Overview of Inspection Procedures <Instructor Name>

Overview of Inspection Procedures <Instructor Name>
Display slide. Say “Welcome to the Overview of Inspections Procedures section of the CLEAR Learning NCIT Basic course.” Introduce yourself, including a brief overview of your credentials and history with CLEAR. National Certified Investigator & Inspector Training Basic Program <Instructor Name> <Agency>

Session Introduction Display slide.
Explain that we will first review the session learning objectives and session structure.

I<Clicker Question
Do you conduct inspections as a part of your job? Yes No Display slide. Ask question on the slide. Provide class with enough time to answer the question using their I<Clickers.

Learning Objectives Upon completion of the session, you will be able to: State the purpose of inspections Identify the specific types of inspections Identify the inspector’s role State the reasons for organizing and planning the inspections Identify three major steps in conducting an actual inspection Display slide. Explain the learning objectives on the screen. Ask if there are any questions.

Learning Objectives Upon completion of the session, you will be able to: State the purpose of documenting all steps in an inspection Identify the point where an inspection ends and an investigation begins Explain the importance of establishing and maintaining the professional rapport with those licensees being inspected Display slide. Explain the learning objectives on the screen. Ask if there are any questions.

Session Map Inspection/Investigation Procedures
Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Display slide. Explain that there are five areas of inspections that will be discussed today. Value & Purpose of Inspections Overview of Inpsections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Ask if there are any questions.

Value & Purpose of Inspections
Display slide. Explain that the first section defines the value and purpose of conducting inspections. Explain any additional information

Value & Purpose of Inspections
Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Value of Inspections Protects the public Addresses complaints Potential access to facilities Valuable information source Tool for investigators Display slide. Explain the five main values to the public of conducting an inspection. Public Protection Inspections protect the public from harm. Potential method to address complaints without the need for investigation If the violation(s) alleged in a complaint falls within the authority of an inspection, the inspection is the most efficient way to address the complaint. Inspections are normally completed with less time and expense. It addition to addressing the allegations, the inspection also checks for compliance of other regulated requirements. Potential access to facilities A valid inspection authority may allow you access to areas of practice that are not equally accessible in boards or colleges that do not have inspection authority. Be cautious of the legalities of using an inspection in place of consent or search warrant. Valuable source of information Regular inspections enable agencies to keep current on changes in the practice of a profession. They can also reveal information of larger violations, violations in other locations, or violations in other professions. Tool for investigators While conducting an investigation, the examination of the physical location and related items similar to an inspection may add valuable clarification to an investigator. Simply ask to look at the area or item relative to the case while explaining how it will help you relate the events.

Purpose of Inspections
Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Purpose of Inspections Inspections protect the health, safety and welfare of citizens by ensuring that businesses are in compliance with all federal, state, and local laws and regulations pertaining to the operation of that type of business. Display slide. Read the statement on the slide.

Overview of Inspections
Display slide. Explain that the second section details the role of the inspector. Explain any additional information

The Role of the Inspector
Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections The Role of the Inspector Enforcer Public Relations Representative Educator Display slide. Explain that inspectors have three main roles: enforcer, public relations representative, and educator. Enforcer The inspector is a trained person who performs an inspection of persons, entities, records, or objects to ensure compliance with the law, rules, regulations, or codes. Public Relations Representative The inspector is often the licensee's and public's only contact with the agency. The inspector is most important to enforcement programs because he or she is the "eyes and ears" of the agency. Educator The inspector frequently educates the public and licensees by answering questions about regulated requirements during the course of the inspection.

Authority to Conduct Inspections
Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Authority to Conduct Inspections Established by law Established by rule or regulation Implied consent Inspection warrant Display slide. Explain there are four ways an inspector receives their authority to conduct an inspection. Established by law In most jurisdictions there is a law establishing the board and defining its authority. The authority to inspect a facility and the limits of that authority are normally addressed in the establishing law or statute. Established by rule/regulation Regulations provide more specificity to the general authority provided under the enacting law. Regulations generally provide more detail on what can be inspected when and by whom. Implied consent There are a couple ways to look at implied consent. In some jurisdictions the mere act of being licensed by the appropriate authority may provide for consent to future inspection. This is similar to states that have a law stating if you obtain a drivers license, you are consenting to a breathalyzer test at any time. The active act of doing one thing results in the passive act of agreeing to something else. Check with your agency to see if this applies. Another way to approach this is the lack of response to a request to inspect something. For example, if I ask a licensee to let me look in that closet and they do not respond, it can be considered implied consent. Provided by inspection warrant Some jurisdictions actually require the board to issue an order before a location can be inspected. This is the administrative equivalent of a search warrant. Note: If you do not have the authority to conduct an inspection by law, regulation, consent, or warrant, you are conducting an illegal search.

Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Directed Inspections For Licensure Routine Re-inspection Complaint response Closure Probation Joint Display slide. Explain A directed inspection means that someone in your agency asked you to go do the inspection. There are several reasons for directed inspections. For licensure When a business applies for a license the board will ask you do to an inspection to verify compliance before the license is issued. In some cases, the inspector is authorized to issue a temporary license. Routine An inspector may be assigned to do general compliance inspections of specifically identified businesses within an identified time frame. These would be considered directed routine inspections. Whether the routine inspection is announced or unannounced is normally based upon the authorizing law or regulation. Announced – the business is notified before the inspection is conducted Unannounced – the inspector just arrives at the business without prior notification Re-inspection after previous fail If a business failed a previous inspection, a request may be received from the board or the legal office to conduct an inspection to determine the current compliance status. Complaint response This is an inspection conducted to address allegations received in a complaint. Closure Many facilities have to meet certain requirements when they close. This may include the removal of advertising or the disposition of certain items such as medications or money. In these situations the board will request an inspection to ensure the business has met the requirements. Probation When an individual licensee or facility is placed on probation, one of the terms of probation may include inspections. Joint/Another agency In these situations the inspector has been assigned to work with another agency that may have like interests, but different jurisdictions. An example would be the inspection of a hospital. The Department of Health may regulate the facility, but the pharmacy is licensed by the Board of Pharmacy.

Non-Directed Inspections
Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Non-Directed Inspections Routine Re-inspection Complaint response Closure Probation Joint Display slide. Explain Non-directed inspections include most of the same categories as directed inspections with the important distinction that no one specifically told the inspector to complete the inspection. These are done at the inspector’s discretion within certain parameters established by law, regulation, or policy. For example, if I’m an inspector driving from one directed new business inspection to another with time between, I can simply stop at a licensed business to do a non-directed, unannounced, routine inspection. The only restrictions are that I can only do the inspection during the business’s normal operating hours and I can’t inspect it more than once a year unless there is a complaint or it failed a recent inspection.

Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Health Inspections Grounds Premises Equipment Implements Refuse disposal Personnel Display slide. Explain Health inspections look at things that might impact the physical health of the public. Generally these are issues of cleanliness, sanitation and sterilization that prevent illness or communicable disease. The following list includes areas that may be examined under Health Inspections. Grounds Premises/building Equipment - clean and operational - water/sewage/sanitizers/etc. Implements (tools) Refuge disposal Health conditions of personnel

Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Safety Inspections Hazards Fire equipment Fire plans Electrical dangers Protective gear Communications Hazardous materials Display slide. Explain Safety inspections look at things that could cause injury or prevent injury. The following list contains items of potential focus under a Safety Inspection. Hazards Fire equipment - sprinklers/extinguishers/alarms Fire plans Electrical dangers Protectors - shields/caps/goggles/masks/etc. Communications Storage of hazardous materials

Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Welfare Inspections Operator license requirements Services Samples Price postings Advertisements License display Financial accountability Display slide. Explain Welfare inspections focus more on general consumer issues. The list following includes areas where a consumer could be misled or lose substantial interest. Operator license requirements Services - range required and offered Samples - contracts Price postings Advertisements (false or misleading) License display (notice of competency and good standing) Financial accountability (escrow accounts)

Investigations Prompted by Inspections
Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Investigations Prompted by Inspections Agency guidelines Infractions vs. violations Degree of harm Voluntary vs. compliance Notification Display slide. Explain Agency guidelines If your agency does investigations and inspections, your agency should have guidelines distinguishing when an investigation or an inspection is the appropriate course of action. It should also provide for situations where an inspection will prompt an investigation. Infractions versus violations This is akin to a felony versus a misdemeanor. Inspections generally address infractions or misdemeanor-level violations. If during the course of an inspection information is found that points to potential higher-level violations, it may turn into an investigation. Depending on your agency, you may transition from inspector to investigator seamlessly and address everything. If you work for an agency where there is a distinction between inspector and investigator, you as the inspector should try to obtain as much information as possible and complete the inspection without alerting the licensee to the potential violation in an effort to preserve any remaining evidence. All the information should be provided to whoever is appropriate to conduct the investigation. Degree of harm This is similar to infractions versus violations since there is generally a relationship where the higher the potential degree of harm, the higher the level of violation. Voluntary versus compliance Some acts require compliance with an inspection and some require compliance with an investigation. This is a situation where the governing laws and regulations may impact the appropriate course of action. Notification This is another situation where the governing laws and regulations impact the appropriate course of action. In a situation where you want to obtain information without notifying someone ahead of time, you want the course of action that does not require notification. If you don’t have to provide notification to do an inspection, but you do before conducting an investigation, the inspection may be the best course of action. If the situation is reversed, an investigation may be the way to go. Be sure that making this distinction and determination is within legal parameters.

Conducting an Inspection
Display slide. Explain that the third section demonstrates the following three areas of conducting and inspection. The Introduction and Initial Approach Conducting the Inspection The Exit Interview Explain any additional information

Introduction and Initial Approach
Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Introduction and Initial Approach Dress appropriately Contact appropriate person Explain purpose of visit Establish rapport Maintain control Display slide. Explain The introduction and initial approach is what you do before or when you first walk in the door. As with all situations, first impressions are key. Here are some tips to manage the initial approach during an inspection. Dress Appropriately You should dress professionally and appropriate for the inspection. If your job is conducting inspections of construction sites for the board of contractors, steel toed boots and nice jeans may be professional and appropriate attire. Contact the Appropriate Person This is normally the owner or manager. Although you might have to provide a brief explanation to another employee or receptionist, the majority of your initial approach should be conducted with the owner or manager. Remember to be professional and courteous with anyone. Explain Purpose of Visit Introduce yourself, including your agency, and explain: The reason you are there Under what authority you will conduct the inspection Establish Rapport By acting in a professional and courteous manner during your introduction, you’ve already established rapport. To further enhance and establish rapport, you should: Provide an explanation of what to expect and how you will conduct your inspection Answer questions of licensees and consumers It’s important for us to remember that it may be the fifteenth time this week that we’ve answered that question, but it’s new to the person who is asking. Maintain Control and Flow of Inspection It is important to not allow someone else to control how you proceed with your inspection, as they may intentionally lead you away from particular areas. If it appears someone else is trying to guide the inspection, simply explain that you have a process you have to follow to ensure everything is checked and then follow that process.

Conducting the Inspection
Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Conducting the Inspection Procedure Check list Interference with business Display slide. Explain Having an established procedure helps you maintain control of the inspection. It also ensures everything is checked. Inspection Check List The inspection check list has multiple purposes. It helps you keep your established procedure. It provides the requirements for the type of business, providing another tool to be sure everything is checked. An inspection check list can also provide the guide for completing a report and in some cases acts as the inspection report itself. Interference with Business Every effort should be made to conduct the inspection without interfering with business. Start in areas where clients are not receiving services. As clients are finished, inspect the area where the client was receiving services. You’ll have to give certain allowances for any messes resulting from client services. If you have completed the entire inspection except for those areas where clients are located, simply excuse yourself, explain the reason you need to check the area, and complete that portion of the inspection.

Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Conducting the Inspection Results Pass Fail Out of business Incomplete Display slide. Explain Each inspection has a result so the owner/manager knows where they stand regarding their compliance with the requirements. Possible results are: Pass The facility meets all the requirements. Fail The facility does not meet all the requirements. Out of Business The facility is no longer in business at the location on record with the board. Some boards have requirements that have to be met when a facility is no longer in business. When a pharmacy closes they are normally required to properly dispose of or transfer drugs, transfer prescription records, and notify clients. An inspection with a result of out of business may require additional verification other than simply noting it is no longer in operation at the listed location. Incomplete Something may occur during the course of the inspection that would cause you to stop and finish it at another time. An incomplete result may be appropriate if your agency requires it for tracking purposes. Another potential use is when a potential new business decides not to open as originally requested.

Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Conducting the Inspection Corrective actions Verbal On-site corrections Report notation Display slide. Explain There are numerous ways to address problems found during an inspection. Some include: Verbal Minor violations can frequently be addressed by simply telling the owner/manager of the violation. This goes back to your role as an educator since the licensee may not be aware of the requirement. There are some agencies that have a written protocol for what to do when violations are found. In some of these cases a “verbal warning” is actually recorded on the inspection report. On the Spot Corrections An on the spot correction is allowing the licensee to correct a minor violation while you are still conducting the inspection. An example might be allowing the barber to clean the combs and change the Barbasol when you find one dirty container in an otherwise nice shop. Report Notation The corrective action of a report notation is nothing more than writing the deficiency on the inspection report. This is most common in inspections that have a fail result. Because the owner/manager normally receives a copy of a failed inspection report, the report notation tells them what to correct before the next inspection.

Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Conducting the Inspection Corrective actions Written citation Investigation Refer for prosecution Display slide. Explain Written Citation Many agencies have a citation program much like a traffic ticket for licensees. The boards have determined certain violations are citable and assign specific fines to those violations. You as the inspector would issue a “ticket” when the violations are found. Investigation We already covered this in great detail. Just remember that if the violations you find during an inspection are appropriate for an investigation you want to collect as much information as you can at the time without alerting the licensee. Refer for Formal Prosecution There are times when a facility has so many violations that just failing the shop or even issuing a citation is not enough. In these cases, the facility fails, all the violations are noted on the report, and the report is sent for formal prosecution. Another situation that may prompt formal prosecution is when a business simply refuses to correct violations even when you’ve inspected them repeatedly. Finally, you will find situations where the regulations simply don’t keep up with the practice of a profession. You might walk into a cosmetology shop and find them doing threading or permanent tattooing. This isn’t something that the board has addressed in the regulation, but somehow it just doesn’t seem like something they should be able to do. Send it for formal prosecution so someone can make a determination. The board may have ruled in previous cases that some odd activities are not appropriate. The violations from previous interpretations also have to be handled by formal prosecution.

Conducting an Inspection
Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Exit Interview Contact owner/manager Explain results Prepare for the future Re-establish rapport Display slide. Explain We often overlook the exit interview or summary as an actual step in the inspection. We’re so focused on getting out of there and onto the next inspection we say thank you and run out the door. It’s unfortunate that we give this important step such little importance since it really gives us a chance to communicate with the licensee and make our future visits easier. Contact owner/manager Make sure you find the owner or manager before you leave. After all, they are the person responsible for the business, compliance with the requirements, and the results of the inspection. If possible, meet them in private and do not conduct the exit interview in view of patrons or patients. Explain results Thoroughly explain what you found and the exact reason for the results. Remember to note some positives about this business and not just report the violations that were found. Prepare for the future Tell the owner or manager what the next steps may be. Let them know when they may see you again in the future which will likely depend on the result of the inspection. You can also tell them about any important upcoming meetings of the board or remind them about an upcoming renewal deadline. Re-establish rapport Although it may seem obvious, we sometimes forget to thank people for their time since it’s just another day on the job for us. This, along with the other parts of the exit interview and answering any questions the owner/manager may have will re-establish rapport and hopefully make the next inspection all the smoother.

Inspection Reports Display slide.
Explain that the fourth section discusses inspection reports. Explain any additional information

Inspection Reports Types of reports Purpose of reports
Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections Inspection Reports Types of reports Purpose of reports Distribution of reports Display slide. Explain Types of Reports The most common form of inspection report is a checklist. It provides a guide to conducting the inspection by reminding the inspector what to check and helping maintain a flow to the inspection. Anything that is found during an inspection should be noted on the inspection report. The only exception would be situations where the inspection is prompting an investigation and you don’t want to alert anyone in the business. In these cases a separate memorandum should be sent detailing the issues and anything obtained. Purpose of Report The purpose of an inspection report is just like an investigation report. It is to report facts discovered during an inspection. The facts may be nothing more than checking boxes or filling in blanks to detailed remarks. Regardless, you are reporting what was found during an inspection to the owner/manager, board, and/or prosecutor. Distribution of Report Distribution of an inspection report is a matter of agency policy. In some cases the licensing act or regulation may require the licensee to receive and retain a copy. If there is no such requirement, the agency may decide there is absolutely no need to ever provide a copy. Usually a copy is provided to the owner/manager if it is a new business inspection because the inspection report may act as a temporary license. They will also normally receive a copy when they fail the inspection so they are notified of the deficiencies. A copy needs to be forwarded to the appropriate person when formal action is needed. Regardless, a copy of the report or, at least, data showing the inspection took place, is recorded in an agency database. Make sure you understand the requirements of your agency and the reasons behind the requirements.

The Role of Technology in Inspections
Display slide. Explain that the fifth section discusses the growing role of technology in regards to conducting, and documenting inspections. Explain Numerous companies have programs that enable entire inspection programs to be run from laptops, notebooks, or other portable devices. There are numerous advantages to these programs.

The Role of Technology in Inspections
Inspection/Investigation Procedures Value & Purpose of Inspections Overview of Inspections Conducting an Inspection Inspection Reports The Role of Technology in Inspections The Role of Technology Reduces processing time Schedules Records History Identifies Problems Display slide. Explain Reduces Processing Time Inspection requests can be electronically transferred to these systems. Completed inspections can be sent directly into the main database. Inspectors can even create their own inspections right from the portable device. All this reduces or eliminates the need for mailing paper copies or for clerical staff to do manual computer input. Schedules These automated systems can be set up to tell inspectors when certain businesses are due for periodic inspections. For instance, if your agency goal is to inspect a location every two years, the system can send you a reminder twenty-three months from the last inspection. Records History These systems automatically save a record of inspections to the licensing database and often save a copy of the actual inspection report to the database. This provides a permanent history of the inspections of a business. Identifies of Problems By saving data on violations, agencies are able to identify problem trends within professions or by certain geographic areas. For instance, the data can demonstrate that unlicensed activity is prevalent in certain professions in an urban area. We already know this based on our experiences, but now it can be demonstrated through actual data.

Session Review Display slide.
Say “We have completely reviewed all topics within the Overview of Inspection Procedures session of the NCIT Basic course. We will now review the key concepts of this session.” Inspectors and inspections serve a vital role in regulation. Inspectors protect and educate the public and the professions. They are often on the forefront of identifying changes in the profession that impact licensing laws. Unfortunately, inspections are often referred to in a way that makes them seem less important than investigations, but their value cannot be underestimated.

Knowledge Check The major step that is most often overlooked when conducting an inspection is the: Scheduling an inspection Exit interview or summary Introduction and initial approach of the inspector Final inspection report Display slide. Say “Let’s go over some key points from this session.” Answer Key: Question One: The major step that is most often overlooked when conducting an inspection is the: Answer: B. Exit Interview or summary Instructor Note: There are two animations on this slide. The first displays all of the answers at once. This allows you to display the answers after displaying the question. The second animation will display which of the choices is the correct answer by changing the color, and bolding the text of that answer.

Knowledge Check The three public protection concerns regarding inspections are: Revenue, employment, legislation Training, communications, sales Health, safety, welfare Display slide. Answer Key: Question Two: The three public protection concerns regarding inspections are: Answer: C. Health, safety, welfare Instructor Note: There are two animations on this slide. The first displays all of the answers at once. This allows you to display the answers after displaying the question. The second animation will display which of the choices is the correct answer by changing the color, and bolding the text of that answer.

Learning Objectives Review
You should now be able to: State the purpose of inspections Identify the specific types of inspections Identify the inspector’s role State the reasons for organizing and planning the inspections Identify three major steps in conducting an actual inspection Display slide. Review the learning objectives. Ask if there are any questions regarding the objectives displayed.

Learning Objectives Review
You should now be able to: State the purpose of documenting all steps in an inspection Identify the point where an inspection ends and an investigation begins Explain the importance of establishing and maintaining the professional rapport with those licensees being inspected Display slide. Review the learning objectives. Ask if there are any questions regarding the objectives displayed.

? Questions Display slide.
Ask if there are any final questions before completing the session.

Session Evaluation

In general, this instructor:
Is Unacceptable Needs Improvement Is Good Is Very Good Is Excellent Display slide. Read the title of the slide. Begin the I<Clicker timing for this question. Instruct end users to submit their responses.

The style of delivery: Is Unacceptable Needs Improvement Is Good
Is Very Good Is Excellent Display slide. Read the title of the slide. Begin the I<Clicker timing for this question. Instruct end users to submit their responses.

The content: Is Unacceptable Needs Improvement Is Good Is Very Good
Is Excellent Display slide. Read the title of the slide. Begin the I<Clicker timing for this question. Instruct end users to submit their responses.

The amount of material covered:

The usefulness of this session:

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