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Elements of Effective and
Defensible Report Writing
Alan Ito
Environmental Scientist
Department of Toxic Substances Control March 17, 2014
Why are Inspections Important?
•
Environmental laws and regulations
protect human health and
environment
•
Inspections fulfill agencies’ duties
•
Inspections drive compliance
•
Compliance protect public health
and environment
Importance of Inspection Report
•
Agency’s/Public’s record of the inspection
•
Document compliance status
•
Basis for, and useful in, enforcement
actions
•
Assists others who inspect the facility
–
Institutional knowledge
•
PRA compliance
The Value of a Well
Written Report…
• Communicates the compliance information
• Gives the reader confidence in your
abilities, competence & professionalism
• Reflects positively on your agency
• Establishes credibility
• Refresh recollection
5
What did he say, again?
The Report Includes
• Your observations
• Chronology (think SOL)
• Photos, Samples and Analytical Results
• Witness Identification and Statements
• Documents narrative, purpose, and site description
Notes and Report are Evidence
Definition from California Evidence Code
“Testimony, writings, material, objects or other things
presented to the senses that are offered to prove the existence and non-existence of facts”
Relevant or Not –
What Should be in Notes
• Relevant
– Notes of compliance and violation
– Addresses, dates, times, individuals, quantities,
admissions, measurements, sampling locations, photos
• Not relevant
– Personal opinions, subjective thoughts and statements
– Witness evaluation
• Relevant if
Notes – Best Practices
• Make them legible
• Take your time
• Keep segregated from other investigations
• Incorporate notes into report
• Verify consistency between notes and report
• Verify all material info is included
Notes – Best Practices, con’t.
•
Recognize that notes form basis
for report
•
Report explains when, how and
why notes were made
•
Destroy Notes because report is
more complete and accurate
description of what was perceived
Notes –What Does
Your Agency Require?
• Agency methods for collecting and maintaining notes differ
‾ Bound vs. unbound
‾ Specific format vs. personal style
‾ Maintain or destroy after report complete
• Each has advantages and disadvantages
• To ensure defensibility, follow your agency’s guidance – consistency is
Practical Considerations
• Establish and repeatedly implement system for taking notes and writing reports
– Deviation from SOP should be justified
• Use quotes judiciously
– But capture all admissions verbatim
• Prepare for inclement weather
– “Write in Rain” pens and notebook
Practical Considerations, con’t.
•
Develop a style and stick to it
–
Documents needed for review –
mark with standard symbol – mark
through when received
•
Use quotation marks for direct quotes
•
Document photos in notes or log
•
Use facility’s description of area and
processes in notes and report
Checklist with
room for notes
Use of Checklists
• Checklists can be used to help ensure a thorough inspection
– Make sure form is accurate
• Fill in each box or note why not
• Can be a full report for
straightforward inspection if comments carefully recorded
• Aren’t a replacement for careful note
What Should Always be in
Notes and Report
• Who granted consent for inspection (Business
Card and CDL)
• Date, Time and Location
• Who was present and identifying/contact info.
• Note compliance information supplied to facility
representatives (initial and date)
• List of all items taken from facility
• Note exit interview - (what happens from here)
• All violations need to be noted
• “No violations found” should be qualified with
Additional Items to Cover
• That you explained:
– Compliance status
– All violations
– Return to compliance date
– What happens from here
• Do NOT make any representation as to what enforcement may ensue.
That is a manager’s job.
Compliance Deadlines
•
Be careful in language used
•
Violations of the law exist until
compliance is verified
–
(whether or not enforcement
action is taken)
•
Compliance date is time to correct
violation before violation can be
What skill is the key
to note taking and,
ultimately, a good
inspection report?
Listening!!!!
–
Be an active listener
EXERCISE
•
You are responsible for
taking notes during an
interview.
•
Find the important facts
during the interview
•
You will report back
Listening is the Key
•
Don’t let note taking interfere
with listening
•
If you don’t understand
something, ask more questions –
listen again
•
Ask more questions
•
Once you understand, take your
Hope for the Best,
Prepare for the Worst
•
You never know where the findings of an
inspection will end up
(Admin/Civil/Criminal)
•
Take notes to satisfy criminal standard
–
Beyond a Reasonable Doubt
•
Careful and thorough notes will actually
speed up the report writing process
24Stick to the Facts
• Include only factual statements in notes
– Maintains credibility, avoids appearance of bias
• Facts can be backed up by what you perceived/observed with your senses
– Facts answer the Who, What, Where, When and How questions
• Don’t assume, suppose or guess
Factual vs. Not Factual
Note Taking
•
Factual
–
Notes -Three drums – leaking a red
liquid – southeast corner of
boneyard (photo 1)
•
Not Factual
–
Three drums – leaking a hazardous
waste – southeast corner of boneyard
Factual vs. Not Factual
•
Factual
–
Mr. Smith said drum contained
rusty water
•
Not factual
–
Mr. Smith said drum contained
rusty water, but it doesn’t look
like rusty water
27Documenting Deception
• Take photos
• Take samples
• Document direct quotes – use quote marks
– I asked Mr. Smith what was leaking from the
drum. Mr. Smith said, “That’s rusty water.”
• If you sense something isn’t “right,”
follow up, keep asking questions, return to the issue later
Stay Professional
•
Avoid snide comments in notes
•
Avoid “off-topic” comments in notes
–
Notes on phone calls unrelated to
inspection – if necessary, clearly
delineate and explain these
comments in notes
•
Avoid unsubstantiated conclusions
Stay Professional &
Document Deception
•
Instead of:
“Orange liquid leaking from drum,
Mr. Smith said it was rusty water.
Looks like chromic acid to me.”
•
Write:
“Orange liquid leaking from drum.
pH paper indicates pH of less than 1
Ask questions beginning with
W’s and H
– Who – Name & title, Who are you?
– What – Job duties, What do you do?
– When – Date and time, When did it occur?
– Where – Use facility’s description. Where are we?
– Why – Often very revealing – Why did you
discharge the waste? Why did you alter the monitor? Why didn’t you do . . .
– How – Clarify and explain, How does this process
work? How long has it gone on?
Value of Photographs
•
Photo is worth a thousand words
•
What is difficult to describe in
words may be very easy to
document in a photo
•
Very powerful impact as evidence
•
Versatile – photos can document
wording on labels or used to
Documenting Photos
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Catalog all photos in a separate log
•
Insert poignant photos in narrative
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Provide brief description of photo
and “frame” photo location
–
Date, orientation, description
–
south boundary of facility
looking north at Boiler No. 2
Sketches and other
Visual Evidence
• Sketches are useful to refresh memory later, show relationships
• Use directions and landmarks to orient
• Google Earth can be used to give overview of site
– Not Evidence!
• If possible, get plot plan from facility for use during inspection and to include in the report later
Documenting Record Review
•
Record reviews are very important
•
Compliance relies heavily on records kept
by the facility
•
Ask about document retention policy
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Document what you reviewed and how
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Note documents that have been altered
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Identify violations in documents, i.e.
exceedances and omissions
Take a Photograph!
Documenting Record Review
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Note any discrepancies in records
–
Get copies of records demonstrating
discrepancies
•
Carefully document missing records
–
What was missing – be specific
–
Who did you ask for the record?
Copies of Records
•
Mark copies of any records you
receive with:
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Brief description of document
–
Date document received
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Your initials
•
Helps avoid confusion concerning
when document was created or
received, may support or refute
Documenting
Sample Collection
• Describe sampling location and method
– Sample ID number, type of containers, collection tools, preservation, sampling method, PPE used – be specific
• Photograph sample container before and after
with evidence tape
• Use whiteboard with sample #, location, direction
• GPS, if available
• Follow SOP – if you deviate from SOP, state so,
and explain why
Writing the Report
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Transfer notes into report
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Know your audience
–
Supervisor, Defendant,
prosecutor, defense attorney,
hearing officer/ALJ/judge
•
Purpose of report:
–
To convey information gathered
Effective Reports Include
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Purpose of Inspection
–
complaint, regular, follow-up
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Facility description
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Narrative
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Witness identification
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Source of Evidence and Information
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Chronology
Attachments to Report
• Permit
• Photos
• Samples and Analytical results
• Copy of the compliant
• Documents obtained
• Physical evidence
• Diagrams, Assessors Map, Google Earth
• Regulations and Statutes
Report Narrative
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Objectively convey details of inspection
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Use “I” and active voice
–
On (date), I obtained consent from
Mr. X. He said _____.
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Write it for a non-technical audience
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Stick to the facts
First Person/Active Voice
• I did this …
• I sampled the …
• Supervisor Joe Smith said …
• Employee Mary Smith gave me …
• Avoid “passive voice”
– (to be verbs followed by a past tense verb)
– Ex – “It was explained that . . .
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Be concise, avoid wordiness
–
Instead of:
“The ensuing discussion to the previously referenced issue relating to the necessary activity of obtaining a permit resulted in an unwillingness by the facility representative to agree with our conclusion.”
-Say
:“Mr. Smith disagreed with my determination that a permit was required.” 46
Avoid “Colorful” Language
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Instead of:
“Containers of disgusting, smelly
paint waste littered the facility.”
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Say:
“We observed open containers of
paint-solvent waste.”
Acronym – Avoid or Define
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Government runs on acronyms –
assume your audience does not
know the meaning
Avoid:
“Mr. Smith said it was a RCRA
CESQG with a PTO with a POTW.”
•
Write out full name, then use
abbreviation
Who’s on First?
Be Careful with Pronouns
• It may be wordy to repeat names, but it may be necessary for clarity and factual accuracy. Instead of:
“Mr. Smith and Mr. Jones accompanied me on the nitric acid plant inspection. He said he was the supervisor the afternoon the emission
exceedance occurred.” Say:
“Mr. Smith and Mr. Jones accompanied me on the nitric acid plant inspection. Mr. Smith said Mr. Jones was the supervisor the afternoon the emission
exceedance occurred.”
• Typographical errors hurt your credibility
• Have someone else proofread report for errors and clarity
do they reach the same conclusions?
• Read it backwards – you will catch errors
• Where complex regulatory interpretations are involved, have an attorney review the report
