The Inspection – Part 1
Upon arrival at the facility, the inspector may not just enter and begin the inspection rather, according to policy, the inspector should: a) Locate the proper official (owner, operator or agent) as soon as possible and determine that this official has the proper authority to help you; b) Present identification to the proper officials, even if it is not requested and keep identification in sight at all times while trying to locate the proper officials; c) Document entry in logbook or field notebook, noting date, time, and names and titles of facility personnel encountered.
Proper identification is the inspector’s EPA agency identification card issued by the EPA. Additional identification may be required by EPA Regional policy. You can also ask for the inspector’s driver’s license to compare photographs and signatures. After presentation of proper identification and credentials, the inspector will seek the consent to enter the facility to conduct the inspection. The appropriate company official should be designated in advance for purposes of consent to inspect the premises. The consent to inspect may be withdrawn at any time. Any segment of the inspection completed before such withdrawal remains valid. Withdrawal of consent is equivalent to a refused entry. Consent to inspect the facility is not required for an inspector to observe and report on things in plain view and includes observations made while on private property in areas not closed to the public such as parts of the facility observed while the inspector presents identification. This is the “Open Field” doctrine. Air Pollution Variance Board v. Western Alfalfa Corp., 416 U.S. 861, 94 S.Ct. 2114 (1974).
You may request the inspector to sign a log, passbook, or other form prior to entering a facility. Inspectors may sign logs or passbooks as facilities keep record of visitors to the facility and they are useful in the event of a fire or other emergency. Inspectors will not sign waivers or other legal documents that limit the facility’s liability in the event of an accident. Once the inspector gains access to the facility, he may or may not conduct an opening conference. The decision is left to the investigator’s discretion. The purpose of the opening conference is to firmly establish that the inspector is in control. The investigator will conduct an opening conference to set the tone for the inspection, to provide information regarding the inspection, to establish schedules for interviews and to gather general information.
While each investigation/inspection is unique, the inspector may: a) Walk the facility; b) Ask lots of questions; c) Take lots of notes; d) Take formal statements; e) Take samples; f) Review documents/permits; g) Take photographs/videotape; h) Prepare inspection checklist; i) May even tape record statements.
When finished, the investigator will conduct a closing conference. The closing conference should be with the same people as in attendance at the opening conference. At the closing conference, the Investigator will give: a) Receipts for samples; b) Receipts for documents seized; c) May (or may not) discuss preliminary findings; and d) Advise as to the availability of the sample analysis. The Investigator will not: a) Discuss compliance status; b) Legal effects; c) Enforcement consequences; d) Recommend consultants; e) Advise of the availability of the follow-up report. The inspection may result in investigator issuing a Deficiency Notice. The Investigator will then take information and samples and fill out their report, analyze samples and follow-up as necessary with any coordinating agencies.
More later.
As always, feel free to call me or e-mail me with any questions at walter.james@jamespllc.com.
WDJiii