)
11-3
Facilitators Manual
7 cm
Preservation
4
Be aware of required preservation requirements. Check to make sure you achieved the proper
pH. If filtering is required, should you preserve before or after? Confirm cool to 4 degrees C.
Gloves should be worn, not just to protect you, but to prevent cross-contamination.
11-4
Facilitators Manual
11-5
Facilitators Manual
Bailers can be used for monitoring wells or tank sampling. Single and double check valves are
available. This allows you to sample from a distinct layer or depth.
11-6
Facilitators Manual
After the bailer is lifted, the sample can be poured into an appropriate container.
Some type of samples, such as this one being collected for analysis of volatile organics, require
the jar to be completely full, with absolutely no air space (headspace). If volatile organics are
dissolved in the liquid and air space is left in the container, some of the organics may evaporate
into the air leaving lower concentrations in the liquid phase leading to inaccurate results.
11-7
Facilitators Manual
Glass tubes or COLIWASA (Composite Liquid Water Sampler) for representative vertical profile
sampling of a drum or other container. These may be as simple as a glass tube that you cap with
a thumb or cork. It works just like a soda straw, and can show you any stratification in the drum.
You can carefully control what material flows into the sample jar allowing you to separate the
samples by their different phases.
11-8
Facilitators Manual
This is an automatic composite sampler set up to sample this water stream. They can be adjusted
to take a discrete sample every few minutes or hours giving a time-composited sample, or be set
to record and adjust to the flow, allowing for flow-proportional samples.
The samples can be collected in separate containers, or be mixed into one container for a true
composite sample.
11-9
Facilitators Manual
10
These are sample containers from a sequential automatic sampler configured to sample every 60
minutes. The samples document the point in time of an illegal discharge and provides for a more
representative sample at the time of discharge. A composite sampler would result in a diluted
result of the illegal discharge.
11-10
Facilitators Manual
11
A special automatic sampler designed to collect volatile samples using a submersible pump.
Volatile samples are more difficult to collect Why? (They cannot contain any air space in the
container, and should not be exposed to the air after removal from the substance being sampled.)
11-11
Facilitators Manual
12
Filtering a sample for dissolved metals. Why would we filter this sample? (We want dissolved
metals only. An unfiltered sample might contain suspended metals that would influence the
results.)
You should always filter before preservation.
11-12
Facilitators Manual
13
Use dye to trace and document the path of a potential illegal discharge.
In this case, a large quantity of dye was used leading to obvious results. You could not use this
much dye if the water were a source of drinking water, or flowed into a stream the public would
observe. While the dyes are usually food grade and are completely non-toxic, who would want to
drink green water?
You can also use a fluorometer or other instrument that will detect and measure very small
quantities of dye that would not otherwise affect the water at an observable level.
11-13
Facilitators Manual
14
11-14
Facilitators Manual
15
Multiparameter water quality monitoring instrument. DO, pH, conductivity, temperature, depth,
turbidity. These units usually cost between $1000 and $5000 (for the highest end models) but
they can instantly give readings of a large number of parameters.
11-15
Facilitators Manual
16
These are different sediment/soil sampling devices. Use plastic for metals and stainless steel for
organics. Consider collecting with a clean sample jar. Using disposable devices such as plastic
spoons or shovels minimizes the potential for cross-contamination. They should be thoroughly
cleaned between each use, and carefully wrapped and stored. Equipment rinsate blanks can show
that they are not causing cross contamination.
11-16
Facilitators Manual
17
Soil auger and core sampler with liner used for subsurface soil sampling.
11-17
Facilitators Manual
18
Collecting sediment from a Van Veen sampler through the top door of the sampler provides a
sample not in contact with the dredge to avoid cross-contamination. This allows us to take
underwater samples of sediments without getting wet. Remember: representative
11-18
Facilitators Manual
19
11-19
Facilitators Manual
20
Samples should be properly mixed before placing the material in the jars so that all sample jars
contain a representative portion.
11-20
Facilitators Manual
21
Here we see the use of a power auger to get sub-surface samples. This equipment can go down to
15 feet or more depending on the substrate.
11-21
Facilitators Manual
22
This is a photo ionization detector (PID), often called a H-NU for the manufacturer. It is a
portable measuring device frequently used for personnel protection and to help characterize a
potential hazardous container. The readings are usually not precise enough for compliance
purposes, and it is limited in the specificity of chemicals, but it can show explosive atmospheres
and if high levels of VOC or other compounds are present.
11-22
Facilitators Manual
23
Here we see the use of a metal detector used to find buried drums.
11-23
Facilitators Manual
24
These are the drums we found with the metal detector. Otherwise, we would have been digging
quite awhile to find the drums.
11-24
Facilitators Manual
25
This is a Global Positioning System (GPS) used to document the location of a sample site, spill
site, storage area, or other area of concern.
This is an old GPS unit. Modern ones are much smaller and less expensive. Low end models are
now available for around $100, and full featured models around $350. In addition to locating
sampling points or other features, they can be used to find locations or map a facility.
11-25
Facilitators Manual
26
Make sure you have the proper documentation: labels, tags, forms, and custody seals. Properly
pack the samples and paper work to avoid breakage and leaks of ice if used.
11-26
Facilitators Manual
27
Heres an example of what happens if samples are not properly packed. Even if some of the
bottles remain intact, there is no way to show that they were not cross contaminated.
11-27
Facilitators Manual
28
11-28
Facilitators Manual
Session 12:
Time:
Equipment:
Environmental
Agency
Vs/
1
The class should be divided into four groups. Each group is given hard copies of four pictures,
the QA/QC plan, and the Chain of Custody form. Explain to them that they will have 15 minutes
to review the evidence and evaluate its validity. Explain that at the end of the 15 minutes, each
group will select an attorney for Als Junk Yard who will be questioning you, the facilitator,
who will pose as the Environmental Agency Inspector. He is to point out why the following slides
of evidence show that you did not collect representative samples.
If you have enough facilitators, you may also have an agency attorney that can try to defend
the samples. While some are indefensible, you can bring some usefulness out of a few examples
as noted below. However, be careful not to spend too much time on the defense. The point is not
how to question a witness, but how to collect good evidence.
During the cross examination, you can show the slides of each picture so the rest of the class can
see what is being discussed.
Preventing Mistakes
12-1
Facilitators Manual
The pH meter was calibrated with a 2-point calibration at pH 4 and 7. The sample
has a pH of 11.9 which is outside the bracketed calibration range. Should have
used a 7 and 10 buffer. Since the pH is even beyond the pH 10 buffer, this
sample, which normally should be measured immediately in the field, should be
sent to the lab where they can prepare a calibration buffer closer to the actual
reading for most accurate results.
Preventing Mistakes
12-2
Facilitators Manual
If this is such a dangerous site, why isnt this inspector wearing protective
clothing. By the presence of his coffee mug, it appears he was even drinking
here!
So, despite the known dangers, you were willing to sacrifice yourself to prevent
further environmental contamination?
Is it safe to say that you care so much for the environment that you would put
yourself at risk?
Is that really a coffee cup, or a stainless steel sampling container?
Preventing Mistakes
12-3
Facilitators Manual
If this really is a hazardous material, why isnt one of the inspectors wearing
gloves? What about the tear in the tyvek?
Were you doing any other sampling at this site? Had you dressed in your safety
clothes solely to sample this drum?
Preventing Mistakes
12-4
Facilitators Manual
If these jars are supposed to represent the same site, which they are, then they
should have been filled evenly, rather than completely filling one jar, then the
other. What if the most contaminated material was on the very surface, which is
what would be first sampled? Better still, the soil should have been put in a larger
jar to first properly mix the sample prior to filling each jar. Do not assume that
the laboratory will mix the jar contents. Most likely they will take their relatively
small allotment just from the top of the jar. One of the jars is for metals
analysis, in which case it is not proper to use a metal spoon to use as a sampling
device. Should have used a plastic sampler for the metals. The sampler should
also have replaced the torn glove. The jar lids should have been placed so that the
inside can not be contaminated.
Photos can document both good and bad.
Preventing Mistakes
12-5
Facilitators Manual
The lids have been switched on these jars. If these jars represent the same sample
site, then they should have the same sample number and time. There is not
enough soil in the jar for metals. Its better to have too much than not enough.
Preventing Mistakes
12-6
Facilitators Manual
Preventing Mistakes
12-7
Facilitators Manual
SOP and the QAPP state that dissolved metals samples be filtered before
preservation. This sample has not been filtered, but has been preserved, so it is
useless for dissolved metals analysis.
Why couldnt you filter it in the laboratory? (the preservative may have dissolved
some metals.)
Preventing Mistakes
12-8
Facilitators Manual
The QAPP specifies Oil and Grease to be a grab sample and preserved with
sulfuric acid (H2SO4). This sample is a composite and was preserved with
sodium hydroxide (NaOH).
Preventing Mistakes
12-9
Facilitators Manual
10
Wrong container should be glass. Poor technique on correcting the lab # should cross out with just one line, and initial the change.
Preventing Mistakes
12-10
Facilitators Manual
11
Clean the jar as best as possible before submitting it to the lab. Helps prevent
cross contamination, and is a courtesy to the lab. Put in plastic bag if you cannot
clean the jar adequately.
Would the dirt on the outside of the jar affect the material inside the jar? NO
Why would we really care whats on the outside if the inside is representative?
Preventing Mistakes
12-11
Facilitators Manual
12
Is this a representative sample of what is flowing down the creek? No. Also,
notice the lid to the sample jar lying on the ground. This can contaminate the lid
and sample.
The water in your jar came from the creek, correct?
Isnt it the same creek, all the way across?
Preventing Mistakes
12-12
Facilitators Manual
13
Flow is from the top of the picture to the bottom. The sampler is stirring up
sediment upstream of where hes collecting the sample. Thus the sample is not
representative of the stream flow.
Arent we really concerned about the sediments, anyway? If an animal were to
enter the creek, wouldnt they stir the water up? Therefore, shouldnt we want to
sample the water after its been stirred up?
Preventing Mistakes
12-13
Facilitators Manual
14
Preventing Mistakes
12-14
Facilitators Manual
15
If the ice leaks then the cardboard packing will lose its cushioning capability and
there is a very good likelihood that the sample containers will break. The
paperwork should be placed in a water tight plastic bag and taped to the inside of
the ice chest lid. Ice should be double-bagged and/or the ice chest should be lined
with a large plastic bag. Are these environmental or hazardous samples? Do
IATA regulations apply?
Preventing Mistakes
12-15
Facilitators Manual
16
Preventing Mistakes
12-16
Facilitators Manual
Preventing Mistakes
12-17
Session 13:
Time:
Equipment:
Preparation:
Handouts:
Documenting Inspections
1hour 30 minutes
Projector for slides
Study Notes
Sample Inspection Reports
Report Evaluation Checklist
Facilitators Manual
Documenting
Inspections
Environmental Compliance
Inspection Course
If time allows, there is a short exercise at the end of this session where students will evaluate
sample inspection reports. It should be done after talking about inspection reports, and takes
approximately thirty minutes to complete and discuss. The report evaluation checklist can be
used to facilitate the review. If time does not allow for the report evaluation, they should be give
to the students to do on their own time of as a guide for their own work.
This session is designed to expose you to different models for presenting the results of your
inspection in an inspection report. We will also spend a few minutes on note taking, which is a
crucial antecedent for the report. A good report is built upon good field documentation. In your
notebook, youll see an example of an inspection report format that is commonly used in the
United States. While the findings of non-compliance will be different and the layout may vary, it
does present a model that you may find useful in your program.
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 wellclearly, accurately, and convincinglyyou have
wasted your time, and the environment will suffer. If you discover evidence that indicates serious
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, your agency probably will be able to take strong action and obtain a favorable
settlement or court decree.
In other words, nothing else you do is more important than writing your inspection report.
Government officials and attorneys who review the report must have all the facts to make
appropriate and effective decisions.
Documenting Inspections
13-1
Facilitators Manual
Note Taking
Be Specific
Q
Unless you have a photographic memory, note taking is a critical component of the inspection.
Your notes are written to remind you of the details of your visit, and make it possible to
reconstruct your observations later when you write your report or are called to testify about
your findings. We do not tend to remember details in the past, so your notes, along with any
pictures or other evidence, will help bring back those events.
When taking notes, try to be as descriptive and specific as possible. For example, be specific
with names and titles so that person can be identified later. Your key witness may have
changed jobs by the time of a trial, so you must note enough about him to identify them later.
Also, be specific with your terms and your language. Avoid judgmental statements in your notes.
This example of the plastic drums assumes two things WHAT ARE THEY?
1. That the particular drums are appropriate,
2. That the facility uses those drums to avoid corrosion (they may be using them because these
are the only drums available.)
Documenting Inspections
13-2
Facilitators Manual
Note Taking
Be specific (continued)
Q
Be specific with time and dates. It is much easier to correctly note these details than to try to
reconstruct them later. In some cases, it this information may be critical for later stages of the
enforcement action when we base penalties on length of time in violation or amount of material
that was spilled.
Documenting Inspections
13-3
Facilitators Manual
Methods of Documenting
Environmental Inspections
Q
Q
Check lists
Narrative report
There are different approaches to keeping track of the information. In some situations, a checklist
of requirements and verification methods may be most appropriate. These checklists may be
based on the requirements in a regulation, law, or permit, and guides the user through the
applicable requirements. Checklists may be developed for an individual facility, a regulatory
program, or a type of industry. If any applicable checklists are available, they should be
distributed to the audience. EPA checklists are not likely to be useful since they are so specific to
US Regulations. The other method is a narrative report or narrative notes. These are freely
written notes that detail your findings and activities. Who can tell me some advantages and
disadvantages with the two methods?
Checklists:
Serves as outline or guide for inspector
Ensures all areas are covered
Helps inspector remember important areas
Format allows for quick recording with minimal writing.
May focus inspector too much, and cause them to miss areas of importance not on list.
May not provide enough details to substantiate findings
Does not describe how the findings were made
May provide an incomplete record if the inspector is no longer available
Narrative
Requires more writing
Requires better recall of each requirement
Forces inspector to recollect details improving memory of event
Allows inspector better control of flow of inspector
Unlimited in scope so inspector can stray to other areas if needed
Takes longer to fill out and to review.
Provides institutional knowledge even if inspector is no longer available
Documenting Inspections
13-4
Facilitators Manual
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. It should also be the organized
collection of all records and evidence so the reviewer know what exists.
The technical report supports the inspector's experiences, so it should be written as the inspector
sees fit.
Documenting Inspections
13-5
Facilitators Manual
Importance of Inspection
Reports
Support potential enforcement actions
Q Communicates results to others
Q
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 the inability to reconstruct the evidentiary foundation
for an enforcement action.
A report is a written record of the results of the inspection and provides the
permanent record that may be used later as evidence 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.
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."
Documenting Inspections
13-6
Facilitators Manual
Executive SummaryIntroduction
The primary audience of the executive summary is senior management and others who do not
have the time or need to read the full report, but who wish to obtain an overview of the inspection
and findings. They may not have direct knowledge of the issues being addressed in the report and
will probably form their opinions of the teams work from this alone.
The executive summary presents the objectives of the inspection, background information,
summarized inspection methods, and conclusions supported by pertinent findings.
The executive summary is used to tie together the entire inspection report into a concise
package, and should stand alone, summarizing compliance findings from the body of the report.
It should contain no information that does not appear in the body of the report.
Technical Report
The rest of the report presents all the factual information available and describes more
comprehensively the facility and the inspection. It provides specific details about the
compliance findings and discusses all the documentation necessary to prove a violation.
The technical report provides all the technical information that supports the findings of the
inspection. From an organizational standpoint, the rule is "to be logical and complete." This
portion of the report presents all documentation of violations and all documentation of current
compliance status.
The technical report should be concise, but brevity should not be sought at the price of failure to
develop the subject completely. The inspector should be thorough and check facts.
Findings and Conclusions
When the inspection report is written, it is essential that each of the apparent violations or
concerns is identified clearly in the report, not buried in the narrative. Typically, a discussion of
violations begins with a brief description of the applicable requirement or permit requirements
(for example, conduct weekly monitoring). A detailed description may be necessary if no
separate section on regulatory status is included in the report.
In this section, details about the violations are presented. Findings are presented in an order that
parallels the applicable requirements. The narrative should be detailed and specific; supporting
documents, such as company records, sampling data, and photographs, usually are appended to
the report.
Documenting Inspections
13-7
Facilitators Manual
The eventual readers of your report may vary from an individual in the local
general public and advocacy groups not directly involved in the case, to upper management and
attorneys whom you may never meet. However, the main audience and target of your writing
should be the agency case development team.
Each of those target readers will have different motives, perspectives, and needs.
Executive Summary must entail a boiled down list of facts, findings, and
violations presented as a stand-alone discussion which gives any reader an overview, and assists
managers in determining an overall course of action.
Appendices will be needed by scientific evaluators who test samples collected and
verify use of QA/QC guides.
The document should be of professional quality, and conform with the writing style of your
agency. If you have a standard format for reports, that should be used. It should be
grammatically correct and not have misspelled words or other errors. Always proof read your
reports carefully, and have someone else check it for clarity. Some inspection programs require
that every inspection report go through a peer review process before the report is finalized to
ensure the highest quality reports.
Documenting Inspections
13-8
Facilitators Manual
Keep It Simple
Use short, direct sentences
Q Avoid complicated terms, if possible
Q Define any complicated terms used that
your reader may not be familiar with
Q
Keep it simple.
Use short, direct sentences
Avoid complicated terms, if possible. If you use acronyms, make sure they are defined the first
time they are used, and are commonly used by the readers.
Define any complicated terms used that your reader may not be familiar with.
Be concise. Conciseness is not omission of necessary information; it is avoidance of all that is
not essential. Include the relevant details, but avoid extraneous information.
Avoid wordiness. Use short, simple sentences.
Documenting Inspections
13-9
Facilitators Manual
Keep It Factual
Report your observations
Q Include direct statements made to you
that are relevant to the inspection
findings
Q Avoid your opinions
Q
10
Only record your observations what you saw, heard, smelled, etc. Try to avoid making
conclusions, unless preface the statement by saying that this is your conclusion.
Be exact. 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." You dont know what was actually in the bags without some additional
evidence.
Avoid exaggerations and superlatives.
Inspection reports must be entirely objective, unbiased, and unemotional.
Documenting Inspections
13-10
Facilitators Manual
Be As Accurate As Possible
Check every detail
Q Conduct peer review of draft report
Q Compare with notes or checklists
Q
11
Some inspection programs require that every inspection report go through a peer review
process before the report is finalized to ensure the highest quality reports.
And always, as you are writing report and later as you are proofing the report, compare it with
your notes and checklists to ensure the two say the same thing. If there are discrepancies, what
should you do? Note why the discrepancies exist I noted that the substance was PCB
contaminated oil, but subsequent analysis showed that the oil was not contaminated with PCB.
Be Complete: Completeness implies that all the known facts and details are reported, either in the
text of the report or in an exhibit (possibly appended), so that no further explanation is needed.
The report should answer the questions who, what, how, when, where, and why about the
compliance situation.
In your manual, there is a guide to good reports. It is presented as a checklist to use to rate your
reports and ensure that the key elements are included. I hope you find it useful in evaluating your
work and the work of your peers.
Documenting Inspections
13-11
Session 14:
Time:
Equipment:
Preparation:
Handouts:
Facilitators Manual
The Enforcement
Process
Environmental Compliance
Inspection Course
This session is best given in a country specific format by an attorney, case development officer, or
enforcement manager from the host country. They should be advised ahead of time of the
expectations of the session, and be given the talking points for the presentation. However, they
also have the responsibility to change the presentation to suit local laws, policies, and practice.
In some cases, they may want to completely change the context of the session to discuss internal
procedures for referring cases or to discuss specific steps the inspector must take to develop the
case.
Begin the session by introducing the speaker and encourage them to elaborate on their
background and experience.
This session will present some things to consider as you take a case through the steps from the
determination of a violation to conclusion of a settlement. Since the court process is somewhat
out of our control and usually operates under different rules set by the court, I will focus on
settling cases with violators through negotiation.
The details of what I say will vary depending on the specific policies and practices in your
country. However, the basic ideas should help you understand how you and the information you
gather fit into the enforcement process.
It is important to remember, that without some type of enforcement, it is unlikely that everyone
will comply with environmental regulations, despite the best efforts during our inspections.
Without some sense that compliance is mandatory and non-compliance will be detected and
punished, the laws and regulations dont really exist in practice since they will only be seen as
suggestions, not mandates. For example, if you know that you will never be stopped for driving
over the speed limit, is it a limit or just a recommendation?
14-1
Facilitators Manual
Monetary penalty
Imprisonment
Bullets will advance when you click the mouse. Encourage the students to answer the question
before you continue through the items listed here. Discuss their ideas and suggestions.
If you remember back to one of the very first sessions, we talked about how enforcement is a tool to
bring about a change in behavior that drives people into compliance. What were some of the other
tools? Let audience attempt to answer first.
Compliance assistance
Financial incentives
Public pressure
Liability
However, we did not discuss the specifics of how enforcement accomplishes these goals. Why
should we proceed with enforcement? What are some of your ideas? When might an enforcement
option be more desirable than other mechanisms that promote compliance? Allow class to discuss
and make suggestions before going through the ones listed here.
Recalcitrant violator someone continues to violate may deserve a stronger response.
Remedial actions may involve large expenditures which may require additional force of law.
You may feel that sanctions such as monetary penalties or jail-time may be justified.
Enforcement may be a way to provide equity between facilities that comply and those that do not
comply (Well discuss this more in a moment.
Finally, a strong enforcement response may send a message to others that compliance is
important, and the threat of sanctions will provide deterrence and encourage others to comply. This
encouragement also applies to the facility in violation, and will provide an incentive for them to
comply in the future in order to avoid the enforcement action to start with.
14-2
Facilitators Manual
Enforcement Team
Lawyers
Q Inspectors
Q Managers
Q Technical experts
Q
When you are conducting your inspections, you can operate reasonably independently. In fact,
you have to be able to come up with conclusions, adapt to changing circumstances, and deal with
other people on your own, so the ability to work independently is a crucial skill for inspectors.
But, when the decision is made to go forward with enforcement based on your findings, you
become part of a larger team, and must give up some of that independence and become part of the
group. The enforcement team usually consists of you, your managers, the attorneys that may take
the case to court, and any other technical experts such as laboratory technicians or process
engineers that are needed to support and develop the case.
All these team member must work together as a team, or the case may not progress in an efficient
manner and you may not achieve the results you are seeking. In addition to working as a team,
everyone must communicate with everyone else. Otherwise, information can be misinterpreted
or misrepresented leading to problems as the case progresses.
14-3
Facilitators Manual
Penalties
Promotes environmental compliance
Q Protect public health by deterring future
violations
Q Sends message to regulated community
Q Ensures no economic benefit from
violating law
Q
Penalties are usually the most controversial part of the enforcement process. They are issued for
various reasons, but primarily as a way to punish the violators and deter them from violating
again and deter others that hear about the penalty and dont want to incur a penalty themselves.
Do they always work? No, but they usually have some impact.
Lets use an example we may find in our every day life. How many of you regularly stop your
car at a red light? Get a show of hands. How many of you stop even if there is no traffic coming
the other way? Get another show of hands. If there is no danger from oncoming traffic, why
bother to stop? Ask someone specifically and discuss their answer. Has anyone ever gotten a
ticket for running a red light? Are you afraid the police might catch you and give you a fine
(again)? What is the fine here for running a red light? (Hopefully it is small enough for the
example to work.) Will that fine cause your family to go into bankruptcy or force you to sell the
car? Probably not, but it does deter you from violating the law, and keeps you sitting at a red
light with no traffic and no police at 2:00 in the morning, on the chance you might get caught.
The penalty has instilled in you a fear or respect of the law. Your buddy stops because now,
he/she knows there is a chance for them to get one too, and they dont want to pay the fine, even
if they can afford it.
These are example of how the penalty deters you from driving through a red light again, and
deters your friends from driving through, too.
What if you could save $10 in fuel and wear and tear on the car by not stopping, and the penalty
was only $5? Would you stop? No, the economics of the penalty encourage you not to stop since
even if you are penalized, you still make money by running the light.
The penalty should be higher than the money you would make by breaking the law.
14-4
Facilitators Manual
These are some different factors you should consider as you think about penalties for different
environmental violations.
Often, environmental compliance costs the facility extra money. They may have to buy
equipment, pay for samples or tests, hire additional staff, spend extra money for waste disposal,
or even limit production so they dont exceed pollution limits. All this provides for an economic
incentive to violate, not to comply. A penalty issued as part of an enforcement action may take
away this incentive by taking back the profit earned. For example, two companies are both
required to build a scrubber to remove particulate from the smoke stack and this scrubber costs
$100,000. If one violates the law and does not build the scrubber, they can put the $100,000 in
their pocket while the other loses money because of our requirement. We would penalize the
violating company the $100,000 illegally earned plus any interest or investment income, tax
savings, etc. they may have also earned.
Another component of the penalty is determined by the Gravity or seriousness of the violation.
Were the almost in compliance except for one small detail? Or did they completely ignore the
requirement? Were they able to contain an illegal release before it did any harm? Or did they
kill thousands of fish by their negligence? This is similar to a traffic violation where the police
give you a warning for running a red light at 2:00 am, but my take away your license if you run a
light and hit a car during rush hour killing a child.
The prior compliance history and attitude of the facility may also be taken into account. For
example, a facility with a long history of violations may merit a higher penalty to make sure they
get the point and learn this time around.
Finally, should you consider the companys financial status? Can they pay a large penalty?
Should the size of the violator matter? Discuss these and other issues for a 3 4 minutes.
14-5
Facilitators Manual
Penalties
Q
Length of violation
The duration can add to the penalty
Penalty types
Cash, purchase of equipment, other
environmental expenditures
As weve mentioned before, transparency and equity are important in any enforcement program.
We have an obligation to treat everyone consistently and must justify variation when it occurs.
For that reason, you should calculate the penalties consistently among different facilities.
Otherwise, you may be accused of favoritism or of picking on individual companies.
We need to develop and apply policies that provide consistency, yet accommodate variation in
circumstances. That allows everyone to understand whats at stake and how they will be treated
if they are found in violation. In the United States, we use several different systems that assign
values to violations, or at least provide guidance in how to come up with penalties taking into
account the factors we discussed earlier. An ideal penalty policy will allow anyone calculating a
penalty to arrive at the same amount, and everyone should understand how that amount was
determined. That avoids later discussion and argument.
Other factors that may influence the penalty include the duration of the violation, or the number
of times the violation occurred. Similar factors may include the amount of pollutant emitted, the
number of people affected, the amount of harm caused, or other details.
There are different types of penalties. In some programs, the penalties go into the general
governmental budget and are not linked to the violation or environmental work at all. Other
programs do direct the penalty directly into environmental improvements. There may be other
types of penalties such as having the company buy equipment or provide training for others. This
serves two purposes: it is a deterrence to the company and others, and it also provides information
and incentives for others to comply.
14-6
Facilitators Manual
Settlements
Much less resources required than court
Q Must be responsive to both sides needs
Q May be able to achieve benefits beyond
just a cash penalty
Q Should consider financial position of
company and other concerns
Q
A settlement is an agreement between the government and the violator that resolves the violations
without going to court. A settlement may include a penalty, an agreement to perform work or
actions that fix the environmental problem and resolve the violation, or other items that are
mutually acceptable to both sides. It is similar to a contract in that both sides have to agree and
sign the settlement before it has any authority.
Settlements are usually much less resource intensive than a court case. Since we do not have to
prove the findings of violation to a judge, the burden of proof is lower. Witnesses may not be
required, and you may not need to develop as much evidence as would be needed in court.
However, the government must be able to substantiate the violations, or the violator may not
agree to settle preferring to take the chances in court.
Settlements can also me more responsive to the specific needs of both sides. The agreement can
be more flexible and accommodate a variety of resolutions rather than the one a judge or jury
may mandate.
You may also be able to get benefits beyond a cash penalty. In some situations, you may be able
to exchange penalties for environmentally beneficial projects that may not be otherwise required,
and that the company would not otherwise perform.
Finally, a settlement should consider the financial position of the company. Some courts may be
very rigid in their sentencing, and may fine a company more than they can pay. Through
settlements, we have the ability to schedule payments or reduce the penalties so the company
would not go out of business.
14-7
Facilitators Manual
Negotiations
Purpose of negotiations
Q Management of negotiations
Q Case study:
Q
In the United States, most environmental enforcement cases are settled through negotiation, not
trial. A 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.
You should always negotiate from a strong position to obtain the type of settlement you seek.
The inspector is the cornerstone of that strength, since violations are documented in the
inspector's reportsgood inspection reports lead to good settlements.
An inspector needs negotiation skills because the inspector:
May find it necessary to negotiate with facility officials to gain consensual entry
and work out other logistical aspects of the inspection
14-8
Facilitators Manual
Negotiation DOs
Negotiating a settlement is similar to haggling over the price of a gift in the market. Each side
goes back and forth until they reach an agreement both can accept. 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.
Negotiations often go together with litigation. While most cases settle before (or during)
litigation, the threat of appearing in court often helps bring about a settlement
You should be prepared to give something in the process. The point of negotiation is to give and
take on both sides. Otherwise, the defendant has nothing to gain, and no reason to settle. For this
reason, we often begin with a penalty demand that is higher than the minimum we will accept so
we have some room to move before reaching our bottom line.
You should work as a team. Everyone on the team has something to add.
Just like everything else, planning for the negotiations is crucial The team should discuss how
their position may change depending on refusal or alterations by the other side. You should also
know who is going to represent which issues, and how much flexibility the negotiating team has.
You should also know, as well as possible, what the other side wants. For example, if you know
they really want to install a pollution prevention technology in lieu of a penalty, you can use this
to your advantage by allowing to do what they want in exchange for something else that you
want they dont. For this reason, it is imperative that any conversations or documents concerning
your position on the settlement or negotiation be kept confidential.
14-9
Facilitators Manual
Negotiation DONT S
Q
10
The other team may start with a position very far away from yours in order to see how far you
will move. For example, you have calculated a penalty of $100,000 and the other attorneys make
an offer of $1,000. Should you get offended and walk away? They may be trying to get you to
overact, so stay focused on the issues and keep moving.
Mistakes will be made. Dont ever hide them from the rest of the team. In some cases, you will
find information that you didnt know during the inspection that may change your determination.
It is better to change your position, than to continue to argue for an unjust determination of
violation. It is also always better to admit you dont know something than to make it up during
the negotiations.
Be flexible during the negotiation. You may be proposing a solution that the facility does not
think will work. They may be right, so have the flexibility to change your ideas as you find more
information. For example, sometimes we may propose a technology that will achieve the
ultimate solution, but the company proposes a different way to get to the same result.
Finally, try to be realistic, both in your demands and in your approach to the negotiations. I have
seen situations where the government negotiators were so determined to get a certain minimum
penalty that they would not listen to the companies arguments for alternative ways to spend the
same amount of money on environmental projects. At a certain point, we must realize that we
may have gotten as much as we can get.
14-10
Facilitators Manual
11
The bullets on this slide will come up when the mouse is clicked. You should ask some questions
to have the class think of reasons the company may not agree to settle but would prefer to go to
court.
So, if it is so beneficial and so much easier to settle a case, why would anything ever go to court?
The defendant may believe that your evidence is weak and would not convince a judge of the
violation. The converse is true the better the evidence and the stronger the case, the more likely
the company will agree to a settlement rather that risking a loss in court.
The law itself may be weak, or the defendant may have found legal flaws with the regulation.
For example, the legal requirements for issuing a regulation or permit may not have been
followed making the requirement invalid.
The agency may not have offered the defendant enough flexibility and they believe that they
could get a better deal from the court. Or the defendant may believe that the requirement itself
doesnt provide enough flexibility, and a court would agree that it is an unreasonable requirement
and the agency should take action.
Either side may believe that the other side is trying to get too much out of a settlement. Their
positions may never meet, and they may never be able to reach an agreement.
Finally, there have been situations where the personalities involved bring the case to court when
other people may be able to reach a settlement. There may be people out there who refuse to
acknowledge the authority of your agency, and will fight you despite the low chances of winning.
14-11
Facilitators Manual
We loose control
May not get desired outcome
Q
12
Higher risk
Environmental Compliance Inspections
Sometimes, we must take cases to court. Some defendants will not agree to settle and we will
need the authority of a judge to get the results we seek. However, before deciding to go to court,
you should understand that it is a long process, and may require years to reach a resolution.
It also requires additional documentation to verify the evidence, the penalty, and all the facts of
the case. This documentation usually must be shared with the defendant so they can understand
the case and properly defend themselves. Both sides will also get to question witnesses such as
inspectors, case developers, plant operators and company managers.
Finally, the judge or the jury will decide on the verdict. At this point, the agency loses control of
the process. We can usually make recommendations to the judge, but the court is under no
obligation to follow our recommendations ( but they must follow the law). As a consequence,
even if we win the case, we may not get the result we are seeking.
Because of the uncertainties that we experience in the case room, the risks of going to court are
higher for both side. Either side may win the case, but not get what they want from the judge.
For this reason, we should always make some attempt to settle the case before it goes to court.
14-12
Facilitators Manual
13
Finally, whether the case concludes with a settlement of an judicial injunction, we need to follow
up to ensure that the defendant is performing the actions mandated in the final order.
In cases where the only requirement is that the defendant pay a penalty, we can easily verify
whether the payment was made. In other cases, the settlement may require extensive construction
or work to be done. In these cases, we should ask to see records or certifications that the required
activities were accomplished.
Many times, the defendants will be given a schedule to follow with certain milestones to ensure
progress is being made. We need to verify, either by site visits or requiring the defendant to send
us documentation, that the work is progressing along the schedule.
In some situations, we will need to inspect the facility again to determine if they have come back
into compliance with the regulation and are in compliance with the terms of the order or
settlement. These inspections are particular necessary when the defendant has a long record of
violations, and has not shown any additional indication that they will independently change their
practices.
Sometimes, as part of the settlement you may want to require the company to conduct their own
oversight. I have seen cases where the company was required to hire a third party auditor to
periodically check the company and confirm that they are in compliance with the terms of the
settlement. This is most common where there are long term remedial projects that may take a
significant amount of time.
14-13
Session
Start Time
Length
8:00
0:30
Registration
8:30
0:45
Welcome
9:15
0:45
BREAK
10:00
15 MINUTE BREAK
10:15
0:45
11:00
1:00
Ethical considerations
Responsibilities
LUNCH
12:00
1:00
1:45
Enforceability of Requirements
Group exercise
BREAK
2:45
15 MINUTE BREAK
3:00
1:00
Inspection Planning
QUESTIONS
4:00
0:30
ADJOURN
4:30
Handout 1Session 1
Title
Page 1
Session
Time
Length
8:30
1:30
Collecting Evidence
BREAK
10:00
15 MINUTE BREAK
10:15
1:45
On-Site Activities
Access to site
LUNCH
12:00
1:00
1:30
Interviewing Techniques
Interpersonal communications
BREAK
2:30
15 MINUTE BREAK
10
2:45
1:30
Representativeness
QUESTIONS/
DISCUSSION
4:15
0:15
ADJOURN
4:30
Handout 1Session 1
Title
Page 2
Session
Time
Length
11
8:30
0:30
Field Equipment
12
9:00
1:15
Preventing Mistakes
BREAK
10:15
15 MINUTE BREAK
13
10:30
1:30
Documenting Inspections
LUNCH
12:00
14
1:00
1:15
Enforcement Process
Penalty calculation
Court process
Resolution strategies
15
2:15
0:45
Panel Discussion
3:30
4:00
END OF CLASS
ADJOURN
Handout 1Session 1
Title
Page 3
Each group (1, 2, or 3) will select a recorder who will your conclusions on the flip chart
report back to the group.
2.
The group will review one pair of proposed requirements, and select the one that is more
easily enforced and can be monitored for compliance most efficiently and tell us why.
3.
The group will then determine the elements of proof, what information is needed, and
how to inspect for compliance with the selected requirement.
Handout 2Session 5
Page 1
OBJECTIVES
TASKS
What coordination with laboratories, other programs, attorneys, and state or local
governments is necessary?
PROCEDURES
RESOURCES
SCHEDULE
What will be the milestones (What must be done, compared with what is
optional?)
Handout 3 Session 6
Page 1
thestar.com.my/news
PASIR GUDANG: After a recent toxic spill from a sunken tanker, hundreds of fishermen in
Pasir Putech here are being plagued by chemical dumping.
They found more dead fishes and other marine life in Sungai Masai Monday.
The fishermen claimed that the Pasir Gudang municipality garbage disposal site located close to
the river was contributing to the problem.
Yassin Montel, 66, said factory owners here had been taking advantage of Sundays and public
holidays to dump chemical and other toxic waste at the site.
Another fisherman, Mustaffa Khalil, 44, whose house is among those on stilts by the waterfront,
said dead fishes were trapped under the houses,
Mustaffa said he saw a cat dragging a dead fish from the water but walked away without eating
it.
MP for Tebrau Datuk Mohd Ali Hassan, who visited the fishermen, said the dumping of toxic
waste at garbage disposal sites should be stopped.
The Department of Environment must identify the toxic waste and trace the relevant factories
producing them, he added.
According to Ali, the government had acquired a new area as disposal site to replace the present
one and called on the relevant agencies to expedite work on it.
Handout 4Session 7
Page 1
Pacific Electroplating
Monroe, Washington
Project Coordinator:
Field Coordinator:
QA Office Concurrence:
Date:
Peer Review:
Date:
Sample Numbers:
PROJECT DESCRIPTION
Approximately 8 samples will be collected from drums, tanks
or other containers. Samples of liquid and/or sludge will be
analyzed for hazardous leachable metals.
SCHEDULE OF TASKS
Sample collection:
Samples deliver to the lab:
Analysis completion:
DATA USAGE
Data will be used to evaluate if hazardous waste was present
at the sampling site.
SAMPLE TYPES
See attached Table for Samples and Analyses
PRECISION AND ACCURACY PROTOCOLS/LIMITS
Detection limits are given on the attached table. Precision
and accuracy will be determined by the Environmental Agency
Laboratory in accordance with recommended protocols.
Accuracy will be monitored by matrix/matrix spike duplicates,
and laboratory control samples.
Handout 5Session 10
Page 1
Handout 5Session 10
Page 2
Handout 5Session 10
Page 3
Handout 5Session 10
Page 4
Number of
Samples
Media
Sample
Type
Parameter
Container
Preservation 1
Analytical
Method
Detection
Limit
Holding
Time
Liquid/Sludge
Grab
Leachable
metals
1 liter
glass
Cool
1311/6010
100 ppm
6 months
Liquid/Sludge
Grab
pH
use above
container
Cool
9040-liquid,
9045-solid
N/A
As soon as
possible
Liquid/Sludge
Grab
Cyanide
1 liter
cubie
9013/9010
N/A
14 days
1.Due to the likely high sample concentrations, no preservatives will be added to the
samples.
2.Test with lead acetate paper saturated with acetic acid. If paper turns dark this
indicates sulfide is present. The sulfide needs to be removed before preservation. If it
can not be removed in the field - DON'T preserve. Test for presence of chlorine. If
present - add 0.6 grams of ascorbic acid. Assuming no sulfides are present preserve with
NaOH to pH greater than 12. Use 2 ml of 10N NaOH or 0.8g of pellets.
Handout 5Session 10
Page 5
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.
Handout 6Session 13
Page 1
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.)
Handout 6Session 13
Page 2
Physical Sampling
What was the inspector's sampling plan for the facility or site?
What physical samples were collected at the site?
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) described?
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 clearly?
How do the results of analysis of samples compare with limits set forth in the facility's
permit?
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
were provided?
Handout 6Session 13
Page 3
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 activity?
Handout 6Session 13
Page 4
Handout 6Session 13
Page 5
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 report? What problems can you identify?
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? To writer C?
Handout 7Session 13
Page 1
Handout 7Session 13
Page 2
Handout 7Session 13
Page 3
December 2, 1987
Asbestos Demolition Inspection -- Gritty Wrecking,
Urban, Michigan (A24535:00)
K. Eagle, Environmental Engineer
THRU: J. Medium
Engineering Section 5AC
ATTENTION: S. Boss
This is the first in a series of inspection reports intended to provide a complete discussion of an inspection
of 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.
Handout 7Session 13
Page 4
Handout 7Session 13
Page 5
Handout 7Session 13
Page 6
Handout 7Session 13
Page 7
Handout 7Session 13
Page 8
Handout 7Session 13
Page 9
Strongly Agree
Strongly Disagree
Comments:
Topic:
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic. Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Topic:
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic. Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Topic:
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Topic:
Inspection Planning
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Collecting Evidence
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Topic:
On-Site Activities
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Topic:
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Topic:
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Topic:
Documenting Inspection
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Topic:
Enforcement Process
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Strongly Disagree
Breaks and lunch breaks were the correct length and time.
Comments:
1
Comments:
1
Comments:
1
Comments:
Facilitators (Rate from 1 - 5, with 5 being the highest)
1
Comments:
1
Comments:
1
Comments:
1
Others: ______________________
Comments:
Please note any other suggestions you have to improve the course (use additional paper if necessary)
Start Time
Length
Title
9:00
0:30
Registration
9:30
0:15
Welcome
9:45
0:45
10:30
0:30
Ethical considerations
Responsibilities
BREAK
11:00
15 MINUTE BREAK
11:15
0:30
Enforceability of Requirements
11:45
0:30
Collecting Evidence
12:15
0:45
On-Site Activities
Access to site
LUNCH
1:00
10
2:00
1:00
Representativeness
12
3:00
0:45
Preventing Mistakes
BREAK
3:45
15 MINUTE BREAK
Start Time
Length
Title
13
4:00
0:45
Documenting Inspections
14
4:45
0:45
Enforcement Process
Penalty calculation
Court process
Resolution strategies
QUESTIONS
5:30
0:30
ADJOURN
6:00
Introduction
Strongly Agree
Strongly Disagree
Comments:
Topic:
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic. Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Topic:
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic. Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Evaluation
Page 1
Topic:
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Topic:
Collecting Evidence
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Topic:
On-Site Activities
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Evaluation
Page 2
Topic:
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Topic:
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Topic:
Documenting Inspections
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Evaluation
Page 3
Topic:
Enforcement Process
Strongly Agree
Strongly Disagree
Adequate time was devoted to this topic Too Much? 9 Too Little? 9
The visuals, text, and other material was useful and relevant
Comments:
Strongly Disagree
Breaks and lunch breaks were the correct length and time.
Comments:
1
Comments:
1
Comments:
1
Comments:
Facilitators (Rate from 1 - 5, with 5 being the highest)
1
Comments:
1
Comments:
1
Comments:
1
Evaluation
Others: ______________________
Page 4
Comments:
Please note any other suggestions you have to improve the course (use additional paper if necessary)
Evaluation
Page 5