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Role of the Regulatory Inspector:

Inspection and Enforcement

Level IB: Advanced Fundamentals Seminar

Education and Training Requirements for Individuals Involved in Land Disturbing Activities

Issued May 2009

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References1. Florida Erosion and Sediment Control

Inspector’s ManualFlorida Department of Environmental Protection

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

Office of Enforcement and Compliance Assurance

Environmental Protection Agency

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Overview• Role of the inspector

• Inspector safety

• Site inspection procedures

• Enforcement procedures

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Who is an inspector?

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

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Role of the Inspector1. Official Representative• Responsible for ensuring

compliance for the city or county erosion and sediment control program

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Role of the Inspector

1. Official Representative

2. Fact Finder

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Role of the Inspector1. Official

Representative

2. Fact Finder

3. Provider of enforcement presence

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Role of the Inspector

1. Official Representative

2. Fact Finder3. Provider of enforcement

presence

4. Enforcement case developer

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Role of the Inspector1. Official

Representative2. Fact Finder3. Provider of

enforcement presence

4. Enforcement case developer

5. Technical educator

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Role of the Inspector1. Official Representative

2. Fact Finder

3. Provider of enforcement presence

4. Enforcement case developer

5. Technical educator

6. Technical authority

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

individuals

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Inspector SafetyPossible HazardsBiological/Environmental

– Bee stings– Mosquitoes– Snakes– Other animals– Poisonous plants– Extreme heat and

humidity– Extreme cold

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Inspector SafetyPossible Hazards

Physical hazards– Vehicles and

equipment on-site– Scrapes, scratches

and cuts– Trip and fall hazards– Excessive noise

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Inspection Procedures

Elements of an Effective Inspection Process

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Preparing for an InspectionPre-inspection Research:

1. Identify sites for inspection

2. Review Plan• Check contours• Surrounding properties• Critical areas• Phasing

3. Review inspection and enforcement files

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Preparing for an Inspection

Before leaving the office:

1. Plan an inspection route

2. Dress appropriately

3. Pack necessary equipment

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Preparing for an InspectionField EquipmentInspection equipment

may include:– Cameras with

necessary accessories to document observations

• Digital • 35 mm or similar• Video cameras

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Preparing for an InspectionField EquipmentInspection equipment may include:

– Logbook and pen• Portable• Dedicated• Paginated• Properly identified and dated• Other considerations:

– Write only on one side of the logbook– Only write what you don’t mind others seeing– Clip business cards and other important paper to

appropriate pages of the log book

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Preparing for an InspectionField EquipmentInspection equipment

may include:– Tape measure

• Should be easy to carry and easy to use

• May be used to:– Provide perspective

– Used to check for proper installation and maintenance of BMPs

– Measure buffer to ensure compliance

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Preparing for an InspectionInspection equipment may include:

– Global Positioning System• May be used for:

– Documentation of water course locations during state waters evaluations

– Documentation of impacts on streams and other properties by identifying location

– Mapping violations

• Considerations– Know how to use the instrument– Proper calibration– Accurate recording of information

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Preparing for an Inspection

– Sampling equipment• Considerations:

– Clean, well maintained equipment

– Sampling protocol– Properly calibrated

turbidimeter

Inspection equipment may include:

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Performing an InspectionInspecting the SiteFive questions to determine compliance:

1. Does this project have an approved permit?

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

3. Is erosion being controlled on the site?

4. Is sediment being contained on the site?

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

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Performing an InspectionEntry• Observe surroundings

– Note date, time and weather conditions on inspection form

– Phase of construction– Survey location and activities of vehicles and

heavy equipment

• Check permit board/box

• Ask to see the Plan

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Performing an InspectionEntry• Present your credentials

• Ask to speak with someone familiar with the construction site’s Plan and E&S control practices

• Provide contact information

• Observe any specific safety issues or requirements

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Performing an InspectionInspection Sequence

– Identified on Plan?– Installed correctly?– Properly maintained?– Are exits and entrances

being used appropriately?

– Tire wash area?– Sediment leaving site

and entering roadways?

1. Construction exits and entrances

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Performing an InspectionInspection Sequence

– Is sediment leaving the site?

– Document downstream impacts

– Collect samples for turbidity testing

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

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Performing an InspectionInspection Sequence

– Observe terrain– Note type of controls

• Installed correctly?• Properly maintained?• According to Plan?• Is sediment leaving

the site?

3. Walk the perimeter of the site

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Performing an InspectionInspection Sequence

– Mulch or temporary grassing should be applied to all exposed areas left exposed for a period greater than 14 days.

– Note type of controls• Installed correctly?• Properly maintained?• According to Plan?

4. Inspect active areas

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Performing an InspectionInspection Sequence

– Areas left idle for less than six months should be stabilized with at least temporary seeding

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

5. Inspect disturbed areas that are not currently being worked

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Performing an InspectionInspection Sequence

– Finished slopes of cuts or fills should be stable– Areas left idle for more than six months should

be stabilized with permanent vegetative measures

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

6. Inspect disturbed areas with final stabilization

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Performing an InspectionInspection Sequence

– Does the activity on-site exceed the Plan– Review inspection forms and

documentation to ensure that all information is complete and accurate

– Conduct an exit interview if possible– Present preliminary results not final report– Start with positive comments if possible– Explain areas that are deficient and any specific

concerns

7. Take into account the overall site

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Documentation

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DocumentationNote Taking

• Be specific

• Identify personnel correctly

• Avoid vague terms

• Use dates and times

• Use ink pens, not pencils, to complete reports

• When taking field notes, use a bound notebook with numbered pages

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DocumentationPhotographs• Either digital or film cameras are

acceptable

• Carry enough film, batteries and accessories

• Be familiar with equipment

• Take all the photographs you may need to reinforce your report

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DocumentationPhotographs

• Put photos in context– Establishing shot– Subject shot – Close-up shot

• Take notes about the pictures

• Maintain perspective

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DocumentationPhotographs

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

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DocumentationVideo cameras• Grants ability to record motion

– See the violation as it occurs

• Hold camera steady

• Keep pans and zooms to a minimum

• Let the images in the frame move instead of making the camera move

• Transfer recording to video or CD as soon as possible

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DocumentationReporting• A complete and factual record documenting the

entire inspection– Activities on-site– Observations– Outcomes

• Supports potential enforcement actions– Validates current enforcement actions– Provides basis for future actions

• Communicates results to others– Provides a “site history” for other inspectors

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DocumentationTips for Writing Reports• Simple

– Short, direct sentences– Define complicated/technical terms

• Factual– Report observations– Avoid opinions

• Accurate– Check details– Compare with field notes, checklists and reporting

forms

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Enforcement Protocol• Understand what constitutes a violation

– Failure to properly design, install and maintain best management practices constitute a violation under the Act (O.C.G.A. 12-7-6)

• Obtain copy of written policy for your jurisdiction

• Know the cases for mandatory enforcement action in the Act

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Enforcement ProtocolPurpose of Enforcement

• Promotes compliance

• Protects environment by deterring future violations

• Sends message to regulated community

• Discourages economic benefit from violating law

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Enforcement ProtocolMethods of Enforcement

1. Consider the methods and tools of enforcement available

2. Determine what is mandated and what is at the discretion of the inspector

3. Apply appropriate enforcement method

4. Follow-up

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Enforcement ProtocolHuman Relations• Inspectors must deal with a variety of

individuals• Concerned citizens• Contractors• Developers• Other governmental agencies

• Inspectors must be fair and consistent when inspecting sites and dealing with individuals

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Enforcement ProtocolComplaint Resolution

– Apply city/county/agency procedures consistently

– Follow through on complaints – Reply to complainant when appropriate– Document complaints and responses

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Enforcement ProceduresComplaint Resolution

Key Steps to dealing with angry complainants:1. Maintain a friendly and professional manner

2. Acknowledge that a difficult situation exists

3. Calm the individual by questioning and verifying

4. Involve the person in solving the problem

5. Handle the problemAppendix 8-A

Florida Erosion and Sediment Control Inspector’s Manual

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Enforcement ProceduresTaking Enforcement Action

Effectively communicating deficiencies:1. Present the situation2. Allow the person time to adjust3. Accept the person’s reaction4. Demonstrate acceptance of the person’s reaction5. Restate positive points6. Offer assistance7. Clearly express that violations must be corrected8. Allow for future contact and follow-up

Appendix 8-AFlorida Erosion and Sediment Control Inspector’s Manual

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Enforcement ProceduresWitness Guidelines

How to prepare to offer testimony in court:– Review project file– Review field notes– Know strengths and weaknesses of

documentation– Practice testimony

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Enforcement ProceduresWitness GuidelinesWitness Conduct:

–Professional appearance and dress–Avoid distracting mannerisms–Do not give memorized answers–Be serious and respectful–Speak clearly and loudly–Listen carefully to the questions asked of you–Answer directly and simply–Give only facts not opinions–Always tell the truth

Appendix 8-BFlorida Erosion and Sediment Control Inspector’s Manual

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Summary• Inspectors must be professional, fair and

consistent

• Inspectors must be technical authorities

• Proper inspection procedures must be observed

• Properly applied enforcement action promotes broader compliance

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

EPA Inspector’s Field Manual