Environmental Compliance Inspection Course

Facilitators Manual

Session 6: Time: Equipment: Preparation: Handouts:

Inspection Planning 1 hour Projector for slides Study Notes Think of Anecdotes None

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: An inspector entered a facility to conduct a "routine" inspection for PCBs. Once inside, he came upon some smashed capacitors, sitting in a puddle on the ground. The inspector had his sampling equipment with him, but had left his camera in his car. He went out to get the camera to document the spill, but when he reentered the facility, the capacitors had been swept up, and the puddle was gone. An inspector was taking a sample of a sewer discharge. He failed to put his container away on a windy day and it blew down the open access into the sewer system. When he tried to retake the sample, the inspector discovered that he had not brought any extra containers with him. What are some of your experiences? Have any of you had things go wrong during an inspection because you didnt anticipate something or came poorly prepared?

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Planning the Inspection

Importance of planning Key planning activities Q Project plan
Q Q

Defining scope and objectives Review facility records

Planning and preparation are important to: Focus the inspection on key issues Make the most efficient and effective use of the time spent on site Ensure that equipment, transportation, and other needs will be available Ensure that proper procedures are followed

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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 Identify any special monitoring or analytical equipment needed and arrange to Review available records to become familiar with the facility Assemble materials and equipment Prepare QA/QC plan and safety plan Coordinate activities with supervisors, attorneys, state agencies, and others, as

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Elements of a Project Plan

Objectives Q Background Q Tasks Q Policies and procedures Q Safety Q Resources Q Schedules
Q
4

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.

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Identify the Overall Project Objectives:

Q

Focus on why the facility was targeted

Reasons for selecting the facility

Determine the desired outcome

Create a statement of objectives

A first step in planning is understanding why the inspection is to be performed: Reason: routine, for cause, case development support, follow-up Scope: specific regulations Depth: walk-through, records review, sampling, observation

Topics: specific control and treatment systems, records, self-monitoring, contingency plans and emergency plans, employee training Also, determine what is the successful outcome of the inspection. In some cases, you may be there to check the overall performance of the facility, while in others, you may be investigating a particular release or environmental problem. How do you decide which facilities to inspect and when? Solicit responses and discuss different targeting methodologies. You should determine why the facility is being inspected. The reason it was selected can influence how you conduct your inspection.

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Gather Background Information:

Q

Background information is critical for the development of a project plan

The inspector should review your agencys records to: Become familiar with the type, size, and operations of the facility Discover inadequacies, inconsistencies, or voids in the information, thus determining the need to request additional information from the facility Minimize inconvenience to personnel of the facility or unnecessary use of their time by not requesting information that EPA already has Clarify technical and legal issues before entry

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

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Review Facility Information

The inspector should look for facility information such as Diagrams, and photographs Special entry requirements Process operations and production levels Control equipment Record keeping systems Safety requirements Permits, permit applications, and special exemptions Prior inspection reports and reports on enforcement actions Self-monitoring reports Laws and regulations Technical reports relevant to processes and contracts. REMEMBER: It is better to know all and play dumb than to know nothing and BE dumb.

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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.

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Identification of Tasks
Q

What activities MUST be accomplished to meet the objectives of the inspection

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.

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Policies and Procedures

Q

Special procedures applicable to this inspection

Notification of facility prior to inspection (Announced or Unannounced) Notification of other local regulatory officials

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 Proper people will be present Documents will be collected for review Easier to schedule activities Quick cleanup doesnt hide real problems Safety concerns identified CON Facility can clean up quickly before inspection Documents may be altered to hide violations Plant may shut down to hide poor operations Unlikely to get accurate picture of daily activities Some operators may be isolated

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.

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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.

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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.

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Resources
Q

Team members for onsite inspection

Number of inspectors Sampling team

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.

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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

Dates that the reports are due

Q Q 14

7
A PR IL

7 8
A PR IL

7 9
APRIL

APRIL

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.

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Final Pre-Inspection Team Meeting

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.

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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?)

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