As a contractor, are you at the mercy of regulators? By no means. In fact, you have considerable power to manage reviews and inspections. You can achieve positive outcomes by following a few simple guidelines.
You can take the first step before the regulator sets foot on your jobsite by developing and maintaining contact with the agency. This transforms you from a name signing off on design plans to a real, live professional. It will distinguish you from contractors who do not follow the codes and do not take reasonable care.
You can use your initial contact to judge the supervisor’s people skills. Is the regulator flattered by your visit? Annoyed? Somewhere in between?
During your visit, find out what rules, regulations and guidance documents the agency uses as a basis for its work. Ask for copies. If they are not available on the spot, ask how to get them. Most codes and guidance manuals are available over the Internet.
Find out also how plans and installations are evaluated. Checklist? Risk-based? Obtain copies and use them for plan submissions and self-inspection during construction. Your plan submissions will fly through the review process if they address everything the regulator evaluates.
Ask for a yearly summary of the onsite program statistics. Most regulatory agencies are computerized and can provide a listing of systems installed, violations and enforcement actions. If they cannot provide these details, that tells you something about their level of sophistication.
After making the contact, write a short thank you letter to the supervisor. Send your business card and e-mail address.
Open the door
Invite the supervisor to a jobsite or to your home base to provide a consultation inspection. Many agencies do this and will not document observations as deficiencies. Note how the supervisor responds. A good regulator will jump on the invitation as a way to train new staff. Don’t be surprised if a few fresh faces arrive for the consultation. Your own crew can observe the inspection process and be introduced to the regulatory staff.
Use terms like collaborate, cooperate and partnership. Ask if the agency provides in-service training and, if so, invite a speaker to address your staff. Many regulators are flattered by such requests. These in-services are often free. Many regulators would rather provide an hour of training than an hour of enforcement inspection. The payoff is that your staff returns to the field armed with knowledge and ownership of the requirements.
Ask to be on the agency mailing list for legislative updates. Use the agency as a resource to track changes in legal requirements.
In all these steps, your goal is to operate out of mutual respect and let the regulator know your efforts are directed toward protecting your customers’ health and safety and providing quality installations.
Being proactive
After these introductory measures, there are several proactive steps you can take. First of all, know the code. Just as you must know the rules of the road before you drive, you must know all relevant onsite codes before you install. This includes your staff.
Regulators cringe when the reply to a verified error is, “I didn’t know that was required.” Many installers operate across jurisdictions and deal with numerous codes. Maintain a separate file for each jurisdiction and keep each code and all needed forms handy.
At a new jobsite, review all unique requirements with your crew before starting beginning layout and construction. For example, “We’re in Jones County, and they require a 12-foot setback of the septic tank from the property line.” This can save embarrassing and costly construction mistakes.
Attend every local and state-sponsored training event and code-review meeting. Use the time to network with regulators and fellow contractors. Take as many of your staff as possible to keep them informed and engaged in the process.
Conduct self-inspections as jobs progress. Obtain the regulator’s inspection format and require staff to complete frequent quality assurance inspections. By engaging the staff, you create ownership of the installation and acknowledge them as professionals.
Educate your staff. Crewmembers not familiar with the code may overreact to a deficiency pointed out by a regulator. Since you often have several jobs going, your crew leaders need to be code-competent.
Use the regulatory agency as a consultant and source of information. Call and seek advice, even from the jobsite. Make immediate contact if a severe situation arises. Many regulators will not cite you with a deficiency if you call first and seek consultation.
Network with other contractors inspected by the same agency and compare notes.
Being inspected
Your behavior also can influence the course and outcome of an inspection. You may or may not have notice of an inspection. Some regulators schedule them, and others show up unannounced. The solution is to install so that you can withstand inspection at any time. After all, you should install to standards at least as high as the minimum code.
Plan for times when you or your crew leader must withdraw from the hands-on work to accompany the regulator and verify observations. Good regulators welcome this two-way communication.
Greet the regulator with professional courtesy. If you have introduced yourself properly, you should recognize the inspectors. Don’t be offended if the regulator has less-than-perfect people skills. The focus is the installation and the code — not personalities.
Let the regulator know you appreciate the evaluation and verification of your work. Retrieve your quality assurance documentation — it makes a strong statement of reasonable care and installing to design.
Introduce your staff members by name. They deserve to be recognized as professionals and not just stepped around.
If the regulator documents something that doesn’t register as a violation, make this request: “When you have time, could you show me where this is in the code? I’d like to share this information with my staff.” You not only avoid an argument, you put the burden on the regulator to find the code requirement while allowing him or her to save face. A competent regulator will then provide the requested reference or, if he or she was wrong, apologize.
Taking action
Correct violations right away. If it is in the code and is verified during inspection, it may be documented even if you make corrections before the regulator leaves. This includes issues that may have nothing to do with the overall design or success of the installation. Remember, some regulators have been ordered to “See it, cite it.”
Don’t expect the regulator to provide solutions. Some agencies instruct inspectors to not prescribe solutions. Don’t be offended if you ask for a solution and the reply is, “That’s for you to decide.” Regulators can lose protection under their agency’s liability insurance if they step outside their regulatory role.
Review all issues with the regulator before he or she leaves. Judge the tension level and trust your radar. If the tension is high, take the regulator aside for a private discussion. Review major issues and ask for code clarification on any deficiency statements you do not understand.
If you feel you have been given an improper inspection and cited for irrelevant issues, consider:
• Is this in the code? If so, you may need to take the deficiency and make corrections.
• Where do I want to draw the battle line? What is the outcome for you and your business to have a particular citation on record?
• Do I have any recourse? If you have made positive contact with the regulatory supervisor, you may be able to discuss the issue or ask for an administrative hearing. Check with other contractors inspected by the same party and compare deficiency statements. A letter of complaint or hearing request will carry more weight if it is signed by several contractors.
Not all these tips and suggestions will work in all situations. The contractor-regulator interaction is not always clear-cut and simple. Just remember the question: How do you eat an elephant? And the answer: One bite at a time.
Gary Barnes, a registered environmental health specialist, has more than 30 years of experience in the onsite industry, from installing systems to writing regulations. As a sanitarian, he has conducted site evaluations, plan reviews and installation inspections on hundreds of systems. He now works as a consultant in Arizona helping local agencies establish ordinances and hire and train staff. Reach him at gbarnes6614@ msn.com.
