Contenido

Introduction ........................................................................................................................................... 3

Course Learning Objectives .................................................................................................................. 4

Stage 1: Fundamentals of Social and Environmental Compliance Inspections (SECI) ................. 4

Stage 2: Module Learning Goals ....................................................................................................... 7

Stage 3: Module Learning Goals ....................................................................................................... 9

Course Format ..................................................................................................................................... 10

Target Audience ............................................................................................................................... 10

Prerequisites and Course Requirements ....................................................................................... 10

Pace ................................................................................................................................................... 10

Structure ........................................................................................................................................... 11

Activities ............................................................................................................................................ 11

Technical Assistance and Instructional Resources ........................................................................ 11

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Assessment and Certification ............................................................................................................. 12

Placement test .................................................................................................................................. 12

Quizzes and Stage Tests .................................................................................................................. 12

Course Certificates ........................................................................................................................... 13

Digital Badges ................................................................................................................................... 13

Course Policies ..................................................................................................................................... 14

Privacy Policy .................................................................................................................................... 14

Accessibility Policy ............................................................................................................................ 14

Academic Integrity Policy................................................................................................................. 14

Communication Policy ..................................................................................................................... 14

Course Team ........................................................................................................................................ 14

Content ............................................................................................................................................. 14

Design and Development ................................................................................................................ 15

Copyright Information ......................................................................................................................... 15

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Introduction
Welcome to the course on Social and Environmental Compliance Inspections (SECI)!

One of our main objectives at the Inter-American Development Bank (IDB) is to promote the

strengthening of the national environmental and social licensing and control systems that help

countries achieve a healthy balance between economic growth and preservation of the natural

environment. These national systems are constantly developing and evolving; they are also

complex and diverse, reflecting each country’s different environmental, socioeconomic, and

cultural realities and priorities.

To help projects comply with its regulations, the IDB has identified a series of common sequential

stages within "project cycles" that have been incorporated into this training. This three-stage

training course (Figure 1) provides current and future inspectors with the fundamental knowledge

for planning and conducting inspections, as well as detailed guidance for carrying out on-site and

post-inspection activities.

1. Fundamentals
of social and 3. Post-SECI
2. Planning and
environmental inspection
conducting SECI
compliance activities
inspections (SECI)

Figure 1. Stages of the Social and Environmental Compliance Inspections (SECI) Course

With this on-demand, online course, you can receive training that will help you conduct your

inspections more effectively and efficiently, resulting in improved compliance and enforcement.

As the course is self-paced, you can take the training at any time and in any place. It is possible to

test out of a stage by taking a pre-course test (see Assessment and Certification, later in this

guide). The overall duration of the course is around 22 hours.

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Course Learning Objectives
General learning objectives of the SECI course are to:

1. Identify the principles, roles, and responsibilities required for environmental and social

inspection according to international good practices.

2. Explain why environmental and social compliance inspections are necessary to ensure

regulation and law enforcement.

3. Manage resources efficiently through targeted compliance promotion, compliance

monitoring, inspections, and enforcement activities.

4. Identify the inspection functions necessary to effectively manage environmental and social

risks and impacts and the appropriate responses to violations.

5. Identify the elements of an enforceable requirement.

6. Select inspection and monitoring activities to ensure compliance within a regulatory

framework.

7. Identify ways in which to collect, document, and present evidence, including samples, in a

legally defensible manner.

Next are the module learning objectives and duration for each stage.

Stage 1: Fundamentals of Social and Environmental Compliance Inspections (SECI)

In this stage of the SECI course, you will explore the basic definitions, concepts, roles, and

frameworks of an inspection, such as the different types and goals of compliance and

enforcement, criteria for targeting and prioritizing inspections, the role of inspectors, enforcing

requirements, and collecting defensible evidence.

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Module 1 – Introduction to Social and Environmental Compliance Inspections (SECI)

1. List motivations or incentives for compliance and their impact on improved environmental

and social management.

2. Identify types of enforcement and compliance and how to incentivize it.

3. Recognize what is enforcement, the goal of enforcement, and how to use it to increase

compliance.

4. Identify the components of an effective compliance and enforcement program and how to

use them as a tool for deterrence.

5. Describe the possible results and the processes that are initiated when non-compliance is

identified for an inspected site, facility, or project.

6. Identify the advantages of using enforcement as deterrence and to ensure compliance.

7. Recall the social issues to consider during an enforcement process.

8. Recognize systems of promoting accountability, including defining compliance and

enforcement or deterrence strategies resulting from inspections.

Module 2 – Targeting and Prioritization

1. Recall the difference between environmental and social risks and impacts.

2. Identify various rationale for conducting an inspection.

3. List the criteria for targeting and prioritizing facility inspections.

4. Describe environmental justice and equity and how inspections can help address the issue

and prevent the materialization of a risk.

Module 3 – The Inspector and Inspections

1. Distinguish the inspector roles within the inspection process and the importance of

relationships of the inspector with the inspection team and the activities, facilities, projects,

and people inspected for realizing successful enforcement.

2. Differentiate the types of inspections according to the motivations for the inspection.

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 3. Assess the role of company compliance auditing and certification with international

standards.

4. Recognize ethical considerations in the inspection process and the steps to prevent the

appearance of unethical behavior or bribery.

5. Describe the responsibilities of inspection team members.

6. Identify the types of confidential business information and their implications.

7. Recognize the importance of the Inspector’s authority and its influence on the inspection

process.

Module 4 – Enforceable Requirements

1. Differentiate the three types of standards, according to their requirements.

2. Translate requirements into verifiable items that can be used as elements of proof.

3. Evaluate how to approach an inspection according to the requirements to be met.

4. Describe the elements of an enforceable requirements and a motivation for compliance.

5. Identify ways to more easily enforce a requirement and make recommendations to

regulators to improve enforceability of requirements.

Module 5 – Defensible Evidence

1. Describe the rationale behind collecting defensible evidence and ensuring its admissibility

in a court proceeding.

2. Recognize what evidence is and the different types of evidence.

3. Indicate the value of instruments’ verification and documentation.

4. Recall how to handle evidence properly, including maintaining the chain of custody.

5. Underline the importance of maintaining good and consistent habits and procedures while

planning and performing inspections.

6. Distinguish how evidence collected by citizens can be used and needs to be treated.

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 7. Acknowledge the role community science and monitoring could play in supporting

government compliance and enforcement programs.

Stage 2: Module Learning Goals

During this stage, you will learn how to plan an inspection, perform onsite activities, collect

samples, and identify laboratory issues, and conduct inspection interviews.

Module 1 – Planning an Inspection

1. Recognize the importance of planning and preparation when conducting inspections.

2. Recall the elements of a complete inspection and project plan, including all necessary

elements for complex inspections.

3. List the documents that should be reviewed to prepare for an inspection that will gather

the most information before the visit.

4. Recognize the relevance of health and safety planning in inspections for the inspector, the

facility, and the community.

5. Underline the benefits of identifying facility and inspection stakeholders and inform them

of all events that might concern them.

6. Explain regulation and regulatory governance and provide concrete examples.

Module 2 – Performing Onsite Activities

1. Identify access granted vs access denied, the steps for gaining access to the facility for

inspection, and what to do if access is denied.

2. Describe what to expect from each step of the site visit.

3. State how to perform a site visit to ensure all inspection objectives are fulfilled.

4. List issues to inspect to ensure that gender and labor considerations have been addressed.

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 5. Describe what to expect from the closing conference and the preliminary Discussion of

Findings.

6. Recognize the value of credentials to demonstrate the inspector’s authority and capacity to

adequately inspect.

7. Explain regulation and regulatory governance and provide concrete examples.

Module 3 – Collecting Samples and Identifying Laboratory Issues

1. Identify what is a sample, reasons to collect samples, and uses in defending a case.

2. Recall the difference between representative and random samples.

3. Recognize the importance of collecting representative samples, and how to ensure and

demonstrate that samples are representative.

4. Outline the elements of a sampling plan, the importance of adhering to one, and when to

deviate from the plan, including samples of opportunity.

5. List the details to convey to the laboratory to ensure quality of results, including types of

control samples.

6. Recall the use of certifications and calibrations to ensure good quality and accuracy of data.

7. Identify common sampling errors and how to avoid them.

8. Recognize different sampling equipment and its use in the field during an inspection.

Module 4 – Conducting Interviews

1. Identify the four modes of communication.

2. Describe communication barriers, how they occur, and how to avoid them.

3. Outline the components and steps for a successful interview, including social and individual

considerations of an interviewee to effectively encourage confessions.

4. Describe proxemics and identify how to use proxemics, location, and timing for a

successful interview.

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 5. Recognize how to ask questions correctly to gather quality answers and the questions to

avoid during an interview.

6. Recall the requirements to record and document interviews to ensure records are as

accurate as possible.

Stage 3: Module Learning Goals

In Stage 3, you will review the critical activities in documenting inspections and managing the

enforcement process.

Module 1 – Documenting Inspections

1. Recognize the importance of documenting inspections with quality Inspection reports that

are factual, complete, and accurate.

2. Identify different methods for writing an effective inspection report and ensuring all

gathered information is available.

3. Distinguish the different sections of a typical inspection report, their objective, and their

content.

4. Remember tips for writing an effective inspection report, taking into consideration the

audience and the specific style needed for the report to be a relevant piece of evidence.

5. Recall the advantages of documenting inspections with pictures, as well as the methods for

recording details to ensure pictures are usable as proof.

6. State the need for integrating observations of facility operations and practices using

regulatory citations.

7. Outline the uses and applications of electronic inspection recording devices.

Module 2 – Managing the Enforcement Process

1. Outline the basic principles of the enforcement process.

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 2. Identify reasons why enforcement is needed and how to proceed with enforcement in a

case of environmental or social violation.

3. Recognize the factors governing penalties and the different systems for calculating them.

4. Remember the implications of being a witness and tips for being an effective one.

5. Recall the pros and cons of settlements vs taking a case to court, and the biggest obstacles

to reaching a settlement.

6. Identify the situations in which an inspector needs to negotiate, different negotiation tips,

what to avoid, and resolution strategies.

7. Name ways in which informing the public can advance deterrence.

Course Format

Target Audience
The target audience for this course are inspectors who work as part of an inspection project team

within their respective Ministries of the Environment. Inspectors may or may not have previous

inspection experience or environmental/social training; their experience level can range from new

inspectors to experienced inspectors (e.g., 20+ years). Inspectors can include both environmental

and social specialists.

Prerequisites and Course Requirements

course. An intermediate level of English proficiency is preferred, and you should also have an

available time commitment of about 2 hours per module.

Pace
This is a self-paced course, which means you have the freedom to complete the course stages at

your own pace. You should try to complete course stages within the calendar year in which you

have begun the course.

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If you complete a stage of the course but not the entire course within the calendar year, you can

receive a stage pass that can be carried over to the next year. This allows you to start a

subsequent stage in following editions. For example, you begin the course in July 2024; in

December 2024, you have successfully completed Stage 1 of the course. You will receive a stage

pass for completing the remaining stages in the next year(s).

Note: You will not receive a pass for an incomplete stage; if you
don’t finish a stage before the course ends, you will need to
restart an incomplete stage from the beginning.

As this is a self-paced course, you will not be interacting with an instructor or other participants,

and you will complete the course at your own speed. The course activities are designed for you to

consider in the context of your own country or region and then transfer your learning to the

workplace.

Structure
The SECI course consists of three stages, and each stage contains modules, which are structured

in a similar way. Each module focuses on a specific SECI topic and includes interactive

presentations, questions for reflection, and quizzes.

Activities
The course includes online discussion forums and quizzes. The discussion forums are spaces

within the online classroom for written responses to questions for reflection. Quizzes consist of

multiple-choice questions that check your knowledge upon module completion.

Technical Assistance and Instructional Resources

available to facilitate your learning process:

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 • INDES HELP: If you wish to contact INDES for any information related to the navigation

and content of the course, or for technical help, you can do so using this tool.

• Learning Guide: You will use this guide to help navigate you navigate through your

learning experience. We encourage you to download the guide and keep a copy close by.

• Instructional resources: Resources available in the course modules include interactive

media presentations, web pages, and sample documents and checklists.

Assessment and Certification

Placement test
If you have the requisite knowledge of the content presented in the stage modules, you will have

the option to test out of a stage. To successfully test out of a stage, simply complete the

placement test for the stage; you must have a 90% pass rate on the stage placement test.

Please note that you will be required to take the placement test before beginning the stage. You

will have only one opportunity to successfully pass the test for each stage.

Quizzes and Stage Tests

rate on the stage test to successfully pass the Stage. You will have two opportunities to

successfully pass the stage test.

To assess your progress toward meeting stage and module learning goals, each module includes a

quiz at the end of the module. You will be given two opportunities to successfully answer a quiz

question. There are also reflective activities in each module to help you prepare for the quiz

content.

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While completing the quiz, incorrect answers will be shown for each module question, and

feedback will be provided for each incorrect question response. To successfully complete a stage,

you must have a combined pass rate of at least 70% for the module quizzes and stage test. The

average of the module quiz scores, and the stage quiz test score is determined according to this

table:

Value
Average of module quiz scores 75%
Stage test score 25%

Course Certificates
To successfully complete a stage, you must pass the module quizzes and the stage test with an

average 70% pass rate. Once you have successfully completed a stage, you will receive a

certificate; upon successfully completing all three stages of the course (70% pass rate), you will

receive a course certificate.

Digital Badges
To successfully complete a course stage, you must have at least a 70% score on module quizzes

and stage test (average). Upon successful completion, INDES will issue you a digital badge, as well

as a stage pass, as evidence of your accomplishment.

You will also receive a course digital badge upon successfully completing all three stages and the

post-course test. You can share your digital badges on your social media accounts and in your

digital portfolio. You will receive instructions for downloading your badges and stage passes in an

email (sent to the email account you used to register for the course).

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Course Policies
You are responsible for your own training process and progress, and it is your duty to review and

know the policies that govern this course. Therefore, we invite you to review the policies by which

the INDES courses are framed, which are briefly described here:

Privacy Policy
This policy describes issues related to confidentiality and the use of your personal information

and data.

Accessibility Policy
This policy refers to providing accessible content to people with disabilities.

Academic Integrity Policy

specific cases of plagiarism or academic dishonesty are detected.

Communication Policy
This policy outlines the netiquette and communication expectations you are expected to follow

when posting to the discussion forums in the course.

Course Team

Content
• Lara Chinarro, ESG Online Learning Program Manager (IDB).

The team thanks LeRoy Paddock (INECE), Aryel Abramovitz (EPA) and Amy Porter (EPA) for their

contributions and comments to improve the overall quality of the course.

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Design and Development
• Stella Porto, Course Project Supervisor (Knowledge, Innovation and Communication Sector-

IDB).

• Mariano D’Angelo, E-learning Project Manager (Knowledge, Innovation and Communication

Sector-IDB).

• Andrea Attis Beltran, Consultant, (Knowledge, Innovation and Communication Sector-IDB)

• Lisa Marie Blaschke, Instructional Designer.

Copyright Information
Copyright © 2024. Inter-American Development Bank. This publication is subject to a Creative

Commons Attribution-Noncommercial-NoDerivs license (CG-IGO 3.0 BY-NC-ND) Creative

Commons Attribution-Noncommercial-NoDerivs IGO 3.0 license (CC-IGO BY-NC-ND 3.0 IGO)

(http://creativecommons.org/licenses/by-nc-nd/3.0/igo/legalcode) and may be reproduced for any

non-commercial use providing recognition is given to the IDB. Derivative works are not permitted.

Any dispute related to the use of IDB publications which cannot be resolved amicably shall be

subject to arbitration in compliance with UNCITRAL rules. The use of the IDB’s name for any

purpose other than respective recognition and the use of IDB’s logo are not authorized by this CC-

IGO license and require an additional licensing agreement.

Please note that the URL link includes additional terms and conditions of this license.

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