United States
Environmental Protection
Agency
Air Pollution Training Inctitute
MD20
Environmental Research Center
Research Triangle Park NC 27711
Air
APTI
Course 444
Air Pollution
Field Enforcement
IT
Student Manual
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United States Air Pollution Training Institute
Environmental Protection MD-17
Agency Research Triangle Park, NC 27711
Air
APTI
Course 444
Air Pollution Field Enforcement
STUDENT MANUAL
Jerry W. Crowder
Crowder Environmental Associates, Inc.
2905 Province Place
Piano, Texas 75075
Joe G. Moore, Jr.
BCM Engineers, Inc.
14651 Dallas Parkway, Suite 102
Dallas, Texas 75240
September 1990
United States Environmental Protection Agency, Manpower and Technical Information
Branch, Office of Air Quality Planning and Standards, Research Triangle Park, North
Carolina 27711
EPA5EB000156
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Notice
Although the information is this document has been funded wholly or in part
by the United States Environmental Protection Agency under Order No.
9D3245NATA to Dr. Jerry W. Crowder, it may not necessarily reflect the
views of the Agency and no official endorsement should be inferred.
Note from the Authors
This document is current as of September 1990. The policies and rules stated
in this document represent the views of the authors and are not necessarily the
view of the United States Environmental Agency. Policies and rules are
likely to change in the future. Readers are advised to contact either their state
agency or the USEPA regional office for official policies and rules and their
interpretation.
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Table of Contents
Topic Page
Chapter 1: Overview of Air Pollution Control
Goal
Objectives
Introduction
Air Quality Management
An Ambient Air Quality Model
Air Quality Index
National Ambient Air Quality Standards
Hazardous Pollutants
Other Pollutants
Air Quality Control in the U.S.
Enforcement Responsibilities
References
1-1
1-1
1-2
1-2
1-2
1-4
1-4
1-5
1-5
1-6
1-6
1-7
Chapter 2: Role of the Inspector
Goal
Objectives
Introduction
Role of the Inspector
Personal Qualities and Skills
Orientation and Training
References
2-1
2-1
2-2
2-2
3-2
2-4
2-5
Chapter 3: The Enforcement Process
Goal
Objectives
Introduction
3-1
3-1
3-2
III
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Enforcement Systems • 3-2
Permits to Construct and Initially Operate 3-2
Cyclic Operating Permits 3-3
Compliance Plan Enforcement 3-4
Surveillance and Complaint Response 3-5
Enforcement Actions 3-5
Enforcement Policy 3-6
References 3-8
Chapter 4: Off-Site Surveillance
Goal 4-1
Objectives 4-1
Introduction 4-2
Surveillance Principles 4-2
District Surveillance 4-3
Pre-Inspection Surveillance 4-4
Surveillance by Instruments or Effects Indicators 4-4
Ambient Sampling 4-4
Deposition Sampling 4-4
Remote Sensing 4-5
Effects Indicators 4-5
Enforcement of Visible Emissions Regulations 4-6
Guidelines for Evaluating Visible Emissions in the Field 4-7
Office Preparation 4-7
Field Equipment 4-8
Observer's Location 4-9
Evaluation Procedures 4-11
Documentation of a Violation 4-13
The Inspector as an Expert Witness 4-16
References 4-17
Chapter 5: On-Site Inspection of Sources
Goal 5-1
Objectives 5-1
Introduction 5-2
rv
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Types of Inspections 5-2
Facility Inspection 5-2
Violation Inspection 5-3
Complaint Inspections 5-3
Inspections Relating to Emergencies 5-3
Elements of the Inspection Process 5-4
Pre-Inspection Preparation 5-4
Pre-Entry Observations 5-6
Entry 5-7
Opening Conference 5-8
Inspection Documentation 5-9
Field Notebook 5-10
Visible Emission Observation Form 5-11
Samples, Chain of Custody and Laboratory Analyses 5-11
Drawings and Maps 5-11
Copies of Records 5-11
Statements 5-12
Printed Matter 5-13
Photographs 5-13
Closing Conference 5-14
File Update and Report Preparation 5-15
Handling Confidential Business Information 5-16
Chain of Custody Procedures 5-19
References 5-21
Chapter 6: Federal Legal Provisions
Goal 6-1
Objectives 6-1
Introduction 6-2
Constitutional Provisions • 6-2
The Fourth Amendment 6-2
The Fifth Amendment 6-2
The Fourteenth Amendment 6-3
The U.S. Clean Air Act 6-3
State Implementation Plans 6-4
Federal Enforcement 6-4
National Emission Standard for Hazardous Air Pollutants 6-4
Section 113 of the Clean Air Act 6-5
Section 303 of the Clean Air Act 6-5
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Permit Requirements 6-5
New Source Performance Standards 6-5
Prevention of Significant Deterioration 6-6
Nonattainment Areas 6-7
References 6-10
Chapter 7: State and Local Laws and Administrative Procedures
Goal 7-1
Objectives 7-1
Introduction 7-2
Police Power 7-2
Common Law Nuisance 7-2
The Statutory Approach 7-3
Hearings Prior to Regulation Adoption 7-3
Adjudicatory Hearings 7-4
References 7-6
Chapter 8: Litigation Procedures
Goal 8-1
Objectives 8-1
Introduction 8-2
Types of Litigation 8-2
Civil Actions 8-2
Criminal Actions 8-2
Pre-Trial Discovery 8-3
Deposition 8-3
Interrogatories 8-3
Principle Rules of Evidence 8-4
Hearsay Rule 8-4
Best Evidence 8-4
Leading a Witness 8-4
Do's and Don'ts for a Witness 8-4
Informal Conferences Off-the-Record or In-Chambers 8-5
References 8-6
vi
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Chapter 9: Courtroom Procedures
Goal 9-1
Objectives 9-1
Introduction 9-2
The Role of the Witness 9-2
Vocabulary of the Courtroom 9-2
References 9-3
Chapter 10: Overview of Federal Enforcement
Goal 10-1
Objectives 9-1
Introduction 10-2
Interface with State and Local Enforcement 10-2
Provisions of the CAA which Pertain to Federal Enforcement 10-2
Clean Air Act Enforcement 10-3
Enforcement Prior to the 1977 Amendments 10-3
Congressional concerns with the 1970 Law 10-3
Clean Air Act Amendments of 1977 10-3
Processing Section 113 Enforcement Actions 10-4
Penalties 10-6
Criminal 10-6
Civil 10-6
Section 120 Administrative Penalties 10-6
Audit by EPA of State Source Inspection 10-6
References 10-7
Chapter 11: Handling Nuisance Complaints
Goal 11-1
Objectives 11-1
Introduction 11-2
Public Nuisance, Legal Aspects 11-2
Causes of Nuisance Complaints 11-2
Receiving a Complaint 11-3
VII
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Complaint Investigation
Complainant Interview
Inspection of the Source
Resolution of the Nuisance
Enforcement
References
11-4
11-4
11-6
11-7
11-8
11-9
Chapter 12: Odor Detection and Evaluation
Goal
Objectives
Introduction
Characteristics of Odors and Odorants
Odor Perception
Odor Parameters
Quality
Intensity
Acceptability
Pervasiveness
Determinants of Odor Perception
Identity of Odorant
Ambient Conditions
Status of Receptor
Measurement of Odor Intensity
Sampling for Later Evaluation
Dilution Techniques
Determining Sources Responsible for Odors
Odor Transport
Determining Air Flow from Source
Wind Vector Measurement
Recording Odor Surveys
Relating Source Strength to Control Requirements
Odor Control
References
12-1
12-1
12-2
12-2
12-3
12-3
12-4
12-5
12-6
12-6
12-6
12-6
12-7
12-7
12-8
12-10
12-11
12-12
12-13
12-13
12-14
12-14
12-15
12-16
12-17
viii
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Chapter 13: Baseline Source Inspection Techniques
Goal 13-1
Objectives 13-1
Introduction 13-2
Principles of the Baseline Method 13-2
Components of the Control System 13-3
Inspection of the Ancillary Components 13-4
Contaminant Capture 13-4
Transport 13-4
Air Moving 13-5
Instrumentation 13-5
Other Components 13-6
Classification of Air Pollution Control Devices 13-7
Inspection of Control Devices 13-8
Settling Chambers 13-8
Cyclones 13-8
Fabric Filters 13-9
Electrostatic Precipitators 13-10
Wet Collectors 13-11
Spray Tower 13-11
Tray Scrubber 13-12
Packed Tower 13-12
Venturi Scrubber 13-12
Adsorbers 13-13
Incinerators 13-14
Condensers 13-14
References 13-16
Chapter 14: Inspection Safety
Goal 14-1
Objectives 14-1
Introduction 14-2
General Considerations 14-2
General Safety Procedures 14-3
Walking and Climbing Hazards 14-4
Eye and Hearing Protection 14-5
IX
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Electrical Hazards 14-5
Explosions 14-5
Burns 14-6
Inhalation Hazards 14-6
Heat Stress 14-7
Cold Stress 14-7
Skin Absorbable Chemicals 14-8
References 14-9
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Chapter 1
Overview of Air Pollution Control
Goal
The purpose of this lesson is to present the broad objectives and means of attainment of
the air pollution control effort in the United States.
Objectives
At the end of this lesson, the student should be able to:
1. Recite the ultimate goal of the air pollution control agency and
how progress toward the goal is measured.
2. Define ambient air quality.
3. Explain the fundamental relationships which create ambient air
quality.
4. Name the criteria pollutants.
5. Differentiate between primary and secondary National Ambient
Air Quality Standards and between primary and secondary
pollutants.
6. Explain background pollution levels.
7. List the hazardous pollutants covered by NESHAPS.
8. Identify three meteorological factors important in air pollution
control.
9. Identify the basic concept of air quality control in the U.S.
10. Define atmospheric reaction products.
11. State the source of regulations enforced" by the state and local
inspectors.
1-1
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Introduction
An understanding of the principles of air quality management will provide a
better understanding of the role of the air pollution inspector. APTI self-instructional
Course 81:422, "Air Pollution Control Orientation Course", is highly recommended as
preparation for study in the field of air pollution enforcement. The following overview
will briefly highlight the fundamentals of air quality management.
Air Quality Management
The basic objective of an air pollution control program is to attain and maintain a
level of outdoor air quality which will protect against adverse effects on public health
and welfare and prevent significant deterioration of air quality in regions where the air is
considered clean.
Health is considered to be a state of complete physical, mental and social well-
being and not merely the absence of disease. The Clean Air Act, Sec. 302(h), states that
all language referring to effects on welfare includes, but is not limited to, effects on soils,
water, crops, vegetation, anthropogenic materials, animals, wild-life, weather, visibility,
climate, damage to and deterioration of property, and hazards to transportation, as well
as effects on economic values and on personal comfort and well-being.
Monitoring progress toward the ultimate goal is accomplished by measuring the
ambient air quality. Because the ambient system is constantly in motion, pollutant
concentrations are also highly variable. Therefore, ambient air quality is defined as the
pattern of the occurrences of levels of air contaminants in the outdoor air.
An Ambient Air Quality Model
A conceptual model may be developed to represent the major factors that
contribute to the air quality of a region. The model separates emitters from receptors
and demonstrates that air quality results from the transport, diffusion or accumulation of
contaminants from sources, atmospheric reaction products, background influx, and
deposition and re-entrainment from surfaces. The model, illustrated in Figure 1-1, is
written as:
E+A+B+C
AAQ = —
1-2
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where AAQ = ambient air quality in /Ltg/m3
E = the sum of emissions from within the region, including both
stationary and moving sources and fugitive emissions from
storage piles, material handling, construction and demolition,
building openings, etc. These are identified as the point and
area sources within the air quality control region. The units are
fig/sec.
A = the effect of atmospheric reaction. This term may be either
positive or negative, depending on whether the contaminant is
generated or consumed by the reaction. This parameter is also
affected by the frequency and intensity of solar radiation. The
units are jig/sec.
B = background pollutants flowing into the region from outside its
boundaries. This parameter is influenced by rainfall, snow cover
and humidity. The significance of background influx can be
considerable in determining the required reduction of E
necessary to meet the air quality standard. Obviously, if B
exceeds the standard, no amount of reduction in E will achieve
attainment. The units are jig/sec.
C = the effect of deposition and re-entrainment from surfaces. This
term may also be either positive or negative, depending on
whether the contaminant is deposited on or released from the
surface. If both are occurring simultaneously, the sign is
determined by the process that dominates and the value is given
by the difference in rates. This parameter is also influenced by
rainfall, snow cover and humidity. The units are /ig/sec.
F = the effective dilution flow of atmospheric air through the region.
This parameter is affected by horizontal wind speed and
atmospheric stability or turbulence The units are m3/sec.
The model is applied to each pollutant separately, because air quality is defined
on a single contaminant basis. In so doing, one or more of the terms may reduce to zero.
ForSQj
E-A+B-C
AAQ =
since SOz is depleted by atmospheric reaction and tends to deposit onto surfaces at a
rate greater than it is released.
1-3
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ForPM-10
E+A+B+C
AAQ =
since small particles are produced by atmospheric reaction and tend to be released from
surfaces at a rate greater than they deposit.
ForQj
0+A+B-C
AAQ =
since Os is formed by atmospheric reaction, is not significantly emitted from point and
area sources and tends to deposit on surfaces at a rate greater than it is released.
Air Qualify Index
A number and descriptive term that is used to characterize air quality for a given
location and time period is referred to as an air quality index. The index proscribed for
all cities larger than 200,000 population is the Pollutant Standard Index (PSI) developed
by EPA
The PoDutant Standard Index is determined by dividing the concentrations of
each of the five major air pollutants-nitrogen dioxide, sulfur dioxide, carbon monoxide,
ozone and paniculate matter~for a given time period by the corresponding National
Ambient Air Quality Standard (NAAQS) to obtain a number between 0 and 500. The
reported index is based on the pollutant having the highest PSI value. Accompanying
each index range is a description of the general health effects and the precautions to
take. The index ranges and corresponding descriptions are as follows:
0-50 ~ good
51-100 — moderate
101-200 -- unhealthful
201-300 - very unhealthful
301-500 - hazardous
National Ambient Air Quality Standards
National Ambient Air Quality Standards designed to provide an acceptable level
of air quality were promulgated by EPA in 1970. Six contaminants, termed "criteria
pollutants", were originally named: CO, SO* NO* non-methane hydrocarbons,
1-4
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photochemical oxidants, and total suspended participates (TSP). Since that time, lead
has been added, non-methane hydrocarbons has been removed, photochemical oxidants
has been replaced by ozone (O3) and TSP has been replaced by PM-10.
To further define air quality goals, NAAQS are divided into primary and
secondary levels. The primary standards are designed to protect human health with an
adequate margin of safety. The secondary standards are set to prevent other adverse
effects from air pollution, including damage to flora and fauna and materials of
economic value.
The terms primary and secondary are also used in reference to the pollutants
themselves. The primary criteria pollutants are those which are directly emitted into the
atmosphere and include CO, SOa, PM-10, lead and NO. Secondary pollutants are those
formed primarily by atmospheric reaction and include Oa and
Hazardous Pollutants
The Clean Air Act, Sec. 112(a)(l), defines hazardous pollutants as those "which
may reasonably be anticipated to result in an increase in mortality or an increase in
serious irreversible, or incapacitating reversible, illness." National Emission Standards
for Hazardous Air Pollutants, NESHAPS, have been established for such pollutants as
asbestos, beryllium, mercury, vinyl chloride, benzene, radionuclides, inorganic arsenic
and coke oven emissions.
Other Pollutants
Most state and local jurisdictions are vitally concerned with many contaminants
not included in the national program. These other contaminants cause a variety of
effects in local areas, such as vegetation and materials damage, injury to livestock and
discomfort to individuals. Regulations dealing with these pollutants are enacted and
enforced by the state and local agencies.
During the last few years, regulations have emerged, primarily at the state and
local level, for the control of air toxics. Air toxics refer to those air pollutants that may
pose a potential health risk when emitted into the air, but for which EPA has not
established an NAAQS. Approximately 800 pollutants are currently regulated by
various state and local air toxics programs, ranging from common elements such as iron
and nickel or simple organics such as benzene, to complex chemical such as polynuclear
aromatic hydrocarbons.
1-5
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Air Quality Control in the U.S.
Air quality control in the U.S. is a two level program, with the efforts of the states
and their political subdivisions dictated by their own legislative actions to meet their
particular needs, and the Federal program based on Federal laws and regulations
created by the Clean Air Act. Since 1970, the Federal program has strongly influenced
state and local programs through the promulgation of national requirements imposed on
states and local governments.
Enforcement Responsibilities
The major component of an enforcement program that determines the role of
the inspector comes from the control strategy embodied in the applicable state
implementation plan. Federal inspectors find their enforcement role spelled out in the
Clean Air Act and resulting Federal regulations. Both levels of enforcement action
target the same major sources, leading to cooperative or duplicate or unilateral actions
that are often confusing to the regulated sources and the public.
1-6
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References
Gruber, C.W., and P.M. Giblin, "Air Pollution Field Enforcement: Student Manual",
EPA 450/2-80-075, March 1980.
1-7
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.:.-.;.••;:••:. •;-'vi^V:/:';S'
«"*' * * V**'**—
*-*^ r*'***.^^ .•* •* • ^fj-i
'V^ *4"*''>+;*.- ^••."•*:
A^Vi^ *-"••"••••
Figure 1-1: Ambient Air Quality Model
1-8
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Chapter 2
Role of the Inspector
Goal
The purpose of this lesson it to describe the job characteristics and necessary personal
qualities of the agency inspector.
Objectives
At the end of this lesson, the student should be able to:
1. State the role of the field inspector.
2. State three job-related requirements a newly hired inspector must
learn.
3. State what determines the scope of the field operations program.
4. State at least five field enforcement activities.
5. Identify at least five specific characteristics of the inspector's job.
6. State at least three methods of continuing self-education by day to day
working experience.
7. List at least four personal qualities or skills needed by the agency
inspector.
8. Identify three nonverbal influences in communications.
2-:
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Introduction
This chapter describes the job of the inspector and the personal qualities necessary to
satisfactorily perform these duties.
Role of the Inspector
Inspectors form the primary field operation of the control agency. Tasks assigned
may include field surveillance; complaint investigation; facility inspections; writing reports,
composing orders, recommending or serving notices of violation; assisting in developing
compliance plans; serving as a witness before a hearing board or a court; or assisting in
other operations, such as source testing or sample collection. The specific duties of an
inspector will be determined by the scope of the agency's field operations, and that is
influenced markedly by the level of the agency.
Field enforcement responsibilities at the local level (city, county or regional agency
or district office of a state agency) generally involve the supervision of a wide variety and
large number of sources. The inspector is physically close to the pollution sources and to the
citizens, who generally expect prompt response to complaints. In cases of litigation, the
inspector usually has little advance consultation with legal counsel.
Enforcement officers at a centralized state agency are farther removed from sources,
requiring greater travel and less frequent inspections. Enforcement tends to emphasize larger
sources than in areas served by local agencies and usually relies on in-house legal counsel.
At the federal level, enforcement emphasis is placed on major stationary sources of
pollutants and is usually structured on a case-by-case basis with legal consultation from
within the agency. Actions are usually in cooperation with the state but may preempt the
state under certain conditions.
Within an agency, the scope of field operations will be influenced by both internal
and external determinants. The major external determinants are the number and types of
stationary sources that require surveillance and the status of their compliance with
regulations, compliance plans, consent orders, etc. The major internal determinants are the
complexity of the rules and regulations; the support required for source registration and
permit inspections; the frequency of required re-inspections; and the administrative and
enforcement policies of the agency.
2-2
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The inspector's job is both people and situation oriented. Field personnel must deal
with the motivations, needs and problems of individuals and with other environmental,
economic, legal and social considerations that may be encountered in the field. The
inspector is constantly meeting and dealing with people face to face; obtaining information,
conducting investigations, seeking provable, factual evidence; answering questions and
solving problems; forming judgments and taking enforcement actions; preparing and
preserving the record in written reports; and giving persuasive testimony. The inspector
represents the agency in the field and, in the eyes of the general public, often is the agency.
The ultimate success or failure of the enforcement program depends heavily upon how well
inspectors do their job.
Personal Qualities and Skills
The inspector should possess a mature personality and be capable of dealing with the
public in an efficient and businesslike manner, often under strained conditions. At times, the
inspector must listen to caustic comment and criticism with self control to avoid argument or
debate. Under such circumstances, maintaining a courteous demeanor can be difficult.
The ability to communicate is essential for an inspector. Effective communications
may well be the lubricant that can prevent friction between violator and enforcer. However,
the inspector should be aware that communicating is more than a matter of people talking
to each other. Be sure the other party understands the full meaning and import of what you
say and what you may want them to do. Avoid ordering or commanding: "Do this!", "Do
that!", "Because I say so", or "Because the law says so". Remember, the right words
communicate, while the wrong words irritate.
The spoken words are by no means the sum total of communications. The nonverbal
influences can be just as important How the inspector acts and dresses and the level of
calmness and self-assurance are all part of effective communications. Don't make it tough
on yourself by going into an interview with a chip on your shoulder.
The inspector's dress and appearance must be neat and well groomed. This may be
difficult to achieve, since alternating situations of office and plant, clean and duty, heat and
cold must often be accommodated. If the inspection visit is to involve entry into a
manufacturing or operating area, remember that ties, loose coats and street shoes have no
place in this environment
2-3
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The inspector must develop investigative skills in gathering facts and organizing
them in a concise manner. The inspector must be observant of signs important to the central
theme of the inspection or investigation; resourceful in applying innovative methods to
unusual situations; able to pick out from the sum total of conversation and directed
inspections that which is meaningful to the purpose; and skillful in directing the interview
and inspection to obtain the factual material needed.
In order to develop the qualities needed, the inspector must have a capacity for
learning in the technical and legal disciplines. The technical aspects encompass a broad
understanding of the entire field of air quality management and source control technology.
The inspector must be able to speak the language of air pollution and its control and should
use each inspection as a learning process.
The inspector must develop a potential for legal enforcement, developing the
capability to relate numbered regulations to corresponding situations encountered in the
field. In some cases, the inspector must align with a prosecuting attorney who is unfamiliar
with the air pollution statutes, who may have very little knowledge or experience in air
pollution cases and who may have little time for advance preparation.
Not withstanding their central role in an enforcement action, the inspector must
develop rapport with the engineering and technical groups. In the larger and more
complicated litigations, the inspector will be called on to function as a member of the
enforcement team.
Orientation and Training
In the first weeks on the job, the inspector must learn the air pollution laws and
regulations, including the section numbers; the administrative procedures, especially the
paperwork routines; and the policies of enforcement. In the months that follow, that
knowledge must expand to include the identification of industrial processes and control
equipment, along with the parameters which relate to their emission potential; a basic
understanding of combustion processes and their equipment operation; and the ability to
expertly determine the opacity of plumes.
Opportunities for the inspector to continue learning include EPA self-instructional
courses, air pollution training courses and workshops; technical meetings, seminars and
conferences; university or community college courses; and professional and trade journals.
2-4
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References
Graber, C.W., and P.M. Giblin, "Air Pollution Field Enforcement: Student Manual", EPA
450/2-80-075, March 1980.
2-5
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Chapter 3
The Enforcement Process
Goal
The purpose of this lesson is to present an overview of the enforcement process by which
sources are brought into compliance, with emphasis on the functioning of the agency
inspector within the process.
Objectives
At the end of this lesson, the student should be able to:
1. State the mission of the enforcement operation of an agency.
2. Identify three major enforcement systems.
3. State at least six ways construction permits aid enforcement.
4. Identify the Federal jurisdiction for new construction permit review.
5. State the purpose of a "Policy of Enforcement".
6. State the three degrees of compliance.
7. State at least eight of the milestones included in a Compliance Plan
Schedule.
3-1
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Introduction
The mission of the enforcement operations of an agency is to carry out those field
tasks designed to bring sources into compliance with regulations at the earliest possible time
and to maintain their compliance. Enforcement actions vary widely among agencies, and
policies setting enforcement strategy are as individualistic as the agencies themselves. This
chapter presents various enforcement mechanisms. Although inspectors are not free to
choose from the mechanisms available, it is hoped this chapter will widen their perspective
of enforcement.
Enforcement Systems
Control strategies are woven into four enforcement systems for implementation: (a)
permits to construct and initially operate; (b) permits to operate which require periodic
reinspection on a scheduled basis; (c) compliance plan enforcement; and (d) surveillance and
complaint response.
Permits to Construct and Initially Operate
The purpose of this permit is to prevent construction of a new stationary source or
modification of an existing source, if emissions from that source would: (a) result hi a
violation of applicable portions of the control strategy; (b) prevent attainment or
maintenance of one or more of the National Ambient Ah* Quality Standards (NAAQS); and
(c) cause significant deterioration of air quality which is currently better than that required
by the NAAQS.
Permit systems are administered by local, state and/or federal agencies, depending on
local or state regulations and the source category related to the Clean Air Act (CAA). All
sources that have significant emission potential are included hi state and local permit
regulations. Section 110 of the CAA requires that all approved State Implementation Plans
(SIPs) have a permit system for any major emitting facility relating to the provision of Part C
(Prevention of Significant Deterioration (PSD)) and Part D (Nonattainment areas) of the Act.
A major emitting facility is defined as any stationary facility or source which directly emits,
or has a potential to emit, one hundred tons per year or more of any pollutant, including
fugitive emissions.
The 1977 Amendment to the CAA added a new dimension to the involvement of
EPA hi the review process for permits to construct The requirements apply to major sources
3-2
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to be constructed in PSD and nonattainment areas. Federal review applies to: (a) PSD areas
for any source having an emission greater than 250 TPY or 100 TPY for 28 specified
sources; and (b) nonattainment areas for any source which has an emission greater than 100
TPY.
In most agencies, the administration of the permit system is in the hands of the
professionally trained engineers. They are responsible for evaluating applications for
permits, making calculations necessary for determining probability of compliance with air
pollution laws and making decisions on the approval or denial of permits. Once a permit has
been granted, it is the duty of the inspector to maintain assurance that the applicant is
complying with all the requirements of the permit document.
For sources not requiring federal permit, some agencies use "registration" instead of
"permits." Some use state permits for all but minor sources, and "registration" for the minor
sources (say, less than 10 tons/year potential). Registration processing is similar to permit
processing, except preconstraction review and approval is usually not required.
The permit and registration systems aid enforcement and may also aid the applicant
by: (a) providing for engineering review prior to construction, so that any necessary changes
can be made with less cost than after construction begins (not applicable to registration); (b)
preventing construction before it starts if the new source does not comply in all respects; (c)
requiring, if needed, that the permit documents highlight parameters which are important to
proper functioning of the control equipment; (d) insuring that required emission monitors
will be installed; (e) requiring, in some cases, that the permit document include an operations
and maintenance program; (f) denying operating permits if inspection or tests show
noncompliance, so the source cannot legally operate until it is in compliance; (g) giving
notice of change when adding, modifying or deleting sources; (h) keeping the emission
inventory up to date; and (i) acting as a good continuing training program by having the
inspector do the permit inspections, allowing a view of the equipment as it is being
constructed.
Cyclic Operating Permits
Requiring sources to file applications for renewal of their operating permit on a
regular time cycle is a strong enforcement tool. The purpose is to set up a scheduled review
of all sources and reissue or deny an operating permit where compliance or noncompliance is
the result of the evaluation process. Cyclic operating permits aid enforcement by:
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a. Subjecting sources to periodic review.
b. Allowing the denial of an operating permit, making operation of a
source a violation.
c. Providing a periodic update of the original permit documents
regarding ownership change, process change, materials change, etc.
d. Providing a systematic check of compliance status by:
•Observing visible emissions.
•Inspecting emission monitors and control device
instrumentation.
•Reviewing recorded emissions data.
•Inspecting control devices for good operating and maintenance
procedures.
e. Updating the emission inventory.
f. Exposing plant personnel to the presence of inspector and the
importance of operating in compliance.
Compliance Plan Enforcement
The purpose of a compliance plan inspection is to inspect progress toward specific
milestones of a compliance plan, administrative order, court order or Section 113(d) delayed
compliance order. Many agencies will formalize administrative orders into negotiated
compliance plans. Compliance plans may also be generated in cases brought before a
hearing board or into a court of law. Once such plans are negotiated or directed, their
implementation is subject to verification by onsite inspection.
The most important parts of the compliance plan are the scheduled tasks and their
completion dates, entered into the plan as recognizable milestones indicating progress toward
the ultimate compliance status. The compliance plan should always include a specified
penalty for failure to meet the various completion dates. A compliance plan for the
construction or modification of a major facility would include the following milestones:
a. Engineering study, pilot studies and source testing to generate process
and emission data, and cost estimates.
b. Approval of funds by management (Board of Directors).
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c. Completion of final design, bids taken and best proposal selected.
d. Approval of APC Agency. Construction permit secured.
e. Order placed for equipment.
f. Delivery of equipment
g. Installation and system start-up.
h. Source test for compliance.
i. Operating permit secured.
A well-monitored compliance plan materially benefits enforcement efforts because:
•Time slippage can be spotted and action taken to increase the speed of the
compliance program.
•Valuable time is saved in generating legal compulsion if there is no action or
gross deviation from the time schedule.
•Penalties for noncompliance are apparent to the source.
Surveillance and Complaint Response
Surveillance is accomplished by a systematic program of looking for observable
violations within the inspector's assigned district. Observations are made from outside the
source boundary and are either on a random basis or according to a schedule by time or
source class. Surveillance should be around-the-clock where conditions and agency
personnel permit and should include unannounced onsite inspections.
Response to citizen complaint is a significant part of the inspector's job. A complaint
can involve a specific violation such as visible emission, or it can and often does relate to
nuisance. Complaint management will be covered in Chapter 11.
Enforcement Actions
All sources are not always in or out of compliance now and forevermore.
Compliance status can fall into one of three categories:
a. Continuing compliance--^, source is equipped and will operate
continuously with great assurance that it will be within the regulations.
Requires minimal surveillance~a good source.
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b. • Functional compliance—a, marginal source in compliance at time of
observation or inspection, but little assurance of long term compliance.
c. Noncomplionce-violating conditions supported by valid evidence
justifying enforcement action.
Enforcement action must be taken whenever the inspector establishes the facts and gathers
evidence to prove the occurrence of a violation of the rules and regulations, a permit to
construct or operate, or the terms and conditions of an order or compliance plan.
The objective of enforcement is to bring all sources which are in violation into a
continuing compliance status as soon as possible. Enforcement alternatives range from
voluntary compliance upon specific notice to comply to "file legal action first and talk later."
Most agencies operate somewhere in between, depending on the circumstances of the
violation, the agency resources, the specifics of the statutes, and the availability and
effectiveness of legal assistance including the judicial processes of the area. Alternative
enforcement procedures include:
a. Notice of violation with administrative orders to correct Used for
first offenders and for relatively new requirements.
b. Administrative conference or hearing leading to a formal
administrative abatement order and an agreed-to compliance schedule.
c. Citations which are paid without court appearance, similar to traffic
tickets.
d. Administratively imposed penalties according to a schedule of fines.
e. Civil or criminal suits leading to imposition of fines and other
punishments and/or judicial orders incorporating specific compliance
plans.
f. Court ordered injunctions to stop the violating practice.
g. Administrative revoking of permits to construct or permits to operate,
making further work or operation unlawful.
Enforcement Policy
In a preceding section, seven enforcement mechanisms available to an agency were
given. An agency's choices of enforcement action and notification methods are handed down
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to field personnel as a policy of enforcement. Agencies nearly always have more than one
inspector and some may have as many as 20 or 30 enforcing the same regulations. Only by
having a clearly defined enforcement policy or an established set of enforcement procedures
will inspectors working in the field have the guidance to react to like situations uniformly.
Once established, the enforcement policy and procedures are communicated to the field
officers by:
•written directives.
•verbal instruction from supervisors.
•meetings of inspectors with supervisors.
•word of mouth from other inspectors
•distribution of case summaries.
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References
Gruber, C.W., and P.M. Giblin, "Air Pollution Field Enforcement: Student Manual", EPA
450/2-80-075, March 1980.
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Chapter 4
Off-Site Surveillance
Goal
The purpose of this lesson is to bring into focus that element of the enforcement
program which seeks out violating conditions by Level 1 surveillance of a district, a
limited area or a specific source using visual, instrumental or effects indicators. The
elements needed to establish a violation and how they apply to opacity surveillance are
included.
Objectives
At the end of this lesson, the student should be able to:
1. Explain the system of levels used in categorizing source inspections.
2. State at least five violating conditions sought out during Level 1
surveillance.
3. Explain three ways surveillance is exercised.
4. State at least five questions to be answered to prove a violation.
5. Identify the point of observation of a plume for visible emission
evaluation.
6. Differentiate between water vapor and paniculate opacity.
7. Demonstrate how to properly document a visible emission
violation.
8. Explain the meaning of certified smoke reader.
9. Define opacity.
10. From a set of opacity readings and a given regulation, determine
compliance or violation.
11. Identify three other off-site surveillance techniques.
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Introduction
The efforts involved in inspecting air pollution sources are generally categorized
according to a system of'levels", as follows:
Level 1 Visual evaluation of stack opacity and fugitive emissions
from off the plant site.
Level 2 On-site evaluation of the control system, relying on plant
instruments for the values of any inspection parameters.
LevelS Similar to Level 2, but relying on measurements by the
inspector to determine missing or inaccurate inspection
parameters.
Level 4 Similar to Level 3, but including the development of a
process flowchart, determination of measurement port
locations and evaluation of safety hazards and protective
equipment needs. If the process or control equipment do
not change, this level of inspection would only be conducted
once.
The inspection level that is actually utilized is dictated by the individual situation
and based on the judgement of the inspector. For example, if a Level 1 inspection
indicates no problems, the inspector may elect to terminate the inspection and proceed
to another facility. Or, if in the course of a Level 2 inspection, critical information is
needed to complete the evaluation, the inspector may elect to proceed to Level 3,
making on-site measurements to obtain the data.
This chapter deals with procedures for that element of the enforcement program
that seeks out violating conditions by off-site or Level 1 surveillance. Usually this
involves sensory perceptions; however, special purpose surveillance may also include the
use of sampling instruments. In the next chapter, procedures involved in conducting
effective Level 2 and 3 inspections will be discussed.
Surveillance Principles
Surveillance is a field operation which provides for the observation and detection
by sensory perception of events which in themselves are violations or which strongly
indicate noncompliance conditions within a source facility. Surveillance is carried out by:
(1) systematic observation of the activity in an assigned district; (2) observation of a
single source prior to entering the facility for inspection; and (3) by monitoring an area
with instruments or procedures that produce quantitative or qualitative data.
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In both general and pre-inspection surveillance, the following are some of the
observable manifestations that are sought and recorded:
a. Plumes of readable opacity.
b. Fugitive emissions from source operations.
c. Large particle fallout.
d. Evidence of plant damage.
e. Obnoxious odors, especially if citizen complaint has been received.
f. New facility construction, expansion or modification for which a
permit may not have been obtained.
g. Open fires, where prohibited.
h. Change of ownership without new owner obtaining a required
certificate of operation.
i. Illegal fuel delivery, where fuel use is regulated.
District Surveillance
District surveillance is carried out by having the inspector spend part of his or her
field time "on patrol" or by exercising surveillance when in the field on other
assignments, going from job to job. Vehicle patrol is the principle surveillance method.
Inspectors drive their vehicles throughout a defined area to observe visible and other
evidence of emissions and to detect possible violations of rules and regulations. A few
larger agencies assign special enforcement officers in uniform to exercise surveillance
and investigate complaints, and some agencies even use aircraft to identify potential
violators.
As the inspector becomes familiar with an area, sources requiring the greatest
attention and areas of high source density will likely be concentrated on. A checklist of
faculties that are currently involved in permit cases, hearing board actions, recurrent
violation or complaints provides a useful tool for focusing surveillance activities.
Air pollution conditions can become a problem due to fog and atmospheric
stagnation periods, often occurring during the evening and early morning hours. Many
nuisance complaints are reported during the evening, since individuals usually wish
respite from any form of pollution during their leisure hours. The scheduling and
deployment of enforcement personnel to after-hours surveillance will depend on
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information oh complaints, knowledge of the sources in the individual districts and data
on hours of operation.
Pre-lnspection Surveillance
Source surveillance is the primary duty of the agency inspector. Activities include
checking on construction and operating permits, checking progress on compliance plans
and investigating complaints. Prior to entering a source facility, the inspector should
conduct a Level 1 visual surveillance, allotting the necessary time to thoroughly check
the potential non-conforming activity and to look for other signs which might influence
the facility inspection strategy.
A preferred plan is to seek a vantage point where the entire facility can be
observed. Since this may be some distance from the source, binoculars will assist in
viewing the detail operations and reading signs which might be significant. If a vantage
point is not available, drive around the facility to cover as much as can be viewed from
the surface. Following the pre-entry surveillance, the inspection plan should be reviewed
to include any changes made necessary by what is observed.
Surveillance bv instruments or Effects Indicators
Ambient Sampling
Some air pollution agencies are faced with the necessity of enforcing fence-line
standards. The fence-line standard is monitored for compliance by placing samplers
upwind and downwind of the source and determining by difference the net contribution
of the facility. The most common standard of this type involves total suspended
particulate matter (TSP) or PM-10 and its determination by high-volume sampling. The
technique could be extended to gaseous pollutants, with detection by direct indicating
detector tubes or from laboratory analysis of a collected sample.
Deposition Sampling
Nuisance particulate fallout can be evaluated by deposition sampling. The two
more common techniques employed are dust-fall jars and adhesive impactors. A dust-
fall jar is any wide-mouth vessel, 4-6 inches in diameter, capable of being placed at a
field location. Plastic is preferred, but glass or metal may be required in order to
conduct some chemical analyses. A small quantity of non-volatile liquid is sometimes
added to prevent re-entrainment. The particle catch is usually evaluated by weighing,
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but the sample could be subjected to particle counting, particle identification or
chemical analysis.
Identifiable wind-blown particles, 20 pm and larger, can be captured on strips of
adhesive coated paper wound vertically around a cylinder. Typically, an inverted glass
jar is used, held in place by the jar lid fastened to a suitable stand. The exposed sticky
surface captures the particles of the sampler face that looks toward the source. The
particle catch is evaluated by particle counting and identification.
Remote Sensing
Some plume properties can be determined by sensing from remote locations,
usually with lasers. The most common application is the use of Light Detection and
Ranging, or LEDAR, for the remote sensing of opacity (see 40CFR60, Appendix A,
Method 9, AMI). Plume opacities of less than 50 percent are determined with 3 percent
accuracy using measurements of the amount of light backscattered from back of the
plume to that scattered in front.
Lasers can also be used to sense gaseous pollutants. Differential Absorption
Lidar, or DIAL, determines gas concentration by measuring the differential absorption
of two laser beams reflected back to a receiver from the target. Systems include dye
lasers for SC>2, Oa and NOa; carbon dioxide lasers for Oa and CjHj; helium-neon (He-
Ne) laser for GHU; and tunable diode lasers for a number of gases. Other techniques
include passive optical remote senors such as Fourier-transform infrared spectrometers,
correlation spectrometers (COSPEC and GASPEC) and grating spectrometers.
There are a number of potential advantages to optical (which includes laser)
remote sensing. Optical sensors can probe difficult to reach areas, such as plumes from
smoke stacks. They can measure average concentrations over long paths, making them
useful for surveillance of large areas. Also, optical measurements can be made in real
time with a response on the order of seconds or minutes. Finally, optical systems can
measure reactive gases without depositing them in sampling lines or changing them
chemically.
Effects Indicators
A large number of materials react or interact to cause a noticeable change in
their appearance or properties. Lead-based paint, for example, is discolored by
exposure to KbS. Also, release of some gases will cause effects in vegetation.
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Observation of the type, severity and extent of such damage can provide useful
information in identifying the nature and source of the pollutants involved.
Enforcement of Visible Emissions Regulations
The term opacity means the degree to which transmitted light is obscured by a
plume. Opacity is usually expressed as a percentage of perfect transparency, with 100
percent opacity being opaque. Limitation on opacity is a major part of any enforcement
program because it provides a means'of assessing particulate emissions by direct
reading. The degree of opacity cannot be equated to a mass emission, except for certain
sources with very stable plume characteristics. However, opacities exceeding allowable
limits usually call into question compliance with the mass emission limit.
There may be occasions when the inspector will have suspicions of a mass
emission violation, even though there is no opacity violation. For example, a review of a
source's file may indicate that there were no visible emissions during a stack test that
barely showed compliance with the mass emission limit. If at a later date a higher, but
complying, visible emission is observed, the inspector should suspect that a violation of
the mass emission limit is occurring. In this case, another source test could be requested,
provided the source has not taken corrective action.
A plume is a contaminant-laden stream exiting from a specific outlet, such as a
stack or vent. Referring to Figure 4-1, a plume is characterized by (1) a point of release
and formation just at the outlet, or a few feet above in the case of a detached plume; (2)
the body or stream of the plume, containing relatively concentrated contaminant levels
and confined by the momentum of the escaping gases; and, sometimes, (3) a point at
which the plume dissipates.
The point of discharge of the emission, or the point of maximum opacity, is the
point at which the opacity is read. The point of dissipation is important in determining
whether the plume is a contaminant, water-vapor, steam or some combination.
Depending on wind velocity, humidity and temperature, condensed water-vapor or
steam may dissipate more rapidly than contaminants contained in the plume. Where
most of the emission appears to consist of water-vapor, the opacity is read at the point of
dissipation or evaporation.
The most widely use reference method for determining opacity is EPA Method 9,
"Visual Determination of Opacity Emissions from Stationary Sources" (40CFR60,
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Appendix A). A companion document is the EPA publication "Guidelines for the
Evaluation of Visible Emissions: Certification, Field Procedures, Legal Aspects and
Background Material" (EPA-340/1-75-007). Some state and local jurisdictions may still
use the Ringelmann Chart for measuring the densities of dark smokes as shades of gray.
One Ringelmann equals 20 percent opacity.
Guidelines for Evaluating Visible Emissions in the Field
This section outlines the steps to be followed to satisfactorily evaluate visible
emissions in the field. Recommended guidelines are included for the collection of all
information that is necessary to document a violation of the opacity regulation and for
use in any subsequent legal proceedings.
Office Preparation
In most instances the inspector will have sufficient notice before making a field
inspection to adequately prepare for the visit. Preparation is a very important aspect of
the inspector's work. The following items concerning the facility in question should be
researched:
a. Plant location.
b. Names and positions of responsible plant contacts (company
officers or management personnel).
c. Type and number of processes.
d. Type of process to be observed.
e. Process operating conditions.
f. Type and location of control equipment.
g. Probable location of source emissions.
h. Possible observation sites.
i. Regulations applicable to the source.
j. Status of source with respect to any variance or exemption from the
agency's rules and regulations. Observation is not required if the
source is on a variance or exempt from the regulations.
k. Involvement of steam plume, if any. Time of observation may need
to be adjusted to a time of the day when the steam plume might not
be present.
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Familiarity with the opacity regulations and the regulation exemptions will help
prevent an inspector from documenting what is perceived to be a violation, when in
actuality it is not. For example, a regulation might state that, although an opacity greater
than 20 percent constitutes a violation, a source may emit visible emissions of 40 percent
opacity for 3 minutes out of 60 minutes if it is undergoing process modification, start-up,
cleaning, etc.
The recommended procedure is to evaluate the plume opacity in such a way that
compliance is not dependent on plant operations. In the previous example, an emission
greater than 20 percent for any time period greater than 3 minutes would constitute a
violation, and the observation strategy could be adjusted to account for this. In this way
the investigator knows that a documented and enforceable violation has occurred,
without having to fear the company reporting at a later date that the reading cannot be
utilized because the plant was undergoing a process change at the time of the visible
emission evaluation.
Field Equipment
The following equipment should be available for use by the inspector:
a. Safety equipment.
b. Stopwatch.
c. Clipboard, note pad and at least two pens (pencils must not be
used for recording opacity readings).
d. Compass.
e. Air velocity meter.
f. Range finder.
g. Psychrometer.
h. Binoculars.
i. Camera.
j. Topographic maps.
k. Necessary forms, including ample spare copies.
1. Pouch to carry the equipment.
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In order to insure that it is in good working order, the equipment should be inspected in
the office before departing on a field observation.
Observer's Location
The evaluator should select an observation point consistent with the following
guidelines (see Figures 4-2 to 4-4):
a. The line of sight from the source to the observer should be
unobstructed.
b. The line of sight should be at right angles to the wind direction.
c. The sun should be oriented within a 140° sector to the observer's
back.
d. The location should be safe.
e. If the pollutants are emitted at ground level, the observer should be
as close to the source as possible.
f. If the pollutants are emitted from an elevated position, the
inspector should be at a suitable distance from the source.
g. With good visibility, it is suggested that the observer be within
about a quarter of a mile from the source.
h. When visibility is restricted, the observer should be within a
distance that is about one-quarter of the visual range.
i. When evaluating emissions from rectangular outlets, the observer
should be positioned at right angles to the longer axis of the outlet.
If a position can be selected that is not on company property and that meets all of the
above requirements, the inspector may begin the field evaluation of the source. The
inspector should not notify company officials that an evaluation is to be conducted.
If the inspector decides that it is not possible to select a suitable point off
company property, then the evaluation should be carried out from a location on
company property. If the site selected is on company property but is accessible to the
public, the inspector may begin the evaluation without notifying company officials. If,
however, the site is not accessible to the public, the inspector must obtain permission
from a responsible company official to enter the plant. Before notifying the company of
the proposed evaluation, it is recommended that the inspector take several opacity
readings from the best available site off company property. These preliminary readings
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can then be used as a comparison between stack emissions before and after company
notification. If a noticeable change is observed, the inspector should record this fact.
When it is necessary to enter the plant property in order to make the
observations, every attempt should be made to ensure the cooperation of management.
Entering a plant, especially for the first time, can present a delicate situation. The
following steps are suggested to correctly and courteously enter a facility for the purpose
of conducting the evaluation:
a. When entering the plant be prepared to state your name, affiliation
and position, and have identification available for presentation.
b. State the nature of your visit and request an interview with a
company officer or responsible employee of the company.
c. Describe to the company representative the nature of work or
duties you intend to perform on the premises and request their
permission to do so.
d. Should you meet with refusal and attempts to discussion the
situation are unsuccessful, contact your office for further
instructions.
e. Should you be given permission to proceed to a specific area
without escort, ask for directions and go there directly.
f. Spend as little time as possible with entrance procedures so as not
to become liable to charges of interfering with company work.
g. Do not sign any documents, such as liability waivers or others, that
are conditions for you presence on the company premises.
Discussion between your supervisor and the plant official are the
best means of resolving problems of this nature.
h. Maintain a business-like and cordial relationship with company
officials and employees at all times.
i. The inspector should note the length of waiting time, the
cooperation and attitude of plant personnel, and any changes in
operating conditions which result from his or her presence. The
latter may effect the credibility of the inspector's findings should
testimony about these conditions be required at a later date.
j. Record the name, title and telephone number of the company
official and note the time that the official was informed that an
evaluation was to be conducted.
The inspector's ultimate objective is the improvement of the ambient air quality
by ensuring that sources emit pollutants in compliance with regulations. This objective
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can be achieved much more readily with the willing cooperation of the company. The
visible emissions evaluation affords the inspector an opportunity to engage in some
public relations work. The inspector should therefore endeavor to maintain a polite yet
professional attitude while on company premises.
Evaluation Procedures
Once a suitable observation site has been selected, the inspector may begin
evaluation of the source, recording all pertinent information on an approved set of
forms. Those forms appearing in the Method 9 description are shown in Figures 4-5 and
4-6.
At the present time there are two types of opacity regulations in use. These are
based on the following concepts:
a. Opacity is to be averaged over a specified time period—six minutes
in the Method 9 procedures—and this average opacity is compared
to the regulation limit.
b. There is no need to average the observed opacities—any observed
opacity that is greater than the regulation limit constitutes a
violation.
Often the opacity regulation will permit the source to emit visible emissions greater that
the regulation limit for a specified time interval-typically 3 minutes in any 60 minute
period.
The inspector should begin the evaluation by recording the source identification
parameters, site location and ambient weather conditions on the observation forms, and
by drawing a reasonably detailed sketch. The sketch should include sufficient detail to
allow a person who has not visited the facility to determine the source that was evaluated
and the location of the observation point. In general, the sketch should depict:
a. Source location.
b. Observer location.
c. Distance from observer to source.
d. North direction.
e. Wind direction (from which the wind is blowing).
f. Sun position.
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g. Landmarks and nearby roads or streets.
h. Plume type (looping, coning, fanning, etc.).
i. Distance plume is visible.
An example of a sketch is shown in Figure 4-7.
Plume observations should be made at the point of greatest opacity in that
portion of the plume where condensed water vapor is not present. Only one inspector
should evaluate a given source during any given period of time. In cases where the
source is continually evaluated and re-evaluated over extended periods of time (days or
months), it is acceptable, indeed preferable, to have different inspectors perform the
evaluations. The observer should not look continuously at the plume, since this can lead
to eye fatigue. Instead, the inspector should observe and evaluate the plume
momentarily at 15-second intervals.
When condensed water-vapor is present in the plume as it exits from the outlet,
opacity observations should be made beyond the point at which the condensed water-
vapor is no longer visible.. The observer should record the approximate distance from
the emission outlet to the point in the plume at which the observations are made. When
water-vapor in the plume condenses and becomes visible at a distinct distance from the
emission outlet, the opacity should be evaluated at the outlet prior to condensation of
the water-vapor and formation of the steam plume.
In order to meet the requirements of Method 9, the required number of readings
is as follows:
a. In all cases, a minimum of 24 readings, corresponding to 6 minutes
of observation, must be taken.
b. In cases where the regulation permits an exemption period for
excess emissions, a minimum of 24 observations must be recorded
over and above the number of readings equal to the permissible
exemption period. For example, if the regulation permits 3
minutes of excess emissions in any hour, a minimum of 12 readings
(3 minutes) plus 24 readings (6 minutes) must be recorded.
While it is a simple matter to establish the minimum number of readings
necessary to meet the requirements of Method 9, it is not a simple matter to establish
the number of readings necessary to document an enforceable violation of the opacity
regulations. Whether there is sufficient proof that a violation did occur will depend on
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the amount of evidence collected in the field. The more readings above the limit that
are observed, the stronger will be the case if the results are used as evidence at any
subsequent legal proceedings. Some guidelines to aid in this matter are as follows:
a. In most cases, the amount of evidence that should be regarded as
the minimum necessary to document an enforceable violation
would consist of at least one set of 24 readings with an average
opacity at least 10 percent above the limit.
b. Concerning regulations based on actual opacity instead of average
opacity, it is recommended that before legal proceedings are
initiated, the observed opacity should exceed the limit by at least 10
percent for at least three minutes in any hour. This is in addition to
any exemption time period that may be permitted for excess
emissions.
c. Weather conditions during the observation period should be taken
into account when considering the number of observations and the
degree of excess emissions needed to document a violation. Test
conducted by EPA indicate that the possibility of a positive bias is
greatest when a contrasting background is used (i.e., white plume
with a blue sky). In a similar manner, when a non-contrasting
background is used the possibility of a negative bias is greatest. In
fact, the test results indicate that the chance for positive error in
reading opacity of white plumes is essentially non-existent when a
non-contrasting background is present.
d. The actual opacity of emissions from the source can be used as a
further guideline in determining the number of readings that are
necessary. For example, if the regulation limit is 20 percent and
the opacity of an emission is 100 percent, an observation time of sk
minutes in excess of any exemption period should be sufficient
evidence to ensure that a violation could be enforced. If, however,
the opacity averages about 30 percent, considerably more readings
would be necessary.
Opacity is usually determined as an average of all readings taken over a time
period corresponding to the applicable standard. For example, for a six-minute
standard, the opacity is defined as the average of a set of any 24 consecutive readings
taken at 15 second intervals. The recorded observations are divided into sets of 24
consecutive readings, and the average opacity for each set is determined. The sets need
not be consecutive in time, but in no case should two sets overlap.
Documentation of a Violation
Much of the tune spent by enforcement personnel will be in the collection and
reporting of data and evidence. In fact, most of the data collected by such personnel are
of an evidentiary nature. Whether such data are used in a emission inventory or in the
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prosecution of a violation, they will consist for the most part of facts and findings
acquired through direct observation. They should be stated in such a manner as to be
clear, concise and free of prejudices and other subjective factors.
To provide sufficient basis for court prosecution in a criminal case, each element
of the crime (in legal terminology, the corpus delicti) must be proved. To do so, the
enforcement office or other principal witnesses must gather the evidence for a prima
facie case, i.e., a case which at first view shows guilt and which, unless rebutted, adds up
to the commission of a violation of a rule or regulation. In a criminal court case, the
burden of proof of rebuttal is placed on the defendant, after such evidence has been
presented by the plaintiff, usually the people of the state.
If any element of the case is missing, the corpus delicti is not established and there
is no case. Thus, if the rule alleged to have been violated is the prohibition that "a
person shall not discharge into the atmosphere from any single source—any air
contaminant" of any particular quality or quantity for more than the maximum
permissible time period, it must be proved that: (1) a person, (2) discharged, (3) into the
atmosphere, (4) from a single source, (5) a contaminant, (6) of the quality prescribed
(opacity), (7) for more than the time specified.
The evidence needed in court in order to establish a violation should be
documented in carefully prepared reports. The information most commonly required is
as follows:
a. The nature and extent of the violation.
b. The time and location of the violation.
c. The person(s) responsible for the violation.
d. The equipment involved in the violation.
e. The operational, design or maintenance factors which caused the
violation.
The specific evidence documented during a visible emission observation is as
follows:
a. Name of the source and its location, given as a street address or
with respect to fixed point such as an intersection.
b. The beginning and ending time of the observation period.
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c. The degree of opacity recorded for each 15 second period.
d. Orientation of the observer, the sun and the emission point-
explain if circumstances do not permit the required sun orientation
at the rear of the observer.
e. Estimate of distance from the observer to the emission point-note
that line of sight was clear, or explain if it was otherwise.
f. Approximate wind direction and estimate of wind speed.
g. Temperature and humidity, especially if a wet plume is involved.
h. Description of the sky, if used as background-color and presence
of clouds, especially if plume is white or gray.
i. Background and its color, if other than the sky.
j. Color of the emission.
k. Name and title of observer.
The types of evidence used in court cases or administrative hearings include: (1)
testimonial evidence, that is, direct testimony by witnesses; (2) demonstrative evidence,
or physical evidence used to support the testimonial evidence; and, (3) evidence
presented by expert witnesses.
The inspector will be most concerned with the presentation of testimonial
evidence regarding observations made. Examples include observations on visible
emissions, on odors, on presence or status of construction, on items of equipment, on
process or operational conditions and on conditions under which samples were obtained.
Testimony will also include direct statements made to the inspector by operators of
equipment and plant owners or by complainants, and records of such external factors as
atmospheric and weather conditions, including temperature, relative humidity, sky
condition, visibility, lighting, and wind speed and direction.
Demonstrative evidence is almost any physical evidence used to support direct
testimony. It may include damaged property or vegetation, samples of fuel or process
materials, records of analyses and photographs. In some cases the inspector will be
called on to interpret demonstrative evidence, such as photographs, but in many cases
this type of evidence needs description or interpretation by an expert. Damaged
materials or vegetation samples may often be brought directly into the courtroom,
provided the specimen is small enough to be transported and the damage pattern is not
4-15
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altered or disturbed. In some cases, test specimens may be placed in a pre-planned
pattern around the suspected source and retrieved for laboratory examination after a
suitable time for exposure. Specimens could include test fabrics of differing material and
dyestuffs, metal plates and greased slides or plates.
Test data may include reports of source analyses, ambient sampling conducted in
the vicinity of a source and on materials charged to the process in question. Source tests
may range from rather simple tests for solid particles at a single discharge to complex
multi-point sampling for a variety of particles, gaseous contaminants and ancillary data
such as gas composition, temperature and moisture content. Environmental sampling
data collected in the vicinity of a source may include reports of analyses from manually
operated sampling devices or recorder charts or electronically stored data from
continuous analyzers. Recorded data which can be correlated with the time of
complaints and with meteorological data, such as wind speed and direction and
atmospheric stability, can be very useful. Analyses conducted on process material or
fuels might include sulfur and ash content, particle size distribution and feed material
composition.
Photographic evidence is usually used to give a graphic illustration of descriptions
presented in direct testimony. Examples might include still or motion pictures of visible
stack emissions; photographs showing the construction status of equipment, illustrating
the condition of control devices or showing the effectiveness of fume-hood collection;
pictures of damaged materials, and photomicrographs of fine paniculate matter.
The Inspector as an Expert Witness
The primary evidence of an opacity violation is the direct testimony of an expert
trained in reading opacity. The way an inspector qualifies as an expert witness is to
become certified by attending "smoke school". Certification is accomplished by reading
a series of black and white smokes to a specified degree of accuracy, as determined by a
calibrated transmissometer. The method of qualifying and the required accuracy for
certification is given in 40CFR60, Appendix A, Method 9.
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References
Gruber, C.W., and P.M. Giblin, "Air Pollution Field Enforcement: Student Manual",
EPA 450/2-80-075, March 1980.
USEPA, "Basic Inspector Training Course: Fundamentals of Environmental
Compliance Inspections", Office of Enforcement and Compliance Monitoring,
February 1989.
USEPA, "Visual Determination of the Opacity of Emissions from Stationary Sources",
40CFR60, Appendix A, Method 9.
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Point of dissipation
Point of
release
Figure 4-1. General structure of continuous and detached plumes.
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Figure 4-2. Light source should emanate from the rear of the observer
during daylight hours (reflected light).
Figure 4-3. During darkness, the light source should emanate from
behind the plume, opposite the observer (transmitted light).
I
1
Figure 4-4. Readings should be made at right angles to wind direction
and from any distance necessary to obtain a clear view of stack and
background.
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COMPANY
LOCATION
TEST NUHBER_
DATE
WE FACILITY_
CONTROL DEVICE
Figure 4-5. Record of visual determination.
PACE of
HOURS OF OBSERVATION,
OBSERVER
OBSERVER CERTIFICATION OATE_
OBSERVER AFFILIATION
POINT OF EHISSIOHS
HEIGHT OF DISCHARGE POINT
CLOCK Tlltt
OBSERVER LOCATION
Distance to Discharge
Direction from Discharge
Height of Observation Point
BACKGROUND DESCRIPTION
WEATHER CCIIO:TIONS
Wind Direction
Wind Speed
Anbient Temperature
SKY CONDITIONS (clear.
overcast, X clouds, etc.)
PLUM DESCRIPTION
Color
Distance Visible
CTiitR
nltlat
Final
SUMMARY OF AVERAGE OPACITY
Set
Number
Tim*
Start-End
Opacity
Sun
»v«r»ge
Readings ranged fron ___ to ___ X opacity
The source vas/«ai not In conpllance with
the tine evaluation was nade.
at
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Figure 4-6. Observation record form.
Conipsny ..„„.
location
Test Number-
Pmgt of —
Observer .,...„„.„„,„„„,„.
Type tedMy
Point of •fTMssions..._.«».».
Hr.
0
1
2
3
4
s
e
7
8
»
10
11
12
13
14
IS
16
17
IS
18
20
21
22
23
24
25
26
27
26
28
Seconds
0
IS
30
45
Steam plume (check if applicable)
Attached
Detached
Comments
-
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Looping plume
Plume visible
for 100 vards
Observer
position
Date: November 1. 19
Time: 1400-1500
Observer: Robert Mtssen
Source: CGE Power Plant
Unit 1, Santa Monica, CA
North
Wind direction (SE)
Sun position
Pico Blvd.
St. John's
Church
Observer's
location
Unit 1
Unit 2
o
o
I *^_
, Power plant
properly line
Hth Sum
Comments: No steam plume visible
Observation made from St. John's Church parking lot.
Figure 4-7. Field sketch.
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Chapter 5
On-Site Inspection of Sources
Goal
The purpose of this lesson is to outline a procedural methodology for conducting on-site
Level 2 and 3 inspections of sources. Techniques for handling confidential data and
maintaining chain of custody are also discussed.
Objectives
At the end of this lesson, the student should be able to:
1. Define on-site inspection
2. Identify the types of inspections and the purposes for which each
are made
3. Explain each of the elements in the inspection process:
•Pre-inspection preparation
• Pre-entry observations
•Entry
• Opening conference
• Inspection documentation
•Closing conference
•File update and report preparation
4. Explain how to handle confidential information
5. Explain how to maintain chain of custody documentation
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Introduction
The purpose of this chapter is to describe the basic principles employed in
inspecting a source to develop facts needed to determine compliance or non-compliance
with a rule or regulation. The methods of obtaining information, making inspections of
equipment, gathering data and handling confidential information are presented, along
with a discussion of the decision making process and the preparation of the inspection
report.
Types of Inspections
Level 2 and 3 inspections of an air pollution emission source involve entering a
facility for the purpose of obtaining information or collecting evidence. An inspection
may be conducted as a result of a violation observed from an off-site Level 1 inspection;
as a follow-up to a previous inspection; to check on equipment for a construction or
operating permit; to determine the status of a compliance plan; or as the result of a
complaint.
Many inspections are conducted for a single purpose, such as checking to see
whether construction is continuing after a permit application has been denied. Other
inspections are comprehensive, gathering information on all equipment and processes
located within the facility. The type of inspection relates to the reason for which the
inspection is made. The following terminology is assigned for ease of communication.
Facility Inspection
The facility inspection is a comprehensive inspection made of all the equipment
and processes at one source premises. A source premises is one geographical location
and may include one or more structures or operating areas. The emission points may be
single or multiple, with sources numbering in the hundreds for large industrial complexes
such as refineries, chemical plants, steel mills, etc. In some cases, a single complex
source premises may be subdivided into areas, each of which becomes a facility (e.g., the
furnace shop of a steel mill).
Facility inspections are sometimes referred to as plant inspections, source
inspections, annual inspections, inventory inspections and scheduled inspections. While
terminology and procedures may vary among control agencies, all inspections of this type
are concerned with accounting for all possible sources of air pollution located at a facility
and with assessing the compliance or non-compliance of all elements within the facility.
In general, these inspections will fall into one of three categories:
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a. Construction permit inspection: The construction permit inspection
is made periodically throughout the construction period, or on
completion of construction, to see that the conditions of the issued
permit have been met. In complex facilities, such inspections are
sometimes made by the agency engineer who granted the permit.
In such cases, the inspector should arrange to visit the site with the
engineer sometime during the final states of construction to
become familiar with the source facility, especially the emission
points, the control equipment and the emissions monitoring
instrumentation. Permits for initial operation are usually obtained
separately, but may be included with the construction permit
application. Prior to granting the initial certificate of operation, a
source test is usually required. The inspector or the permit
engineer or both are usually present to observe such tests.
b. Cyclic inspections: Cyclic operating permits are required where the
facility, following construction, is granted a time limited operating
permit Periodically, an inspection of the entire source premises or
some designated facility within a complex is required to ascertain
compliance and qualification for operating permit renewal.
c. Compliance plan inspections: The compliance plan inspection
applies to those sources which are operating under an order that
includes a schedule of milestones indicating progress in the
ultimate correction of a violation condition. Inspection is limited to
the particular process, and site visits are made to determine if the
time schedule set down in the plan is being met.
Violation Inspection
A violation inspection is made to gather facts related to a violation observed as a
result of off-site surveillance. The investigation is usually limited to the process
associated with the recorded violation; however, it may be extended to other areas of the
facility if non-conforming conditions are observed.
Complaint Inspections
Site visits are often made to investigate citizen complaints. Specific regulations
may be involved if pre-entry observation shows violating conditions.
Inspections Relating to Emergencies
Emergencies are of two types: (1) local emergencies-incidents involving the
release of contaminants that may be toxic or have the potential for other undesirable
health or environmental effects, and (2) air pollution episodes in which the buildup of
contaminants in the atmosphere approaches or exceeds pre-detennined alert stages and
which may necessitate the curtailment or shutdown of source activities on a large scale.
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These conditions will require swift response on the part of enforcement officers and
performance of special inspections.
Elements of the Inspection Process
This section describes the procedures common to most air compliance
inspections. In general, these procedures can be organized according to the time they
occur in the inspection process: (1) pre-inspection preparation, (2) pre-entry
observations, (3) entry, (4) opening conference, (5) inspection documentation, (6)
closing conference, and (7) file update and report preparation.
Pre-lnspection Preparation
Pre-inspection preparation is necessary to ensure effective use of the inspector's
and the facility's time, and to ensure that the inspection is properly focused. Central to
this preparation is a review of the available background information on the facility to be
inspected. This review should enable the inspector to become familiar with the facility's
process and emission characteristics, allowing the inspection to be conducted in a timely
manner and minimising inconvenience to the facility. The following types of information
should be reviewed:
a. Basic facility information.
• Names, titles and phone numbers of facility contacts.
• Maps showing facility location and locations of areas potentially
impacted by emissions.
• Process and production information.
• Flowsheets identifying sources, control devices, monitors, etc.
• Potential safety hazards and safety equipment requirements.
b. Pollution control and other relevant equipment data.
• Description and design data for control devices and relevant
process equipment.
• Sources and characterization of emissions.
* Continuous emission monitoring system(s) data.
• Previous inspection information and reports.
* Baseline performance data for control equipment.
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c. Regulations, requirements and limitations.
• Most recent permits for facility.
• Applicable Federal, State and local regulations and
requirements.
• Special exemptions and waivers.
• Acceptable operating conditions.
d. Facility compliance and enforcement history.
• Complaint history, including reports, follow-ups, findings and
remedial actions.
• Past conditions of non-compliance.
• Previous enforcement actions.
• Pending enforcement actions, compliance schedules and
variances.
• Self-monitoring data and reports.
The next step in the pre-inspection preparation is the development of an
inspection plan. This plan should address the following items:
a. Inspection objectives: Identify the precise purpose of the inspection
in terms of what it will accomplish.
b. Tasks: Decide on the specific tasks which will accomplish the
inspection objectives, including the exact information which must
be collected.
c. Procedures: Determine the procedures to be used in completing
the tasks, particularly special or unfamiliar procedures.
d. Resources: Determine what equipment and personnel will be
required.
e. Schedule: Estimate the time requirements for the inspection and
determine a reasonable time for it to begin (usually when the plant
is operating at representative conditions).
Obtaining and preparing inspection and safety equipment is another important
part of pre-inspection preparation. The type of equipment will vary depending on the
inspection objectives, the level of the inspection, and the process, control equipment and
safety requirements of the facility; however, a general list of recommended equipment is
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provided in Table 5-1. All equipment should be checked,, calibrated and tested before
use.
In addition to equipment preparation, the inspector must consider what written
materials, forms, documents, etc., will be required during the inspection. These
materials may include any or all of the following:
a. Maps
b. Flowcharts
c. Plant layout
d. Applicable regulations
e. Inspection checklists
f . Field notebook
g. Reference materials
h. Visible emission observation forms
i. Inspection plan or agenda
j. Credentials
k. Facility information
1. Baseline data
The last item that must be considered is whether the inspection is to be
announced or unannounced. The advantages of the unannounced inspection are: (1)
the oppprtunity to observe the source under normal operating conditions; (2) detection
of visible emissions and O&M-type problems and violations; (3) creation of an increased
level of attention by a source to its compliance status; and (4) projection of a serious
attitude toward surveillance by the agency. The most significant negative aspect of
performing an unannounced inspection is that the source may not be operating at
desired levels or key plant personnel may not be available. An alternative to the
unannounced inspection is to contact the source shortly before the scheduled inspection
time.
Pre-Entrv Observations
Two types of observations conducted prior to plant entry have been found
valuable in determination of facility compliance. These are observation of the plant
-------
surroundings and the visible emission observation. Observations of areas surrounding
the plant and visible emission observations from outside the plant may reveal a variety of
signs of operational practices and pollutant emissions which can aid in pre-entry
evaluation.
Entry
This section details accepted procedures for entry into a facility to conduct an on-
site inspection. It does not cover procedures for obtaining an inspection warrant in the
case of refusal of entry, since refusal is not prevalent.
Arrival at the facility must be during normal working hours. Entry through the
main gate is recommended unless the inspector has been previously instructed
otherwise. Upon arrival, the inspector should locate a responsible plant official, usually
the plant owner, manager or chief environmental engineer. In the case of an announced
inspection this person would most probably be the official to whom notification was
made. The inspector should note the name and title of this plant representative.
Upon meeting the appropriate plan officials, the inspector should introduce
herself or himself, present the official with proper credentials and state the reason for
requesting entry. Credentials vary with each agency, but most include the inspector's
photograph, signature, physical description, and the authority for the inspection.
Credentials should be presented whether identification is requested or not. After plant
officials have examined the credentials, they may wish to telephone the agency to verify
the inspector's identity. Credentials should never leave the sight of the inspector.
Consent to inspect the premises must be given by the owner or operator or their
representative at the time of the inspection. Express consent is not necessary. As long
as the inspector is allowed to enter, entry is considered voluntary and consensual. If
there is difficulty in gaining consent to enter, the inspector should tactfully probe the
reasons and work with officials to overcome the obstacles. Care should be taken to
avoid threats, inflammatory discussions, or deepening of misunderstandings. Whenever
the situation is beyond the authority or control of the inspector, their supervisor should
be contacted for guidance.
When the facility provides a sign-in sheet, log or visitor register, it is acceptable
for inspectors to sign it However, under no circumstances should an inspector sign any
type of waiver that would relieve the facility of responsibility for injury or which would
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limit the rights of the agency to use data obtained from the facility. Likewise, an
inspector should not sign non-disclosure agreements, since regulations on confidentiality
of business information already protect the facility. If such a waiver or release is
presented, the inspector should politely explain that they cannot sign it. If entry is
refused because of this, the inspector should leave the facility and immediately report
the pertinent facts to their supervisor. All events surrounding the refused entry should
be fully documented.
If the plant official asks the inspector to leave the premises after the inspection
has begun, the inspector should first try to resolve the problem and continue with the
inspection. If resolution is not possible, the inspector should leave the facility and notify
their supervisor. If the inspector is denied access only to certain parts of the facility, the
inspection should be completed to the extent allowed. The inspector should note those
areas to which entry was denied and the reasons for denial. After leaving the facility, the
inspector should contact their supervisor for further instructions.
Opening Conference
Once legal entry has been established, the inspector should proceed with a vital
part of every inspection, the opening conference. The purpose of this meeting is to
inform the plant official(s) of the purpose of the inspection, the authority under which it
will be conducted, and the procedures to be followed. The opening conference also
provides an opportunity to strengthen agency-source relationships through a positive
attitude and helpful assistance. Effective execution of the opening conference often
facilitates the remainder of the inspection.
During the opening conference, the inspector is responsible for covering the
following items:
a. Inspection objectives: An outline of inspection objectives will
inform plant official of the purpose and scope of the inspection and
may help avoid misunderstandings.
b. Inspection agenda: Discussion of the sequence and content of the
inspection, including operations and control equipment to be
inspected and their current operating status. The types of
measurements to be made and the samples to be collected should
also be addressed.
c. Facility information verification: The inspector should verify or
collect the following information:
• Name and address of the facility.
-------
• Names and telephone numbers of plant contacts.
• Principal product(s) and production rates(s)
• Type and location of emission sources.
d. List of records: A list of records to be inspected will allow officials
to gather and make them available.
e. Accompaniment: It is imperative that a facility official accompany
the inspector during the inspection, not only to describe the plant
and its principal operating characteristics, but also to identify
confidential data and for safety and liability considerations.
f. Safety requirements: The inspector should determine what facility
safety regulations, including safety equipment requirements, will be
involved and should be prepared to meet these requirements. The
inspector should also inquire about emergency warning signals and
procedures.
g. Meeting schedules: A schedule of needed meetings with key
personnel will allow them to allocate tune to spend with the
inspector.
h. Closing conference: A post-inspection meeting should be scheduled
with the appropriate officials to provide a final opportunity to
gather information, answer questions, and make confidentiality
declarations.
i. New requirements: The inspector should discuss any new rules and
regulations that might affect the facility and answer questions
pertaining to them, u the inspector is aware of proposed rules that
might affect the facility, the facility could be encouraged to obtain a
copy.
j. Duplicate samples: Facility officials should be informed of their
right to receive a duplicate of any physical sample collected for
laboratory analysis or to conduct simultaneous measurements.
k. Confidentiality claims: Company officials should be advised of their
right to request confidential treatment of trade secret information.
1. Photographs: The inspector should request permission to take
photographs during the inspection.
Inspection Documentation
Taking physical samples, reviewing records and documenting facility operations
are the methods used by the inspector to develop the documentary support required to
accomplish inspection objectives. The documentation from the inspection establishes
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the actual conditions existing at the time of the inspection, so that the evidence may be
objectively examined at some later time.
Types of documentation include the field notebook, field notes and checklists,
visible emission observation forms, drawings, flowsheets, maps, laboratory analyses,
chain of custody records, statements, copies of records, printed matter and photographs.
Since any documentation gathered or produced in the course of the inspection process
may eventually become part of an enforcement proceeding, it is the inspector's
responsibility to ensure that it can pass legal scrutiny.
Field Notebook
The core of all documentation relating to an inspection is the field notebook.
Since the inspector may eventually be called upon to testify in an enforcement
proceeding, detailed records of inspections, investigations, samples collected, and
related inspection functions must be kept. The types of information that should be
entered into the field notebook include:
a. Observations: All conditions, practices and other observations
relevant to the inspection objectives or that will contribute to valid
evidence should be recorded.
b. Procedures: Inspectors should list or reference all procedures
followed during the inspection, such as those for entry, sampling,
records inspection and document preparation. Such information
could help avoid damage to case proceedings on procedural
grounds.
c. Unusual conditions or problems: Unusual conditions and problems
should be recorded and described in detail.
d. Documents and photographs: All documents taken or prepared by
the inspector should be noted and related to specific inspection
activities.
e. General information: Names and titles of facility personnel and the
activities they perform should be listed, along with other general
information. Pertinent statements made by these people should be
recorded. Information about a facility's record-keeping procedures
may be useful in later inspections.
The field notebook forms the basis for both the inspection report and the
evidence package and should contain only facts and pertinent observations. Language
should be objective, factual, and free of personal feeling or terminology that might prove
inappropriate. The field notebook is part of the agency's files and should not be
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considered the personal property of the inspector, although copies may be made for the
inspector's working file.
Visible Emission Observation Form
Since visible emission observations are such a frequently used enforcement tool, a
separate form is typically used for data recording. This form should be designed to
include all supporting documentation necessary for the data to be accepted as evidence
of a violation. It is recommended that the inspector utilize such a form, and that an
appropriate reference be made to the form in the field notebook.
Samples, Chain of Custody and Laboratory Analyses
Samples are often gathered by inspectors. For the laboratory analysis of a sample
to be admissible as evidence, a logical and documented connection must be shown
between the samples taken and the analytical results reported. This connection is shown
by using chain of custody procedures which serve to document sample integrity from the
time the sample was taken until the time it is analyzed. Chain of custody procedures are
discussed in a later section.
Drawings and Maps
Schematic drawings, flowsheets, maps, charts and other graphic records can be
useful as supporting documentation. They can provide graphic clarification of site
location relative to the overall facility, relative height and size of objects, and other
information which, in combination with samples, photographs and other documentation,
can produce an accurate and complete evidence package. Drawings and maps should be
simple and free of extraneous detail. Basic measurements and compass points should be
included to provide a scale for interpretation.
Copies of Records
'A facility's records and files may be stored in a variety of information retrieval
systems, including written or printed materials, computer or electronic systems, or visual
systems such as microfilm and microfiche. When copies of records are necessary for an
inspection report, storage and retrieval methods must be taken into consideration.
Written or printed records can generally be copied on site, while computer or electronic
records may require the generation of hard copies for inspection purposes. Visual
systems usually have copying capacity built into the viewing machine. If possible,
arrangements for copies should be made during the opening conference.
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Immediate and adequate identification of records reviewed is essential to ensure
the ability to track these records through the agency's custody process and ensure their
admissibility as evidence. When inspectors are called on to testify, they must be able to
positively identify each particular document, state its source and give the reason for its
collection. The following items are suggested to identify records:
a. Initialing and dating: The inspector should develop a unique
system for initialing and dating records so that their validity can be
easily verified. Both the original and the copy should be initialed,
and all identification notations should be placed on the back of the
document.
b. Numbering: Each document or set of documents should be
assigned a unique identifying number. That number should be
recorded on each document and in the field notebook.
c. Logging: Documents obtained during the inspection should be
entered in the field notebook according to some logical system. As
a minimum, the following information should be included:
• Identifying number.
• Date.
• The reason for copying the material.
• The source of the record.
• The manner of collection.
Statements
On rare occasions it may be useful to the objectives of the inspection to obtain a
formal statement from a person who has firsthand knowledge of relevant facts. The
principal objective of obtaining a statement is to record in writing, clearly and concisely,
relevant factual information so that it can be used as documentary support. The
following procedures and considerations are suggest whenever it is necessary for the
inspector to take a statement:
a. Determine the need for the statement. Will it provide useful
information? Is the person making the statement qualified to do so
by personal knowledge?
b. Ascertain all the facts and record those which are relevant and
which the person can verify in court. Make sure all information is
factual and firsthand. Avoid taking statements that cannot be
personally verified. In preparing the statement, use a simple
narrative style and avoid stilted language.
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c. Positively identify the person (name, address, position) and show
why they are qualified to make the statement.
d. Have the person read the statement and make any necessary
corrections. All mistakes that are corrected must be initialed by
the person making the statement.
e. Ask the person making the statement to write a brief concluding
paragraph indicating they have read and understood the statement.
Have the person making the statement sign it.
f. If the person refuses to sign the statement, ask for an
acknowledgement in the persons own hand that it is true and
correct (e.g., "I have read this statement and it is true, but I am not
signing it because...."). Failing that, declare at the bottom of the
statement that the facts were recorded as revealed and that the
person read the statement and avowed it to be true. Attempt to
have any witness sign the statement, and include the witness' name
and address.
g. Provide a copy of the statement to the signer, if requested.
Printed Matter
Brochures, literature, labels and other printed matter may provide important
information regarding a facility's condition and operations. These materials may be
collected as documentation if, in the inspector's judgement, they are relevant. All
printed matter should be identified with the date, inspector's initials and related sample
numbers, and reference to these materials should be made in the field notebook.
Photographs
The documentary value of photographs ranks high as admissible evidence. Clear
photos of relevant subjects, taken in proper light and at proper lens settings, provide an
objective record of conditions at the time of the inspection. However, since
photographic documentation often elicits a negative reaction from plant officials, it
should be used sparingly and only when necessary to document an inspection rinding.
When a situation arises that dictates the use of photographs, the inspector should
obtain the company's permission. The inspector may offer to provide the company with
duplicates; and, as with other data collected, should ascertain whether any of the
photographs contain information the company wishes designated as confidential. If the
company refuses to allow photographs and the inspector believes the photographs will
have a substantial impact on future enforcement proceedings, an enforcement attorney
should be consulted for further instructions. At all times, the inspector is to avoid
coiifrontations that might jeopardize the completion of the inspection. The inspector
5-13
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should also remember that photographs may always be taken from areas of public access
(e.g., outside the fence, from the road, from a public parking lot, etc.), as long as no
unusual equipment is used.
Photographs taken with instant developing cameras are useful for inspection
because they allow an immediate confidentiality review and provide the opportunity for
the inspector to immediately provide the company with duplicate shots. However, a
single-lens reflex camera will take higher quality photographs and should be used
whenever available. It is suggested that all photographs be made with color print film.
Also, it is helpful to photograph a subject from a point that will indicate its location and
direction. The addition of an object of known size is useful to help indicate the
approximate size of the subject In areas where there is a danger of explosion, flash
photographs should not be taken.
A log should be maintained in the inspector's field notebook for all photographs
taken during an inspection. Entries should be numerically identified, so that after the
film is developed the prints can be serially numbered to correspond to the notebook
descriptions. If necessary, pertinent information from the notebook can be transferred
to the back of the photograph. Notebook entries should include the following
information:
a. Signature of the photographer.
b. Description of the film used (type, ASA number, origin, expiration
date, etc.)
c. Focal length of lens being used.
d. F-stop and shutter speed at which the camera is set.
e. Lighting conditions encountered.
f. Time of day and weather conditions.
g. Date.
h. Location.
i. A brief description of the subject being photographed.
Closing Conference
The closing conference with plant officials enables the inspector to conclude the
inspection by answering any questions the company may have, filling in any gaps in the
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data collected, and identifying any information considered confidential. The closing
conference also provides an opportunity to improve agency-source relations by
extending helpful advice and assistance. It is very important that the inspector follow-up
on all referrals and offers of help. A letter, phone call or repeat visit will indicate
interest on the part of the agency. As a ininimum, the following elements should
constitute the closing conference:
a. Review of inspection data: The inspector should review the data
gathered and identify and fill any gaps in the information. The
inspector should ensure that there is general agreement on the
technical facts.
b. Inspection follow-up discussion: The inspector may answer
inspection related questions from plant officials, but should only
state matters of fact. The inspector should not make judgements
or conclusions concerning the facility's compliance status, legal
effects or enforcement consequences.
c. Declaration of confidential business information: Plant officials
should be given the opportunity to make a claim of confidentiality
on material provided to the agency. The inspector should note ail
information claimed confidential and handle these materials
accordingly.
Preparation of receipts: The inspector should prepare
receipts for any samples or records taken.
and deliver
File Update and Report Preparation
The data an inspector collects and substantiates may later be used as evidence in
an enforcement proceeding. It is the inspector's responsibility to see that these data are
organized and arranged so that other agency personnel can make maximum use of them.
Thus, the file update and inspection report preparation activities are an important part
of the inspection process. These should be done as soon as possible after the inspection
to ensure that all events are still fresh in the inspector's memory.
Several types of files are utilized for storing facility information. These include
EPA's Compliance Data System (CDS) and National Emissions Data System (NEDS),
the agency's source files and the inspector's working file. Data in these files should be
reviewed for missing or out-of-date information and then updated using the inspection
data.
The inspection report serves two very important purposes: (1) it provides other
agency personnel with easy access to the inspection information; and (2) it constitutes a
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major part of the evidence package which will be available for subsequent enforcement
proceedings. To meet these objectives, the information contained in the inspection
report should be:
a. Accurate: All information must be factual and based on sound
inspection practices. Observations should be the verifiable result
of firsthand knowledge. Compliance personnel must be able to
depend on the accuracy of all information.
b. Relevant: Information in an inspection report should be pertinent
to the objectives of the inspection. Irrelevant facts and data will
clutter a report and may reduce its clarity and usefulness.
c. Comprehensive: Suspected violations should be substantiated with
as much factual, relevant information as is feasible to gather. The
more comprehensive the evidence is, the better and easier the
outcome of any enforcement action will be.
d. Coordinated: All information pertinent to the subject should be
organized into a complete package. Documentary support
accompanying the report should be clearly referenced so that
anyone reading the report will get a complete and clear overview of
the situation.
e. Objective: Information should be objective and factual. The report
should not speculate on the ultimate result of any factual findings.
f. Clear: The information in the report should be presented in a clear
and well-organized manner.
g. Neat and legible: Allow time to prepare a neat and legible report.
Handling Confidential Business Information
As part of the data gathering involved in an air compliance inspection, the
inspector may collect information claimed confidential by the company. It is
recommended that such information be avoided unless it is essential to the inspection
objectives. The less confidential data collected, the less confidential data that will
require safeguarding. During the inspection, the inspector should communicate to the
plant officials that the agency has an organized and secure system for handling
confidential business information.
Trade secrets and confidential information are protected from public disclosure
by Section 114(c) of the Clean Air Act. The type of information that may be claimed
confidential is defined in 40CFR2; however, from the inspector's standpoint, confidential
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information may be defined as any information received under a claim of confidentiality.
This information could be in written form, in photographs, or in the inspector's memory.
It is the inspector's responsibility to inform company officials of their rights
regarding confidentiality claims. The following paragraph, excerpted from 40CFR2,
provides suggested language:
"If you believe that any of the information
required to be submitted pursuant to this
request • is entitled to be treated as
confidential, you may assert a claim of
business confidentiality, covering all of any
part of the information, by placing on (or
attaching to) the information a cover sheet,
stamped or typed legend, or other suitable
notice, employing language such as 'trade
secret', proprietary', or 'company
confidential'. Allegedly confidential portions
of otherwise non-confidential information
should be clearly identified. If you desire
confidential treatment only until a certain
date or until the occurrence of a certain
event, the notice should so state. Information
so covered by a claim will be disclosed by
EPA only to the extent, and through the
procedures, set forth at 40CFR2, Subpart B."
Under ideal circumstances, a facility official will accompany the inspector and make
preliminary indications of information which may be claimed confidential. The inspector
should not speculate whether any data claimed confidential will eventually be
determined to be confidential. This determination is a legal and administrative policy
decision and not within the inspector's authority. Company officials should be informed
that they may also make claims of confidentiality at a later tune.
• If possible, confidential information should not be entered into the field
notebook. One technique is to use a non-confidential reference to the information in the
notebook and separate sheets (which are considered separate documents) on which to
record the confidential information. Copies of records or others documents claimed
confidential may also be separated and kept with the confidential field notes. At the end
of the inspection, the inspector should make a complete inventory of the confidential
information received. That inventory should include the document number, the date
received, the number of pages and a brief description. Each page of confidential
information received should be stamped with a statement such as the following:
-------
CONFIDENTIAL BUSINESS INFORMATION
CLAIMED CONFIDENTIAL
DOCUMENT PAGE OF
REC'D FROM
REC'D BY
DATE
ID
If the company has declared a physical sample confidential, the inspector should mark
the seal "Confidential Business Information".
The inspector may sometimes be on the road for several days while doing
inspections. During this time, it is his or her full responsibility to ensure that the
information collected is handled securely. Suggestions for handling confidential data in
the field are as follows:
a.
b.
c.
Documents and field notes are considered secure if they are in the
physical possession of the inspector and are not visible to others
while in use.
Confidential inspection documents should be kept inside an
unlabeled envelope which is in a locked briefcase. If it is
impractical to carry the briefcase into a given situation, it may be
stored in a locked area such as a motel room or the truck of a car.
If it is necessary for the inspector to review a confidential
document, it should be done in privacy since the "Confidential
Business Information" marking is likely to arouse curiosity. If
privacy is violated, the documents must be. shielded from view
immediately.
Physical samples should be placed in locked containers and stored
in a locked portion of a motor vehicle. Chain of custody
procedures provide further protection for ensuring the integrity of
the sample.
Immediately on returning to the office, the potentially confidential information
should be placed in a secure file cabinet designated especially for confidential
information. Samples considered confidential should be assigned a document number
and sent to an approved laboratory for analysis. The chain of custody and analysis
results should bear this document number. At all times prior to analysis and/or disposal,
the samples should be stored in a locked cabinet.
d.
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In preparing the inspection report* it is recommended that confidential
information be referenced in a non-confidential manner (e.g., by referring to the
document in the confidential files and providing a general description of it). If
necessary, the confidential data may be included in the report, but then the entire report
must then be treated as a confidential document.
Chain of Custody Procedures
An important aspect of the introduction of evidence during enforcement
proceedings is documentation of the possession and handling of that evidence from the
moment of its collection until its introduction as evidence. This documentation is
generally referred to as the "chain of custody". Chain of custody documentation is
applicable to samples, photographs, field notes and laboratory notes; however, the most
rigorous proof of a chain of custody is usually required for physical samples.
A sample or document is considered to be in custody if:
a. It is in one's physical possession.
b. It is in one's view.
c. It was in one's physical possession and it was secured so that it
couldn't be tampered with.
d. It is kept in a secured area with access restricted to authorized
personnel only.
e. It is kept in a container or other receptacle sealed with an official
seal (see Figure 5-1) that will be broken when the receptacle is
opened.
Establishing and maintaining the chain of custody requires adherence to a
number of procedures which ensure the integrity of the sample. These procedures are
initiated with, the identification of the sample and continue through sample transit and
laboratory analysis and until the introduction of the data into evidence. Sample integrity
is generally easier to document as the number of people who handle the sample
decreases. Thus, all chain of custody procedures are aimed at limiting the number of
persons who handle the sample or data. The following procedures are suggested:
a. Establishing custody: Sample custody is initiated at the time of
collection by labeling the sample with a sample tag (see Figure 5-2)
and sealing the sample with the official seal. If the company
declares a physical sample confidential, the inspector should mark
the tag and seal "Confidential Business Information". If it becomes
5--; 9
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necessary to break a seal, it should be mounted on a piece of
paper, properly initialed and dated, and submitted with the sample
records to provide part of the continuous history of the sample.
The sample itself should be resealed with a new seal. No more
than one sample should be sealed under one seal.
b. Preparing sample documentation: A major aspect of the chain of
custody is the preparation and maintenance of written information
describing the collection, shipment, and storage of the sample.
Preparation of this documentation is the responsibility of the
inspector and laboratory personnel. Properly maintained, this
documentation serves as a clear and complete account indicating
the sample has remained intact from collection to introduction as
evidence. The sample must be consistently identified throughout
this documentation. Sample numbers are usually used for this
purpose. One unique number for each sample is placed on all
documentation relating to that sample.
c. Coordinating sample and documentation: The inspector must
assure that the relationship between the physical sample and the
related documentation is clear, complete and accurate. The
sample number, date and inspector's initials should appear on all
documents, and the forms should be filled-in accurately and
completely. An example chain of custody form is shown in Figure
5-3.
d. Ensuring custody during transit: Shipment of the sample to the
laboratory will involve the following procedures:
• Samples must always be accompanied by the chain of custody
record. Copies of documents should be retained by the
originator.
• Sample packages which are mailed must be sent registered or
certified mail with return receipt requested.
• If sent by other common carrier, such as UPS, a bill of lading
should be used.
• Samples should be shipped to the person designated laboratory
custodian and labeled "Deliver to Addressee ONLY1. This
person accepts custody and continues the chain of custody from
that point onward.
• All receipts and shipping documents must be included in the
chain of custody documentation.
jed samples should always be properly packed to prevent
breakage, and the package should be sealed or locked so that
any evidence of tampering may be readily detected.
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References
Gruber, C.W., and P.M. Giblin, "Air Pollution Field Enforcement: Student Manual",
EPA 450/2-80-075, March 1980.
Segal, R., and J. Richards, "Inspection Techniques for Evaluation of Air Pollution
Control Equipment", Volume II, EPA-340/l-85-022b, September 1985.
USEPA, "Basic Inspector Training Course: Fundamentals of Environmental
Compliance Inspections", Office of Enforcement and Compliance Monitoring,
February 1989.
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Table 5-1
Recommended Inspection and Safety Equipment
Necessary for Most
Required for Some
Hardhat
Safety glasses or goggles
Gloves
Coveralls
Safety shoes
Ear Protectors
Tape measure
Flashlight
Stopwatch
Duct tape
NIOSH/pSHA Pocket Guide to
Chemical Hazards
Respirator with appropriate cartridge
Velometer
Pump and filter system
Bucket
Differential pressure gauges
Combustion gas analyzer
Thermometer or thermocouple
pH paper or pH meter
Multimeter
Sample bottles
Strobe
Inductance ammeter
Tachometer
Oxygen and combustibles meter
Self-contained breathing equipment
Rope
5-22
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Figure 5-1. Example of official seal for chain of custody.
UNITED STATES
ENVIRONMENTAL PROTECTION AGENCY
INSPECTOR'S SEAL
3
Swnpto No.
1
DM
2
SigrMM*
4
Print NVTW tntt Tito
5
6
6
Figure 5-2. Example of a sample tag.
I
CO
t
a!
i
O
FRONT
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION 4
EnvtOTiwrUJ SwvteM OMrion
Cotop SUttm ROM!
Atwni,QA 30613
Si EPA
BACK
O
5-23
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Figure 5-3. Example chain of custody record.
A r-fkA Unllt(1
9BEPA-7*.
Chain el Cuetod
Slalaa
nmantal Protection
V
y Record
Inspector Name and Address
Inspector Signiiut*
Analysis/Testing Required
Laboratory
Data Received
Received By
Sent Via
Sample Condition
Condition erf Saalt
Units Received
Sloraga Location
Aatignad By
Assionad To
Dafivarad By
OalaDaRvarad
Number of Unto Raeaivad
Units Analyzed
Data Seal Broken
Date Received
Reseated By
Storage Location
Date Results ol Analysis
Issued to EPA
Sampla Number
nspection Number
Sample Name
3ate Sample Tine Duplicate Requested
( )Yes ( )No
Location ol Sampling
Data Results ol Analysis
Issued to Facility
-
Remarks
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Chapter 6
Federal Legal Provisions
Goal
The purpose of this lesson is to develop an understanding of the Federal legal provisions
applicable to air pollution control law and its enforcement. Major topics include the
provisions of the Fourth, Fifth, and Fourteenth Amendments of the U.S. Constitution
and of the Clean Air Act, as amended.
Objectives
At the end of this lesson, the student should be able to:
1. Identify the Fourth Amendment as providing protection from
unlawful search and seizure and understand the limitations for
gaining entry to a source premises.
2. Identify the Fifth Amendment as providing protection against self-
incrimination (except for corporations).
3. Identify the Fourteenth Amendment as establishing the principals
of due process and equal protection.
4. Define the responsibilities of Federal, state and local government
in the enforcement air pollution statutes.
5. Define PSD and offset and recognize where they apply.
6. Define NSPS, NESHAPS, RACT, BACT, and LAER.
7. State the responsibility of EPA when states fail to enforce their
implementation plans.
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Introduction
This chapter will be concerned with Federal constitutional and statutory
provisions which affect air pollution enforcement.
Constitutional Provisions
There are several amendments to the U.S. Constitution which need to be
considered by inspectors in the discharge of their duties (see Table 6-1).
The Fourth Amendment
This amendment guarantees that citizens will be free from unreasonable search
and seizure. For an inspector, the search and seizure situation arises because most air
pollution control statutes have a provision allowing entry into a facility at reasonable
hours for the purpose of investigating suspected pollution activities.
Generally, inspectors are not required to obtain a search warrant prior to
conducting an investigation. The warrantless search is generally justified by the view that
air pollution laws are for the protection of public health. If a warrant is not required, the
key to the propriety of the search is reasonableness. The search has to be reasonably
related to air pollution control purposes and a certain amount of propriety has to be
exercised, i.e., the inspection must be conducted during reasonable hours by individuals
showing proper identification to the owner or manager of the facility.
A few years ago, a U.S. court required inspectors for the Occupational Safety and
Health Administration (OSHA) to obtain warrants prior to entering plant property to
determine compliance with OSHA regulations. To date, there has been no such
requirement placed on air pollution inspections. Since the effects of an air pollution
violation are felt directly by the public, the public's right to an investigation of the source
seems stronger than in an in-plant situation. In any event, the issue raised by
administrative searches involves a weighing of an individual's right to privacy against the
need of a city, state, or Federal program to protect its citizens from hazards to their
health or welfare.
The Fifth Amendment
This amendment guarantees that persons cannot be required to give testimony
against themselves. However, most air pollution control statutes have a provision
requiring sources to supply emission inventory and other data to the enforcement
6-2
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agency. There are several reasons why the Fifth Amendment has not posed a deterrent
to the use of self-reported data:
1. Fifth Amendment rights do not apply to corporations, only to
individuals
2. Most air pollution enforcement actions are civil actions rather than
criminal prosecutions, and courts have held that protection against
setf-incrimination applies only if a person is faced with criminal
sanctions.
The Fourteenth Amendment
This amendment guarantees due process of law and equal protection for all
citizens. Due process principles demand that a statute enacted under police power be
applied by the enforcing agency in a reasonable manner and that any standard adopted
bear a reasonable relation to the interest it is supposed to protect (e.g., public health, the
quality of air resources, etc.). One of the best ways of ensuring due process is to provide
an opportunity for public hearing prior to the adoption of regulations or prior to major
agency action.
The equal protection clause of the Fourteenth Amendment forbids the
enactment of laws that establish arbitrary systems of classification or that permit
discrimination between persons of the same classification. Persons or subjects may be
classified for legislative purposes if such classifications are reasonable and bear a
rational relationship to the purpose of the regulation. For example, a VOC control
regulation may be directed at hydrocarbon storage tanks of a certain size, while
excluding smaller tanks. This would not be unreasonable because the size of a storage
tank is related to the amount of evaporative loss and is, therefore, a valid consideration
in VOC regulation. However, a regulation would be arbitrary if it provided that any
hydrocarbon storage tank with a bumblebee painted on its side would be exempt from
regulation. Such a rule would not have any reasonable bearing on air pollution control.
The U.S. Clean Air Act (CAA)
The fundamental precept of the Clean Air Act of 1967, as amended in 1970 and
in 1977, is that the major responsibility for control of air pollution from stationary
sources rests with state and local programs. Under the statutory framework of the Act,
EPA does not enter the enforcement picture unless the state or local programs have
failed to do the job prescribed in the Act.
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An exception to this is the control of air pollution from new mobile sources,
which has been given directly to EPA. Thus, EPA sets the standards for new automobile
engines, fuels or fuel additives, and aircraft emissions. The reason for this is obvious. If
every state had a different standard for these types of mobile sources, there could be a
substantial interference with interstate commerce.
State Implementation Plans fSIPs)
Under the dean Air Act, EPA is required to establish national ambient air
quality standards (NAAQS) for major air pollutants (Section 109). In general, the 1970
amendments set June 30, 1975, as the date for attainment of these standards. Section
110 of the Act required all states to submit an implementation plan showing how
attainment would be achieved and maintained by the statutory dates. These SIPs
include emission limitations for stationary sources and control strategies and form an
enforceable commitment on the part of the states. If a state or local program fails to
enforce any requirement of its SIP, it can be enforced by EPA
Attainment was not achieved in all areas by the 1975 deadline, so Congress
amended the Clean Air Act in 1977 to allow areas to continue the process of coming into
compliance with air quality standards. Those areas that attained the standards prior to
August 7,1977, were required to maintain those standards.
In nonattainment areas, Congress placed restrictions on the growth of sources
and required SIP revisions to be submitted that would demonstrate attainment on or
before December 31,1982, for all pollutants except carbon monoxide and ozone. If a
state could demonstrate a need, that date could be extended to December 31,1987. For
mobile source related problem areas, the states were to demonstrate attainment as
expeditiously as practicable, but no later than December 31,1987.
Federal Enforcement
National Emission Standards for Hazardous Air Pollutants (NESHAPS)
Section 112 of the CAA requires the Administrator of EPA to establish standards
for air pollutants to which no ambient air quality standard is applicable and which in the
judgment of the Administrator may cause, or contribute to "an increase in mortality or
an increase in serious irreversible, or incapacitating reversible, illness." A NESHAPS
standard applies to any new or modified source. In addition, existing sources are
6-4
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required to comply with a NESHAPS standard within ninety days after its effective date.
Enforcement of these standards is often delegated to state and local agencies.
Section 113 of the CAA
This section provides that whenever EPA finds that a violation of a SIP
requirement is occurring, the Administrator shall notify the person who is violating the
plan and the state in which the plan applies. If such violation extends beyond the
thirteenth day after notification, the Administrator may either issue an order requiring
the violator to comply with the requirements of the SIP or bring civil action for
appropriate relief, including a permanent or temporary injunction, and/or a civil penalty
of not more than $25,000 per day of violation.
Section 303 of the CAA
This section provides that when a pollution source is presenting "imminent and
substantial endangerment to the health of persons", and the "appropriate state or local
authorities have not acted to abate such sources", the Administrator may bring suit to
immediately restrain the violation.
Permit Requirements
Under the dean Air Act of 1970, states were required to have a permit system
for pre-construction review of stationary sources. The 1970 Act dealt with permits in
virtually a single paragraph, setting out a very broad requirement that states have a
program for preventing the construction or modification of any source which would
prevent the attainment or maintenance of an NAAQS. In contrast, the 1977
amendments provided considerable detail as to what must be reviewed prior to the
issuance of a permit.
New Source Performance Standards (NSPS)
Section IE of the Act requires the Administrator to publish a list of categories of
stationary sources which may contribute significantly to air pollution which causes or
contributes to the endangerment of public health or welfare. The Administrator must
then propose regulations establishing standards of performance for new sources within
each category. Enforcement of these standards is usually delegated to state and local
agencies.
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Prevention of Significant Deterioration (PSD)
The concept of preserving those areas of the country with air quality cleaner that
prescribed by the NAAQS gained attention as the result of a suit brought by the Sierra
Club against EPA (Sierra Club v. Ritckleshaus). A Federal Court of Appeals agreed with
the Sierra Club's position and ordered EPA to revise aU SIPs to prevent significant
deterioration in clean areas. The U.S. Supreme Court split four to four in its review of
the case, thereby letting stand the Court of Appeals decision.
After the PSD concept became clearly established as a requirement of the Clean
Air Act, there were many unanswered questions as to how this policy was to be
implemented. The very definition of "significant deterioration" was far from clear. EPA
proposed regulations outlining how PSD was to be implemented through state
construction permit reviews. When Congress adopted amendments to the Clean Air Act
in 1977, it largely incorporated EPA's regulations into the PSD sections of the Act
(§§160-169). Congress did make some changes, however, particularly in the
extensiveness of the pre-construction review.
Originally, the concept of PSD applied only in areas that were cleaner than the
NAAQS. However, the regulations now extend PSD pre-construction review to any
major emitting facility, no matter where that facility will be located. The rationale
behind the expansion is that a major source located in a nonattainment area might affect
the air quality in a clean area.
The basic PSD requirement, as set out in Section 165 of the Act, provides that no
major emitting facility for which construction is commenced after August 7,1977, may be
constructed unless:
a. A permit has been issued specifying the emission limitations;
b. An evaluation of existing air quality data has been conducted;
c. Certain specified air quality increments are not exceeded;
d. Best available control technology (BACT) is applied to the source;
e. The requirements for protection of pristine (Class 1) areas are met;
f. There is an analysis of air quality impacts projected for the area as
a result of growth associated with the proposed facility; and,
g. Monitoring will be conducted to determine the effect of the
facility's emissions on air quality.
-------
Nonattainment Areas
The 1970 version of the CAA did not include any provision concerning
nonattainment. It very optimistically set mid-1977 as the outermost date by which the
NAAQS were to be attained. When the attainment date passed, many areas were found
to be exceeding one or more of the air quality standards. Under the 1970 Act, the only
course of action available was to revise the applicable SEP to ensure attainment and
maintenance of the standards. The states and EPA were then faced with the question of
what to do about growth in nonattainment areas during the period in which the SIPs
were being revised.
To address this problem, EPA developed regulations on "emission offsets"
(Interpretative Ruling of December 21, 1976). Although there was no provision in the
1970 CAA for such a concept, EPA viewed it as a compromise alternative to a no-growth
policy. Congress apparently agreed, because the 1977 amendments specifically adopted
the requirements of EPA's Interpretive Ruling as an interim policy, with the exception
that the baseline to be used for determination of appropriate emission offsets was the
applicable SEP in effect at the time of application for a permit.
For the purpose of offset requirements, a major source is defined as one which
has a potential emission rate of 100 or more tons per year (1,000 tons for carbon
monoxide). Basically, EPA's Interpretative Ruling was to apply until a revised SEP was
adopted (these were to have come into effect on July 1,1979, but most were delayed).
The SEP revisions also included requirements for the use of reasonably available control
technology (RACT) on existing sources.
Both the Interpretative Ruling and the 1977 amendments on Nonattainment
Area Plans (Title I, Part D) provide that major sources are subject to an air quality
analysis, and if the allowable emissions from the proposed source would "exacerbate" a
violation of an NAAQS, approval may be granted only if all the following conditions are
met:
a. Lowest Achievable Emission Rate (LAER): In determining LAER,
the reviewing authority must consider the most stringent emission
limitation contained in any SEP in the country and the lowest
emission which is achieved in practice for such type of source. In
no event can the specified emission rate be less restrictive than the
applicable NSPS.
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b. Complete Compliance: All existing sources, in the same air quality
control region, that are owned or controlled by the owner or
operator of the proposed source must be in compliance with all
applicable requirements under a SEP or must be under an
enforcement order issued pursuant to Section 113 of the CAA.
c. Reasonable Further Progress (RFP): Emission offsets from existing
sources in the area (whether or not under the same ownership) are
required such that total emissions from the existing and proposed
sources are sufficiently less than the total allowable emissions from
the existing sources under the SEP so as to represent reasonable
further progress toward attainment of the applicable NAAQS.
RFP is essentially a two-part process in which a schedule is first
developed and then a yearly tracking exercise is performed. The
purpose of an RFP schedule is to verify that the emission
reductions obtained are being accomplished at the most reasonable
and efficient rate possible, so that attainment by the prescribed
time can occur.
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Table 6-1
The Constitution of the United States
Selected Amendments
Article IV
The right of the people to be secure in their persons, houses, papers, and effects, against
unreasonable searches and seizures, shall not be violated, and no Warrants shall issue,
but upon probable cause, supported by Oath or affirmation, and particularly describing
the place to be searched, and the persons or things to be seized.
Article V
No person shall be held to answer for a capital, or otherwise infamous crime, unless on a
presentment or indictment of a Grand Jury, except in cases arising in the land or naval
forces, or in the Militia, when in actual service in time of War or public danger; nor shall
any person be subject for the same offence to be twice put in jeopardy of life or limb; nor
shall be compelled in any criminal case to be a witness against himself, nor be deprived
of life, liberty, or property, without due process of law; nor shall private property be
taken for public use, without just compensation.
Article XTV
Section I: All persons born or naturalized in the United States, and subject to the
jurisdiction thereof, are citizens of the United States and of the State wherein they
reside. No State shall make or enforce any law which shall abridge the privileges or
immunities of citizens of the United States; nor shall any State deprive any person of life,
liberty, or property, without due process of law; nor deny to any person with its
jurisdiction the equal protection of the laws.
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References
Gruber, C.W., and P.M. Giblin, "Air Pollution Field Enforcement: Student Manual",
EPA 450/2-80-075, March 1980.
USEPA, "Basic Inspector Training Course: Fundamentals of Environmental
Compliance Inspections", Office of Enforcement and Compliance Monitoring,
February 1989.
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Chapter 7
State and Local Laws and
Administrative Procedures
Goal
The purpose of this lesson is to develop an understanding of the source of authority for
state and local control programs and the various mechanisms for achieving enforcement,
focusing on administrative procedures to secure compliance.
Objectives
At the end of this lesson, the student should be able to:
1. State the source of authority for controlling air pollution within a
state.
2. Differentiate between common law and statutory law, including
reference to nuisance.
3. Explain legislative and adjudicatory hearings and give examples of
the uses of each.
4. Recognize that neither administrative nor court orders are self-
enforcing.
5. Define the process of enforcing orders.
6. Understand the adversarial nature of enforcement actions.
7. Explain why the inspector is the keystone of the enforcement
process.
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Introduction
This chapter deals with the legal basis for air pollution statutes and regulations
and with basic administrative procedures.
Police Power
Police power forms the basis of state and local authority to control air pollution.
Simply stated, police power is power reserved to the states by the U.S. Constitution that
allows states to establish laws for the preservation of public order and tranquility; the
promotion of the public health, safety, and morals; and, the prevention, detection and
punishment of crimes.
As long as pollution control legislation is founded on the need to protect the
public health, not much question can be raised about its constitutional validity.
However, some pollution control statutes cover additional areas, such as recreational
and aesthetic interests. It is probably safe to say that the strength of a statute's
constitutionality decreases as its coverage is extended beyond public health
considerations.
Common Law Nuisance
Pollution was labeled a nuisance as early as 1611, when an English Court affirmed
the granting of an injunction and awarded damages to a plaintiff upon a showing that the
defendant had erected "a hog stye so near the house of the plaintiff that the air thereof
was corrupted". As common law, it was not a personal environmental right to breathe
clean air, but rather a property right which was protected in a nuisance action.
The common law nuisance concept is evident in the fact that most clean air
statutes define air pollution as "the presence in the atmosphere of air contaminants in
such concentration and of such duration as are or may tend to be injurious to the public
health, welfare and the reasonable use and enjoyment of property". A nuisance theory
can be used effectively in areas where there is no air pollution control standard (i.e.,
odor). In an odor case, the most effective evidence is the testimony of witnesses who can
relate how odors from the source make them ill, cause their food to taste funny, keep
them awake at night, etc.
In planning a nuisance action, it is helpful for the complainants to keep some sort
of diary in order to be as specific as possible about the nuisance conditions. For
example, they should record the date, time, and wind direction (if possible) when the
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odors are the most severe. They must be able to connect the nuisance with the source,
as well as show some adverse effect from the nuisance.
Notwithstanding its usefulness in areas not suited to emission limitations, there
are a number of problems associated with a nuisance case:
a. It is fairly subjective, and it is therefore ill suited to guide
engineering and business decisions.
b. The court "balances the equities" and therefore looks at such things
as who was there first and how long a person waited before
complaining of the nuisance.
c. The interference must generally be of a type which would affect a
person of ordinary sensibilities.
The Statutory Approach
Since the 1930s, there has been a trend toward dealing with specialized areas of
law by creating administrative agencies to "fill in the details" of a broad statutory
framework. This has been done very effectively in the area of air pollution control.
Legislators establish agencies which in turn hire technical personnel and develop
expertise to enact rules and regulations in specific areas. Advantages to this approach
include:
a. More objectivity and predictability.
b. No harm must be proven when prosecuting for violation of an
emission regulation because the legislature has, in effect, declared
that any emission exceeding the standard is unlawful.
Hearings Prior to Regulation Adoption
In adopting air pollution control standards, agencies not only rely on their own
technical personnel but also on input from regulated industries and the general public.
One of the most effective mechanisms for obtaining this information is through public
hearings. In fact, many federal and state statutes require a public hearing prior to the
adoption of a regulation or SEP revision (e.g., §163(c)(l) of the CAA). This type of
hearing is referred to as legislative or fact-gathering and differs from adjudicatory
hearings in that it is not an adversary proceeding and there is generally no cross-
examination of witnesses or use of the rules of evidence. The function of this hearing is
simply to inform the public of proposed regulation and to collect information and data
on the proposal.
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Adjudicatory Hearings
The Federal government and most states have an Administrative Procedure Act
which sets out certain requirements for contested case hearings. These hearings are
judicial in nature. At the Federal level, the hearings examiners are referred to as
Administrative Law Judges.
The term adversary should not be confused with antagonistic. The adversary
system simply ensures that the ultimate truth of the matter is reached by the full
presentation of all positions and arguments. At these hearings, the parties are generally
represented by counsel and the rules of evidence are followed. All witnesses must be
subject to cross-examination.
One area in which this type of hearing can be very effective is in enforcement
proceedings. When an administrative agency feels that a company is in violation of a
statute but does not have quite enough information for court action, it can benefit from
conducting an adjudicatory hearing. These hearings are sometimes called "show cause"
hearings, because the company is given notice to appear and show cause why an
enforcement action should not be initiated. If, after reviewing evidence presented at the
hearing, the agency is unable to find a justification for the source's noncompliance status,
an enforcement order may be entered.
An administrative order can be extremely useful in that it can set out a detailed
timetable for compliance. However, if this administrative order is violated, the control
agency must go to court in order to enforce it. Therefore, if a compliance schedule is
going to extend over a long period of time, it is generally preferable to have the schedule
entered as a court order which can be enforced through contempt of court procedures.
Whether enforcement is sought through administrative or court actions, it is
important to recognize that inspectors are one of the most important elements in the
enforcement process, since they are the usual individuals on the scene. Any sample they
collect or any violation they observe may be used as evidence in a hearing or in court.
Adjudicatory hearings can also be used prior to the issuance of construction
permits. At these hearings, the applicant would have the burden of proof to
demonstrate that all of the applicable permit requirements will be met. This will be
particularly necessary in areas where the air quality increment will be consumed totally
or in large part by a single source. The hearing format gives the staff of the control
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agency and the general public an opportunity to fully examine all aspects of the permit
issuance. The CAA recognizes this in requiring a public hearing prior to the issuance of
a PSD construction permit under Section 165.
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References
Gruber, C.W., and P.M. Giblin, "Air Pollution Field Enforcement: Student Manual",
EPA 450/2-80-075, March 1980.
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Chapters
Litigation Procedures
Goal
The purpose of this lesson is to describe the important aspects of the legal enforcement
processes and the involvement of the inspector in such cases.
Objectives
At the end of this lesson, the student should be able to:
1. Differentiate between civil and criminal litigation.
2. Define pre-trial discovery.
3. Define deposition.
4. Define interrogatory and tell when it comes into play.
5. Identify the principal rules of evidence.
6. Explain the basis for testifying as an expert witness.
7. State at least ten Do's and Don'ts for a witness when giving
testimony.
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Introduction
This chapter summarizes the basic rules of evidence and procedures for trial, with
particular emphasis on the role of a witness.
Types of Litigation
Section 113 of the Clean Air Act allows EPA to file civil or criminal actions
against persons who commit certain air pollution violations. Most state air control
statutes allow only civil actions, and most local ordinances are only enforceable through
criminal misdemeanor actions. Civil and criminal enforcement actions serve different
functions and have different advantages and disadvantages.
Civil Actions
This type of action results in the levying of civil penalties and injunctive relief.
Statutes generally provide for penalties of $50 to $1,000 per violation and in some cases,
as high as $25,000 per day. Even though this may seem a tremendous deterrent to
polluters, there are situations where it could be cheaper for a violator to pay these
penalties rather than to comply.
One of the most effective air pollution control remedies is an injunction, where a
court orders a source to take certain corrective steps within a given time schedule and to
be in final compliance by a certain date. If the source does not comply with the court
order, it can be held in contempt of court. A pjoJulMtgry injunction can be used to shut
down a facility. Such a drastic measure is seldom used and most control agencies prefer
to seek mandatpjyjnjujictions which set out a timetable for compliance.
Criminal Actions
Most local government prosecutions in municipal court involve criminal
misdemeanor actions. These are not as well suited for the prosecution of on-going
continuous violations because the fines for misdemeanors are generally set so low that a
violator could simply pay a fine and continue to pollute.
In the criminal area, courts must be stricter in requiring that a control agency
scrupulously observe the constitutional rights of the defendant. In addition, in a criminal
case the control agency must prove the violations "beyond a reasonable doubt" rather
than simply by "a preponderance of the evidence" as in civil cases. Furthermore, when a
criminal action is brought against a corporation, the possibility of jailing a lower echelon
employee may not be a sufficiently stringent deterrent. Since most of the litigation in
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which inspectors will be involved is civil, the discussion of litigation procedures will
center on civil actions.
Pre-trial Discovery
The key to success in any type of litigation is preparation. Contrary to some of
the popular television shows, there are rarely opportunities to drop bombshells in the
courtroom, since under federal and state rules of procedure there is ample opportunity
for both sides to discover the evidence which the other side will present in court. In
addition, under the Freedom of Information Act and Open Records Acts, control agency
records are subject to full disclosure, even without discovery procedures.
Deposition
A deposition involves the oral questioning of a witness who is under oath. The
testimony is not taken in open court, but it is reduced to writing and can be used at the
time of trial. Attorneys representing all parties in the litigation are given an opportunity
to be present and ask questions. Objections to questions can be made by opposing
attorneys, but rulings by the presiding judge are made only if or when the deposition is
offered for introduction into court proceedings. In general, any prospective witness can
be deposed. Depositions serve a number of functions:
a. A general fishing expedition to try to determine what a witness
knows or will testify to.
b. To perpetuate the testimony of a witness who will not be available
at the time of the trial.
c. To later impeach a witness if their trial testimony is different from
testimony in depositions.
Interrogatories
Interrogatories are a set of written questions to be answered by a prospective
witness in a lawsuit. While interrogatories are cheaper than depositions, since no court
reporter is needed and attorneys do not all have to gather for the asking of questions,
they do not provide the flexibility of a deposition. For example, in a deposition, if a
witness' answer opens up another area of information, the questioner can immediately
proceed to explore this. This is, of course, not possible with interrogatories. Also, when
a person is responding to written questions, there is more time to consider the response
and give only as much information as is absolutely required.
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Principal Rules of Evidence
The rules of evidence form the basis on which a trial is conducted. They
determine whether certain testimony is admissible, and they are designed to ensure that
a decision is based on proper facts.
Hearsay Rule
The hearsay rule prohibits testifying to statements made out of court because
such statements were not made under oath, there is no chance for cross-examination,
and there is no opportunity to observe the demeanor of the person(s) making the
statements. One exception to this rule is the declaration of a party to the suit, if the
declarations are against the party's interest, e.g., a plant owner states, "I know my factory
is violating the regulations, but I'm not going to do anything about it". Another
exception is for business records, if they are made during the regular course of business,
at or near the time of the event in question and the person testifying has personal
knowledge of how records are kept. Also, expert witnesses may testify to hearsay within
their area of expertise. For example, a doctor may testify to a review of the literature
regarding the topic in question.
Best Evidence Rule
Evidence presented must be in the best form for proving the facts in question.
For example, the letter itself is the best evidence of what was stated in a letter, rather
than a witness' recollection of the contents of the letter.
Leading A Witness
Counsel may not lead witnesses or ask questions which suggest the answers. This
prohibition does not apply to witnesses being cross-examined or to expert witnesses at
any time.
Do's and Don'ts for Witness
1. Listen attentively to each question.
2. Think before responding (your attorney may use this opportunity to raise valid
objections).
3. Speak slowly and distinctly, both on the witness stand and in a deposition.
4. Answer questions directly.
5. Avoid extended qualifications or explanations.
6. Do not be verbose. Answers should be as brief as is necessary.
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7. Do not interpret facts unless called upon to do so' as an expert witness.
8. Stick to the facts.
9. Be honest; do not stretch the facts.
10. Never guess when answering a question. If you don't know the answer, say so.
11. Never hesitate to frankly admit that you don't remember certain physical facts.
12. Never memorize a story.
13. Do not read directly from notes, although notes may be used to refresh your
memory.
14. Beware of questions that seek to force a yes or no answer.
15. Refuse to be ashamed or startled into giving an answer you didn't intend to give.
16. Never argue with opposing counsel (or the judge).
Informal Conferences Off-the-Record or In-Chambers
The judge or the attorneys representing the parties may request that certain
discussions be off-the-record, which means the discussion will not be a part of the official
court record. The judge may end formal proceedings in the court room and continue
discussions in-chambers or call in-chambers meetings for discussion of possible
compromises on the issues or negotiations among or between the parties. Such
chambers conferences may or may not result in further proceedings in open court and on
the record. Witnesses may or may not be asked to participate in proceedings in-
chambers, as the judge specifies. Many enforcement actions are resolved in Agreed
Judgments without going to actual trial.
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References
Gruber, C.W., and P.M. Giblin, "Air Pollution Field Enforcement: Student Manual",
EPA 450/2-80-075, March 1980.
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Chapter 9
Courtroom Procedures
Goal
The purpose of this lesson is to demonstrate courtroom procedure by viewing and
discussing the video, "Role of the Witness".
Objectives
At the end of this lesson, the student should be able to:
1. Distinguish between effective and ineffective court demeanor.
2. Identify effective use of photographs, maps and charts in giving
testimony.
3. React effectively to questioning under cross-examination.
4. Present effective testimony when called upon to do so.
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Introduction
In a court proceeding, a witness is presented to the Court by one of the parties to the
litigation, i.e., the witness supports the claim of either the plaintiff or the defendant.
Responses to questioning by the attorney representing the party on whose behalf the
witness is testifying is termed direct testimony. After the direct testimony is presented,
attorneys representing the opposing party may then cross-examine the witness. When
cross-examination is completed, the original offerer may ask questions that relate to
answers given by the witness during cross-examination. This is termed re-direct
testimony.
The Role of the Witness
The purpose of the video, "The Role of the Witness", is to provide a
demonstration of courtroom procedures, with particular emphasis on the testimony of
an agency inspector. The video was prepared by the University of Kansas, and presents
a case involving enforcement of the requirements for asbestos abatement. Students
have an opportunity to observe cross-examination techniques and to see the applicability
of the rules of evidence in the context of particular testimony. The importance of cross-
examination is vividly demonstrated.
The fundamental benefit to be derived from the video is the portrayal of the
professional and impartial demeanor of the witness. The inspector does an excellent job
of showing how effective calm and unbiased testimony can be.
Vocabulary of the Courtroom
Certain expressions used in the courtroom may be puzzling to persons not
familiar with them. Judges are rarely addressed by name; instead, whether there is one
judge (as in a trial court) or several (as in an appellate court), judges are referred to as
"the Court" or "this Court". Attorneys rarely use personal pronouns referring to the
court-you, yours, he, his, her, hers, etc. Instead, for example, a lawyer will begin a
presentation to the judge with the expression, "May it please the court, ...". A witness
should not let this unique language be confusing.
The statement that a Court can "consider the equities" in a proceeding before it,
means that a Court, in either a contest or an agreed judgment, may extend deadlines and
compliance schedules beyond those prescribed by statute. Similarly, the Court may
assess or apprise a penalty less than the stated maximum.
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References
Gruber, C.W., and P.M. Giblin, "Air Pollution Field Enforcement: Student Manual",
EPA 450/2-80-075, March 1980.
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Chapter 10
Overview of Federal Enforcement
Goal
The purpose of this lesson is to present the Federal enforcement options under the
Clean Air Act and to show how this enforcement interacts with state and local air
pollution enforcement.
Objectives
At the end of this lesson, the student should be able to:
1. Compare the enforcement responsibilities of EPA with that of
state and local agencies.
2. Name the sections of the CAA which pertain to EPA enforcement
responsibilities.
3. Explain how EPA discretionary enforcement power was limited by
the 1977 amendments.
4. Define two sources of information that trigger a Section 113 action.
5. Name four conditions which must be met before a Delayed
Compliance Order can be issued.
6. Explain the various steps required to process and review a Section
113 action.
7. State which Federal agency represents EPA in litigation matters.
8. Name the three types of penalties provided by the CAA.
9. State the percent of sources audited by the Federal enforcement
program.
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Introduction
This lesson will be concerned with the enforcement options available to EPA in
carrying out the provisions of the Clean Air Act.
Interface with State and Local Enforcement
The CAA as written in 1970 and retained in the 1977 amendments states that "the
prevention and control for air pollution at its source is the primary responsibility of
States and local governments". However, in the 1977 amendments Congress gave the
Federal government rather specific directions on enforcement which seem to modify
somewhat the term "primary responsibility." For example, the states may exercise
discretion in choosing an enforcement route, whereas EPA is required to initiate legal
proceedings against any major source in violation of a State Implementation Plan, and
EPA may name the State as a defendant in such a complaint. Note that EPA may
decide not to initiate an enforcement action. An effective enforcement program
depends upon a demonstrated "will to enforce" by the regulatory agency, whether local,
state or federal. Regulated emitters will not always comply if they believe there is no
effective enforcement.
Fundamentally, EPA's enforcement strategy is directed to the health related
provisions of the SIPs, i.e., to those provisions which seek to attain the primary NAAQS.
Regulations which deal with welfare and nuisance are not presently subject to Federal
enforcement. Therefore, enforcement of a SIP can be through the unilateral action of
the state, by EPA together with the state or unilaterally by EPA.
Provisions of the CAA which Pertain to Federal Enforcement
The provisions of the CAA which establish the Federal enforcement program
are:
• Section 113-requires legal enforcement where major stationary sources
are in violations of a SIP.
• Section 114—aids enforcement by providing access to records, requiring
continuous monitoring, requiring data reporting, and providing right of
entry.
• Part C (Section 160 et jeg.)~deals with prevention of significant
deterioration and establishing Federal requirements for pre-
construction permits.
• Part D (Section 171 et je^.)~requires SIP revisions in nonattainment
areas.
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This chapter will be mainly concerned with Section 113 procedures.
Clean Air Act Enforcement
Enforcement Prior to the 1977 amendments
In general, enforcement consisted of negotiations with violators and issuance of
administrative orders under Section 113, with extended schedules for compliance. EPA
could institute civil actions for an injunction against further violations or it could seek
criminal penalties where it possessed appropriate evidence to meet the burden of proof.
Congressional Concerns with the 1970 Law
The 1970 CAA had no provision for public participation in the administrative
enforcement process. In addition, there were no standards for the issuance of
administrative orders under Section 113. Also, Congress wanted to force technology
development on industry through new amendments.
Clean Air Act Amendments of 1977
The 1977 amendments drastically changed the nature and scope of Federal
enforcement actions:
a. The enforcement discretion was restricted and EPA is required to
sue any major stationary source still in violation of a SIP more than
thirty days after the Administrator notified the source of said
violation. A copy of the notice of violation is sent to the state
involved to afford the state an opportunity to take enforcement
action within the thirty-day period.
b. All existing state and Federal consent orders and decrees
inconsistent with Section 113(d) of the Act, and in existence at the
time of the Amendments, were voided by Section 113(d)(12).
c. Availability of administrative orders for compliance is limited to:
1. Section 113(a) orders. Prior to the 1977 amendments,
orders were issued with extended compliance schedules.
They are now to be issued only to require immediate
compliance, which EPA has interpreted to mean
compliance within thirty days.
2. Section 113(d) orders. Known as a Delayed Compliance
Order (DCO), they may be issued by a state, or by the
Administrator after giving thirty days notice to the state. A
valid Section 113(d) order effectively insulates the holder
from Federal enforcement under the CAA and from citizen
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suites pursuant to Section 304 of the Act. The following
requirements, among others must be met:
• Before a DCO may be issued, there must be notice to the
public and the opportunity for public hearing.
• Once issued, the DCO becomes a part of the applicable
SIP.
• The DCO, in addition to containing the final compliance
deadline, must require an interim compliance schedule
containing increments of progress.
• The DCO must require emission monitoring and
reporting by the source.
• The final compliance date can not be later than July 1,
1979, or three years after the date for final compliance
specified in the SIP (except for a Section 113(d)(4) order,
which may allow a greater time for compliance).
3. Special types of Section 113 orders include:
• Shutdown orders with no interim schedule of compliance.
The source could operate until July 1, 1979, provided a
bond had been posted equal to the cost of compliance
and any economic benefit which may accrue to the source
owner by failure to comply.
• Innovative technology. Under Section 113(d)(4), if a
source is determined to be utilizing innovative technology
to conform with an emission limitation, it has five years
after the effective date of the emission limitation to
comply. Innovative technology must result in a
substantial likelihood of achieving greater continuous
emission reduction or achieving equivalent reduction
with lower energy cost than would otherwise be achieved.
• Conversion to coal from gas or oil Section 113(d)(5) gave
sources converting to coal until December 31, 1980, to
comply with the applicable SIP.
Processing Section 113 Enforcement Actions
The procedural process of a Section 113 notice begins when a violation at a major
source becomes evident to EPA Regular reports on compliance status are made by the
states to EPA regional offices. These reports are monitored and those which show
violations are singled out for action. EPA also triggers Section 113 notices from the
results of field inspections by its own personnel. Notification of violation is sent to the
source owner either by letter or in the form of a legal document.
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The next step is usually an informal conference requested by the legal counsel for
the source owner (although EPA is not legally required to so confer). This is not an
adjudication or formal hearing, but it has an air of formality as it is typically held in a
public building with a stenographer present. The state agency is invited and is often
represented by a senior enforcement official or the inspector responsible for the source.
EPA will want to know the state's position with respect to the violation and will utilize
state reports and other documents containing evidence in reaching its conclusions.
As a result of the conference, an order is produced that compliance be achieved
by the source within thirty days. The order states what the source owner must do within
the thirty days; and, if it is not done, the source owner is in violation of the law. If a suit
is later instituted, it may be based on failure to comply with a lawful order of EPA and
violation of the SIP.
It does not always follow that the informal conference produces an EPA order. If
it becomes apparent that the state will take action, the Federal order may be delayed or
not drawn at all. For EPA to pursue a case into court:
• A litigation report must be prepared containing a persuasive statement
of the facts and the law in support of litigation.
• The report is reviewed by EPA Washington legal staff.
• The consistency of the litigation with regard to EPA enforcement policy
is reviewed.
• The report is then sent to the Department of Justice. If the Justice
Department staff approves, it goes to the Assistant Attorney General
for signing.
• If it is signed, the matter is sent to the U.S. Attorney General for action.
• During the time the EPA and Justice Department are conducting their
reviews, the case could be stopped if the state takes action to prosecute
the violator and EPA determines that the action is adequate.
Note that Court proceedings are initiated only when the Justice Department agrees to
do so. A decision not to proceed is within the Attorney General's prosecutorial
discretion.
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Penalties
Criminal
The criminal penalty for knowingly causing a violation is up to $25,000 per day of
violation or up to one year imprisonment or both.
;IVH
The statutory maximum civil penalty is $25,000 per source per day of violation
after August 7,1977.
Section 120 Administrative Penalties
EPA or the state may assess a noncompliance penalty against a major source
after July 1, 1979. The amount of the penalty can be no less than the economic value
which a delay in compliance beyond July 1, 1979, may have for the source owner.
Section 120 penalties are appealable to the U.S. Court of Appeals.
Audit by EPA of State Source Inspection
It is the general policy of EPA to make an annual audit of ten percent of a state's
major sources. The methods for conducting the audit differ between regional offices. In
some cases, states are advised in advance and actually make the inspection in the
company of an EPA inspector. In other cases, EPA conducts the source inspection
independent of the state, which sometimes gives rise to controversy over differing
interpretations of the SIP. Where personnel are available, audit inspections should be
made jointly by EPA and state or local inspectors.
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References
Gruber, C.W., and P.M. Giblin, "Air Pollution Field Enforcement: Student Manual",
EPA 450/2-80-075, March 1980.
USEPA, "Basic Inspector Training Course: Fundamentals of Environmental
Compliance Inspections", Office of Enforcement and Compliance Monitoring,
February 1989.
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Chapter 11
Handling Nuisance Complaints
Goal
The purpose of this lesson is to introduce the principles of processing nuisance
complaints, with special emphasis on the field investigation process.
Objectives
At the end of this lesson, the student should be able to:
1. Identify at least five sources of citizen complaints.
2. Identify the major information needed when receiving citizen
nuisance complaints.
3. Document the procedure for investigation and case development
of public nuisance complaint.
4. State various techniques for getting action from responsible parties
in abating the source of the complaint.
5. Identify techniques for evaluating complaint conditions by
measuring the effect.
6. Differentiate between a public and private nuisance.
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Introduction
Responding to citizen complaints is an important task for the air pollution
inspector. It can often be quite time consuming, with great difficulties in legal
prosecution should that be necessary to secure abatement.
Public Nuisance, Legal Aspects
The inherent responsibility for enforcement against public nuisance begins with
state and local statues. A typical regulation might read:
"...No person shall discharge from any source whatsoever such quantity of
air contaminants or other material which cause injury, detriment, nuisance
or annoyance to any considerable number of persons or to the public..."
The intent here is quite clear: no one should cause a public nuisance. However,
the use of the phrase "cause ... annoyance to any considerable number of persons" to
characterize the significance of the event is vague and may cause problems in
enforcement of this regulation. Some agencies have suggested ten separate households
as a rule of thumb for defining "considerable number" and then proceed with less if the
situation is very bad, or require more if the nuisance is marginal.
An emission that affects only one person is a private nuisance and is not subject
to prosecution under the above quoted statute. However, the agency has a responsibility
to respond to all nuisance complaints, including those from a single complainant, and
every attempt should be made to alleviate the nuisance situation. A single individual
who suffers a nuisance is free to take legal action against the suspected source for
damages or injunction. In such an action, the inspector may be called as a witness to
testify to the extent or effect of the nuisance. A public nuisance is one which affects an
indefinite number of persons in a community.
Causes of Nuisance Complaints
Nuisance complaints are typically triggered by one or more of the following:
• Offensive odors.
• A specific violation, most probably opacity.
• Large particle fallout-easily visible on porches, lawn furniture, and
plants, etc., but difficult to identify the source.
• Fugitive dust from construction or demolition activities.
• Plant or material damage.
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• Fugitive dust from an industrial source.
• Episodal releases potentially affecting public health.
• Open burning.
• General conditions such as "The air is awful today", "My eyes burn and
my throat is sore", "The cat's hair fell out", etc.
Receiving a Complaint
A nuisance complaint can be transmitted to the agency by telephone, facsimile,
letter, personal visit or by referral from a central governmental reporting agency. Most
complaints are phoned in to a receiving clerk, who should be trained and experienced in
processing such calls. Often the caller is irritated and emotional, rather than factual.
Under such circumstances, the caller should be allowed to talk themselves out before
being questioned for the facts needed to properly dispatch an inspector.
Each agency usually employs its own complaint form to log information received
from the caller. Typical questions include:
• What is your full name, address and phone number?
• What is the condition being complained of?
• Where do you think it is coming from?
• Is it going on now?
• When did it start?
• Have there been other occurrences? Get specific dates and times.
• Is anyone there sick?
• Are other people bothered?
• Listen for other specific data related to the event.
The complaint form should also include space for the date, time and name of the person
taking the complaint and the time the inspector is dispatched.
After the message log is completed, a complaint number is usually assigned, the
time is stamped on the log and an inspector is sent to the scene. Complaints should be
investigated as speedily as possible to improve the chances that the reported source may
be reached while the violation or nuisance is still in progress.
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Complaint Investigation
If the reported source of a complaint is in an inspector's district, much may
already be known about the situation. Regardless, before departing on any complaint
investigation, the inspector should take a few minutes to check the source's file to obtain
the most recent history, if possible.
Upon arrival in the vicinity of the complainant, the inspector may decide to first
observe the alleged source to determine if a violation is currently occurring. This
approach is most effective when the source is definitely known and the events are
recurring. If a violation is observed, the inspector may elect to serve a notice of violation
or, if the cause of the complaint is easily corrected, secure a remedy to the situation.
If the cause of the complaint or the details of the event are uncertain, the
inspector may decide to visit the complainant first. The advantage of the former
approach is that, by the time the complainant is visited, the inspector may be able to
report what actions have been taken to alleviate the problem.
Complainant Interview
The inspector should make every effort possible to avoid obvious identification of
the complainant. Particular care should be taken not to park an official vehicle too close
to the complainant's residence, should the complainant and the source be near each
other. The identities of all complainants should be considered confidential and should
not be disclosed to anyone not an employee of the enforcement agency.
If the complainant is not at home, the inspector should leave a message. If the
complainant is at home, the inspector should provide identification and proceed with the
interview. The inspector should be friendly but dispassionate, employing a non-direct
technique that allows the complainant to vent frustration and anger over the matter so
that the facts of the situation can be calmly discussed. It is best if the inspector not
interrupt while permitting the complainant to speak their mind. However, it is
particularly effective if, when facts appear, the inspector repeats them aloud for
verification and then writes them down.
After the concerns of the complainant have been expressed, the inspector should
proceed on a line of questioning that will determine both the cause of the complaint and
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the nature and source of the air pollution problem. This line of questioning is primarily
intended to complete and verify the data supplied by the complainant.
The cause of a complaint may not always involve air pollution. Although most
complaints are justified, some will concern problems over which the agency has no
control and in which air pollution may play little or no role. These situations include
backyard feuds, natural contaminants, resentment towards a nearby company or low
concentrations of contaminants that affect particularly sensitive individuals. Although
the inspector may have no legal powers in such cases, the complaint should be
investigated to determine if an air pollution problem exists.
In conducting a complaint investigation, the information given over the phone is
checked and enlarged to include the following:
• Name and location of source complained about.
• Frequency of occurrence.
• Time of day nuisance was first noticed.
• Duration of nuisance during each occurrence.
• Names and addresses of persons affected.
• Location and extent of property damage, if any.
• Description and frequency of any illness alleged to have resulted from
air contaminants.
• Description of odors or other pollutants that may be involved.
• Any other information the complainant may have that will relate the
nuisance to a specific source.
In an air pollution situation that appears to involve exposure to potentially toxic
compounds, the inspector should record all observed or reported symptoms, such as:
nausea eye tearing
vomiting soreness of throat
headache nasal discharge
eye irritation turning blue
fever cough
constriction of chest difficulty breathing
The inspector may also wish to notify the enforcement agency so that a sampling vehicle
can be dispatched to the scene to measure concentrations. If symptoms appear serious,
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a physician and the health authorities should be contacted. It should be noted that only
a physician can make a diagnosis. However, the inspector may wish to record the name
of the physician, the diagnosis and the treatment prescribed. This information may be
important if a public nuisance action should be initiated.
While interviewing complainants, the inspector should not promise legal action
nor commit the agency to any course of action. Instead, the laws involved and the
evidence required to instigate legal proceedings should be explained to the complainant,
noting that cooperation on the part of those who may be responsible will be sought first.
If odors, soiling or other property effects are involved, the inspector should
examine the pattern of fallout or effects for any indication of the direction of the source.
If possible, the wind direction should be determined to aid in tracing the contaminant.
As a rule, inspectors should not solicit opinions regarding the behavior of any
source, and should instead confine themselves to those persons volunteering complaints.
If the situation is widespread, neighborhood activists will usually canvass the area and
organize the complainants. The inspector then interviews those individuals that come
forward. Canvassing of the neighborhood by an agency inspector could be construed in
a court of law as being prejudicial to the source.
The inspector should evaluate the consistency, correspondence and intensity of
remarks made by various witnesses and attempt to find some degree of unanimity
regarding the objectionability of the problem among those who might be equally
affected. Diverse opinions and inconsistencies are the first signs that a public nuisance
case may not be easily developed.
Inspection of the Source
From the facts gathered so far, the inspector may know the type or even the
specific source responsible, especially if the contaminants have been identified and
definite evidence of damage or detected odors on the complainant's property have been
observed. In other cases, the identity of the contaminants may be known, but not their
source of origin. In still other cases, the contaminants and the source may be completely
unknown.
To establish a public nuisance, a source within a certain facility responsible for
the offending emission must be proved. In some cases, the equipment involved may be
obvious. In others, especially in a plant containing many pieces of equipment, the source
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may be difficult to locate. In this latter instance, each piece of equipment must be
inspected in detail. Those which do not contribute to the problem are eliminated from
consideration.
Quite often the complaint or nuisance involves the violation of regulations
limiting the emission of a specific contaminant, the operation of unpermitted equipment,
or the operation of permitted equipment contrary to permit conditions. In these
instances, the action to be taken is indicated by the nature of the regulation violated. If,
however, the nuisance is a result of quantities of contaminants which are allowed by the
regulations, a public nuisance will have to be proven.
When an inspector visits a source in response to a complaint, the reason for the
investigation is usually stated, unless, in the individual instance, it should be strategic not
to do so. If the purpose is acknowledged, the inspector may also wish to explain that
determining whether the complaint is justified is part of the investigation. This gives
management the opportunity to state its case, since it knows that the inspector is not yet
committed to any action.
As with the complainant, the inspector is courteous and attentive and takes notes.
Using information acquired from the complainants, questions are developed and
structured to provide a clear indication of the events involved. The source is then
inspected, and actual operating conditions, cycles and times of operation are compared
with the times and frequencies of the complaints.
Resolution of the Nuisance
Because the inspector is an indifferent observer between two parties in conflict,
there is a natural tendency to act as mediator and attempt to find a solution to the
problem that will satisfy the complainant, the source and the law. This is noble work;
however, in such situations, the inspector must be careful not to incur liability, either
individually or as a representative of the agency, for a failed strategy.
After the problem is identified and the specific source is isolated, means of
abatement may then be determined. If the problem was a single occurrence, it probably
was not anticipated and was perhaps caused by a breakdown, a fire, a power shortage or
some other situation equally unforeseen. The chances of this same incident happening
again are slim, preventative action is unlikely, and corrective measures unnecessary,
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except to repair or compensate for damages. Where the problem is operator error, it
becomes the company's responsibility to ensure that personnel are adequately trained.
When the problem is continuing or recurrent, it becomes critical to eliminate the
cause. Occasionally, an improved regular maintenance program will abate the problem,
either by reducing the likelihood of a breakdown or by preventing a situation causing
emissions. Sometimes the problem can be solved by altering the operation or process
somewhat, without actually altering the equipment. This may involve changes in the
processing rate, changes in operating conditions or changes in the materials being
processed. Relocation of equipment within the plant may also solve the problem.
Ideally, when equipment is first put into operation, those operating conditions
which could cause a public nuisance should be anticipated. Restrictions can then be
placed on the permit to limit operations to those conditions which will not cause a
nuisance.
The most common solution involves either replacing the processing equipment
with a less polluting system or installing downstream control equipment. Afterburners,
adsorbers, absorbers and condensers have all been used successfully to remove VOCs,
toxic compounds and odors from gas streams; and cyclones, fabric filters, electrostatic
precipitators and scrubbers have been effective with paniculate matter.
Enforcement
The most difficult type of air pollution case is the public nuisance. A public
nuisance frequently occurs when a number of persons are annoyed by a quantity of
contaminants that is otherwise allowed. One problem arising in cases of this sort is to
determine whether, indeed, the nuisance is public. If a private dispute is involved, then
the citizen must initiate legal action. A public nuisance, however, involving a
"considerable number of persons" or a reasonable cross-section of the immediate
community affected, is handled as an agency enforcement action.
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References
Gruber, C.W., and P.M. Giblin, "Air Pollution Field Enforcement: Student Manual",
EPA 450/2-80-075, March 1980.
USEPA, "Basic Inspector Training Course: Fundamentals of Environmental
Compliance Inspections", Office of Enforcement and Compliance Monitoring,
February 1989.
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Chapter 12
Odor Detection and Evaluation
Goal
The purpose of this lesson is to introduce the principles of odor detection and evaluation.
Objectives
At the end of this lesson, the student should be able to:
1. Define odor and odorant.
2. Identify the characteristics of odor perception.
3. State the four odor parameters.
4. Name which parameter is used in odor regulations.
5. Explain why odor measurement by instruments is difficult.
6. Define odor unit.
7. Name three instruments which aid odor threshold measurement.
8. Identify the characteristics of odor transport from source to receptor.
9. Explain a means of tracing an odor source.
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Introduction
Odors that result from one chemical compound can be regulated in much the same
manner as that employed for a criteria pollutant, i.e., set an air quality standard and regulate
emissions to achieve it. However, odors generally result from a combination of compounds,
sometimes in large numbers. In this situation, enforcement as a public nuisance is the
approach typically followed. One problem complicating enforcement is that there are
essentially no reliable, objective methods for field identification of specific compounds and
conditions causing odors or for quantifying the concentration of odorants in the ambient
environment. Nevertheless, an inspector trained in odor evaluation should:
a. have knowledge of the sources which produce odors and the physical
conditions that affect odor potential.
b. be able to identify odors in the field.
c. have knowledge of the conditions that affect odor perception and of
scientific techniques used in odor evaluation.
d. be able to objectively evaluate his or her own perception and level of
odor sensitivity in relation to complainants and the general population.
This chapter will provide an introduction to these topics.
Characteristics of Odors and Odorants
A major difficulty in dealing with odors as an air pollution problem arises from the
fact that an odor is not actually an air contaminant but rather a property of air contaminants
which can only be detected or measured through its effects on the human organism. Briefly,
an odor is that property of a substance which affects the sense of smell. A contaminant
which has an odor is called an odorant.
The capacity in humans to perceive odors varies considerably among individuals and
in one individual from time to time. Some persons ("anosmiacs") are very insensitive to
odors, while others may be acutely sensitive to odors unnoticed by most people. This
variability of individual sensitivity complicates the problem of estimating the prevalence of
an odor nuisance.
The air pollution inspector is primarily interested in establishing the existence of an
odor problem according to some legal criteria, e.g., a problem which constitutes a nuisance
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to a considerable number of persons over a continuing or significant period of time. In such
situations, the inspector is concerned with identifying the odor, rating the odor's intensity,
identifying the odorant, establishing the frequency of the nuisance, locating the "odor route",
locating the source of the odorant, and influencing some operational or engineering control
over the odorant
Odor Perception
There are a few characteristics of odor perception which the inspector should be
familiar with in determining whether an odor problem exists. These are as follows:
a. The olfactory sense becomes fatigued after continuous exposure to an
odorant.
b. An odor is usually detected whenever there has been significant
change in odor quality or intensity. When increased in intensity, even
a pleasant odor can become objectionable to one who has become used
to it under continuous exposure.
c. Odors do not, in themselves, cause physical disease. The odor of
many toxic materials (e.g., chlorine, sulfur dioxide, hydrogen sulfide)
may serve as a warning, however. Odors may bring on nausea and
have an adverse effect on asthmatics.
d. A person's ability to perceive odors varies from day to day.
e. Compounds of different constitution may yield similar odors.whereas
compounds of very similar constitution may yield different odors.
f. An unfamiliar odor is more likely to cause complaints than a familiar
one.
g. The perception of odor level decreases with increasing humidity.
High humidity, however, tends to concentrate odors in a given area.
h. Odor quality may change upon dilution.
i. Some persons can detect certain odor qualities but not others.
Odor Parameters
In investigating odor complaints to establish the existence of a nuisance, the inspector
should attempt to identify the odorant, describe the odor and establish its objectionability,
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and provide some indication as to its severity. The following set of parameters is useful in
such an evaluation:
•Quality
•Intensity
•Acceptability
•Pervasiveness
Although developed primarily for experimental use, these parameters are also useful for
characterizing odors in the field. To facilitate enforcement, it is useful for the agency to
have a single system for classifying odors. This is useful for inspectors analyzing the various
component sensations which odors may produce and may also be useful in interpreting
complainant comments if they are forced to chose descriptors from the same system. For
field purposes, one system is as good as another. The advantage of all systems is that they
yield a useable odor vocabulary.
Quality
The quality of an odor may be described either in terms of association with a familiar
odorant, such as coffee or onions (characteristic odors), or by associating a familiar odor
with an unfamiliar odorant. Aside from direct descriptive terms, the observer may add
modifiers to the description to indicate shades or overtones of an odor. These may actually
include subjective reactions such as "fragrant", "foul" and "nauseating", or characteristics of
odor which may be associated with the sense of taste, such as "bitter", "sweet", "sour" and
"burnt", or even partially with the sense of touch, such as "pungent", "acrid", "acidic" and
"stinging". A useful rating system for characterizing odor quality is as follows:
a. Spicy: Conspicuous in cloves, cinnamon, nutmeg, etc.
b. Flowery: Conspicuous in heliotrope, jasmine, etc.
c. Fruity: Conspicuous in apple, orange oil, vinegar, etc.
d. Resinous: Conspicuous in coniferous oils and turpentine.
e. Foul: Conspicuous in hydrogen sulfide and products of decay.
f. Burnt: Conspicuous in tarry and scorched substances.
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Intensity
Intensity is the indication of the strength of an odor. The average observer can be
expected to distinguish three levels of intensity, characterized as weak, medium and strong.
A more useful odor intensity rating system is as follows:
a. No detectable odor.
b. Odor barely detectable.
c. Odor distinct and definite; any unpleasant characteristics recognizable.
d. Odor strong enough to cause attempts at avoidance.
e. Odor overpowering; intolerable for any appreciable time.
This system depends on observation and reporting of behavior, more that on subjective
impressions of the complainant. The fact that a person desperately attempts to avoid a strong
an unpleasant odor is a clear and verifiable indication of its intensity. Odor intensities
classified as distinct or stronger may be particularly relevant in establishing the existence of
a legal nuisance.
On the other hand, scientific purposes require an odor rating system that does not
depend so heavily on the objectionable character of an odor, as follows:
a. No odor.
b. Very faint.
c. Faint.
•d. Easily noticeable.
e. Strong.
f. Very strong.
This system has the advantage of distinguishing the intensity parameter from the
acceptability parameter in a more definite manner.
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Acceptability
An odor may be classified as either acceptable or unacceptable depending on its
intensity and quality. Odors normally considered as pleasant, such as flower fragrances and
perfumes, may become unacceptable at very high concentrations (i.e., at very high
intensities). Obnoxious odors may be unacceptable at much lower concentrations, where
they are not clearly recognizable.
Pervasiveness
The parameter of pervasiveness refers to the tendency of an odor to resist being
dissipated by dilution. Precisely speaking, then, pervasiveness is related to the nature of the
odorant and can only be quantified by dilution experimentation in the laboratory. In a more
practical sense, a highly pervasive odor will tend to be detectable over a larger area and for a
longer period of time and will likely be easier to track than a less pervasive one.
Determinants of Odor Perception
Although odor is a property of an odorant, the report of a perceived odor is mediated
by the nervous system and the brain of the observer. Therefore, differences in reports of
odor perceptions may be due partly to differences in the physical conditions of exposure and
partly to differences in the physiological and psychological status of the observer. To aid
interpretation of odor evaluations, the following parameters should be included in an odor
report:
•Identity of odorant(s)
•Concentration(s) of odor(s)
•Ambient conditions
•Status of observer
Techniques for the quantification and measurement of odors are presented in the following
section. The relevance of the remaining parameters to problems of odor evaluation are
discussed in this section.
Identity of Odorant
For the skilled observer, odor terminology is meaningless without actual exposure
through odor training. To be prepared to make quick and accurate identifications, the
inspector should be exposed to samples of typical odorants found in local industries. There
is no substitute for this training. Verbal descriptions of odors do not implant as vivid an
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imagery in the mind as do descriptions of visual or auditory phenomena. Properly trained,
the inspector can often identify the cause of an odor problem by his or her own field
investigation, even when the complainants are uncertain as to the nature or origin of the
odor. Some common odorants and sources and their usual perceptions are as follows:
I Complaint Identification |
Rotten eggs H2S
Rotten cabbage Mercaptan
Natural gas Mercaptan
Dead fish Di-methylamine
Outhouse Amines
Rotten odor Rendering
Scorched popcorn Grain drying
Coffee Coffee roasting
Bleach Chlorine
Ammonia Ammonia
Phenol Phenol
As stated-earlier, one difficulty that arises in trying to associate particular odorants
with their odors is that the chemical identities are not always known and they frequently
consist of mixtures of odorants. In some cases, odors caused by mixtures may vary in their
proportions under different conditions of production; these variations can lead to changes in
perceived odor quality, but usually within some limited range which does not prevent
recognition by a trained observer. Recall also that odor quality may change with dilution. In
mixtures of odorants this may be due to a difference hi pervasiveness of the individual
compounds; however, single odorants sometimes behave similarly.
Ambient Conditions
Changes in ambient conditions can influence odor perceptions and should be included
in an odor report Increasing humidity decreases perception; however, high humidity may
tend to concentrate odorants in an area, causing increased levels. Also, changes in
atmospheric stability and wind speed affect dilution and may influence the inspector's
evaluation of odor quality. Finally, the perception of odor intensity is sometimes influenced
by ambient temperature, with intensity perception decreasing with decreased temperature.
Status of Observer
The principal parameters of observer status which are relevant to odor evaluation are
sensitivity, expertise, and physiological and psychological conditioning. The sensitivity of
observers for any given odor varies widely, and the relative sensitivities of two observers
-------
vary inconsistently for different odors. Furthermore, independent observers often disagree
substantially regarding odor quality, particularly when evaluating odors of mixed odorants.
For these reasons, statistical evaluations using panels of observers are more likely to provide
reliable results than evaluations by individual observers.
Expertise can be developed through study and training, although it is necessarily
limited by the physiological sensitivity of the observer. With respect to quality, expertise
consists in the ability to recognize and discriminate between a number of odorants, either
singly or in mixtures. Relative to intensity, expertise permits reliable discrimination between
a large number of graded levels of intensity. Thus, a trained person can detect a smaller
percentage difference in concentration levels of a given odorant than an untrained individual.
One problem of physiological origin in the evaluation of odors is fatigue of the
olfactory nerves, which tends to diminish the sensitivity of the observer. The effect is
especially noticeable after prolonged exposure to a rather high intensity of odor, and may
seriously complicate the conduct and interpretation of odor threshold determinations in the
laboratory. In addition, colds and other infections of the nasopharyngal tract can cause
serious, if temporary, interference with the sense of smell and result in loss of sensitivity to
many odorants. For observers in an odor panel, a preparation of a standard odor can be
useful in checking on these variations in sensitivity.
Measurement of Odor Intensity
The odor threshold concentration is the basis for determining the intensity of a
perceived odor, although ambient conditions and observer status may cause appreciable
variations. Odor thresholds for a few compounds are shown below:
Chemical
Acetic acid
Acetone
Tri-methyl amine
Ammonia
Carbon disulfide
Chlorine
Di-phenyl sulfide
Formaldehyde
Methanol
Phenol
Threshold
ppm by volume
1.0
100.0
0.0021
46.8
0.21
0.314
0.0047
1.0
100.0
0.047
Description
Sour
Chemical
Fishy; pungent
Pungent
Vegetable sulfide
Bleach; pungent
Burnt; rubbery
Hay or strawlike
Sweet
Medicinal
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These data show that the volume of odorant needed to cause threshold levels varies widely.
For example, when ammonia and di-phenyl sulfide samples are each diluted with an equal
volume of air, the volume of ammonia required to reach the odor threshold would be 10,000
times the volume of di-phenyl sulfide required.
When an odor is caused by a single odorant it is relatively simple, conceptually at
least, to measure the ambient concentration and compare the result to the published odor
threshold as an indication of relative intensity. A similar result can be obtained for mixed
odorants by obtaining a sample of odorous atmosphere or exhaust stream and dilute the
sample with odor free air until a threshold is determined by a panel of observers or a single
trained observer. In this manner, a relatively objective value for the "dilution factor" can be
obtained. Dilution factor is defined as the ratio of the diluted volume at the threshold to the
original sample volume.
For the trained observer, threshold is the point at which the perception of odor just
begins. When a panel is used, threshold is determined by plotting, on log-probability
coordinates, the percentage of the panel indicating positive odor responses vs. the dilution
factor of the prepared samples presented to the individual panel members. The resulting
curve tends to follow a straight line and the point where the plotted line crosses the 50%
panel response ordinate is the threshold concentration. The dilution factor at the threshold is
the odor concentration expressed in odor units per cubic foot. An odor unit is defined as the
amount of odor needed to contaminate one cubic foot of odor free air to the threshold, or
barely perceptible, level.
Any procedure which permits sampling of the odorous air, diluting it with a
measured amount of odor-free air and presenting the diluted mixture to a panel of observers
or a trained observer is satisfactory for determining dilution factor. The calculations are
quite simple:
Sample volume + Odor-free volume
Odor strength in odor units/cubic foot = Sample volume
Example:
Odorous + Odor-free = Mix
5 ml + 95 ml = 100 ml
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95ml = 20 odor units/ cubic foot
, 1
5 ml 5
If a trained observer judged the above mix to be at threshold, then the original sample would
have 20 odor units per cubic foot. If a panel had been used and the 50% response ordinate
intersected the plotted response line at a dilution factor of 20, then the original sample would
have an odor concentration of 20 odor units per cubic foot.
An odor emission rate in odor units per minute can be determined by multiplying the
dilution factor times the stack flow rate in cubic feet/minute. This number could then be
used in modeling input to evaluate expected ambient concentrations. Areas with predicted
concentrations above 1 odor unit/cubic foot would be of concern.
Example:
A source with an odor concentration of 20 odor units/cubic foot and a flow rate of
10,000 cubic feet/minute would have an emission rate of:
20 odor units 10000 cubic feet _ 200000 odor units
cubic foot x minute ~ minute
Emission inventory information can also be compiled in terms of odor units.
Sampling for Later Evaluation
To confirm field estimates of odor intensity or to determine odor removal efficiency
of control equipment, inspectors may collect samples of odorous gases of low moisture
content using a glass probe connected by a clamped ball and socket joint to a gas collection
tube (e.g., a 250 ml MSA sample tube) as shown in Figure 12-1. The odorous gas is drawn
into the tube by a rubber squeeze bulb evacuator. Rubber or plastic tubing or other
absorptive or heat sensitive materials should not be used on the probe side of the sample
tube. Sampling problems that must be dealt with include: (1) condensation and cooling,
which may result in the selective removal of odorants from the vapor phase; (2) adsorption
of odorants onto the walls of the container and onto particles in the sample; and (3) chemical
changes that occur after sampling which may alter the odorant
For gases with high moisture content, such as may be found in steam plumes,
precautions are required to prevent condensation of water vapor and possible absorption of
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odorants into the liquid. This can be achieved by using a syringe and hypodermic needle to
aspirate a smaller sample into the sample tube, previously filled with odor-free air. A system
of this sort is also illustrated in Figure 12-1. A capillary probe may be used to minimize
error due to dead space in the probe. A test kit convenient for field use consists of six 250
ml sample tubes, a hand aspirator and several probes of glass tubing with ball joints for
attachment to the sample tubes. A special capillary probe and syringe with hypodermic
needle for sampling gases of high moisture content may also be included.
Dilution Techniques
Dilution techniques are applicable both to the inspector in making field observations
and to the laboratory investigating team in providing for evaluation by odor panels. In field
use, ambient air may be tested with the aid of a portable dilution device, such as the
scentometer shown in Figure 12-2. This device is actuated by inhalation of the operator, thus
dispensing with pumps and the need for electrical power sources. Holes which can be
opened or closed with the fingers permit precalibrated dilutions of the ambient air stream
with air which is simultaneously deodorized by an activated charcoal filter. A useful feature
is that the observer can combat the effects of olfactory fatigue by breathing only deodorized
air for a period prior to an actual test
Various devices, constructed on similar principles, have been used for dilution of
odorants for laboratory evaluation; however, because of its simplicity, the method of choice
is often the syringe technique. The odorous gas is displaced from the sample tube (for
example, by mercury displacement) into a large graduated syringe, which is diluted by
addition of odor-free air. Further dilutions are easily managed by the use of additional
syringes, as illustrated in Figure 12-3. The last dilution, usually 10 to 1, is performed by the
panelist, who is furnished with 10 ml of sample injected into a 100 ml syringe. The sample
is diluted to 100 ml with odor-free air before sniffing it, and a positive or negative result as
to detection of the odor is recorded.
Despite the ease of application of the syringe method, dynamic olfactometry and
forced triangle odor evaluations are the methods of choice when accurately establishing odor
thresholds. Dynamic olfactometers mix control air with odorous sample gas and distribute it
to odor panel members. The most accurate versions have thermal mass flowmeters,
automatic valving and a microprocessor to control variable odorant and clean dilution air
inputs. With these systems, dilutions are more accurate and reproducible than is possible
with manually adjusted valves and flowmeters.
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In forced triangle olfactometry, odor panelists are presented with multiple
concentrations of the odorant, usually beginning with a concentration selected to be below
the odor threshold and then increasing with each step. At each concentration, the panelist is
presented with a triangle consisting of one odorant-containing sample and two controls
containing odor-free air, from which a choice must be made.
For confirming the identity of suspected odorants or for quantitative determination of
concentrations of identified odorants, gas chromatography or gas chromatography/mass
spectrometry can be performed, using samples no larger than those necessary for the
organoleptic evaluation.
Determining Sources Responsible for Odors
The possibility of instituting quick, effective action to control odors when complaints
arise depends, to a large extent, on the inspector's knowledge of the odor potentials of the
various industrial and other sources within the community. A simple odor patrol is probably
the best indicator of existing or potential nuisance from odorous discharges. This consists of
a regular periodic patrol around selected plants or in selected areas, documented by notes as
to observed odors and indications of time, location and wind direction. Special patrols for
complex industries, such as refineries and chemical plants, may be assigned to personnel
specially trained for them and cognizant of the particular activities which have odor
potential. A record of these patrols is also useful in indicating where odor control efforts are
most required.
In a routine inspection of an industrial plant, the normal air pollution configuration is
often tracked from cause to effect, i.e., from the inputs to the process to the effects of any
escaping contaminants on receptors and the environment The tracing of an odor problem is
usually just the reverse of this procedure. The investigation begins with the complainant and
his or her environment and works back to the equipment responsible, typically using the
following steps:
a. Interview complainants to obtain as much factual information as
possible as to the intensity, evidence and source of the contaminant.
b. Identify the contaminant causing the nuisance.
c. Track the contaminant to its source or sources.
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d. Inspect equipment at the source to determine capacity to emit the
contaminant
e. If appropriate, serve notices of violation to the source or motivate
plant management to remedy the situation.
f. If appropriate, collect signed district attorney affidavits or other
official forms from complainants who may testify hi court.
In an odor nuisance, the inspector must establish the existence of two areas: the
effect area—that area over which the nuisance exists; and the source area—that area which can
be assumed by logical tracing techniques to contain the specific source or sources of the
nuisance contaminant. The determination of a source area is often a first step in isolating the
exact source and cause of the nuisance, especially in those cases where the specific source is
difficult to establish initially.
Odor Transport
Odor Transport has several characteristics which should be recalled hi field
investigations.
a. Odor flows downwind from source to receptor.
b. Transport from a vent or chimney is in a plume similar to a visible
paniculate plume.
c. Meteorology is favorable for transport with little dilution during the
evening hours.
d. In unfavorable meteorology, odors can travel long distances.
e. Odors are dissipated by dilution, therefore their quality may change
from source to receptor.
f. Odors leave no residual effects.
Determining Air Flow from Source
The fundamental requirement in an odor investigation is to establish the direction of
flow of air masses from a source in order to establish responsibility or to determine relative
contributions to the problem. This procedure is known as source tracking and is applied
12-13
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when the source of the nuisance is unknown. The approach involves determination of wind
direction and velocity for the purpose of triangulating the source location.
Only two vectors are required for source triangulation. These are established by
determining affected locations and prevailing wind directions during separate nuisance
events. By convention, wind direction is always stated in terms of the direction from which
the wind is blowing. Wind direction can be determined from flags, steam or smoke plumes,
finger-wetting or with a small hand-held instrument
The interview with the complainant should also attempt to establish wind direction at
the time of the event When the problem is recurring, the inspector should instruct
complainants and other observers to maintain a record of occurrence time, duration, intensity
and wind direction. If this is not possible, the investigator should attempt to estimate the
time the contamination is likely to occur, so that a site-visit can be scheduled.
Wind Vector Measurement
A conclusive determination of air flow movement can be made by conducting wind
vector measurements. The procedure involves the release of a small balloon inflated to
about six inches diameter with helium from a portable tank. The release takes place from a
position approximately on the center line of the odor plume, downwind from the source.
The balloon is released and its travel in the plume is tracked by sighting with a hand-held
compass. By using a bright yellow color for the balloon, the tracking can be done at night
with a flashlight The wind vector is recorded and later plotted on the survey map. Odor
observations are made downwind and upwind of suspected areas or sources, and the presence
of odor is also indicated on the map. By repeating the tracking process with different wind
directions, the source can be located by triangulation. It should be noted that this technique
should not be employed in waterfowl areas or in any locations where the balloons might be
ingested by wildlife.
Recording Odor Surveys
In complex cases, the following tracking results are recorded on a map, as shown in
Figure 12-4:
a. Location of complainants and distances from possible sources.
12-14
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b. -Plant source layout showing principal types of equipment which may
be involved.
c. The number and frequency of complaints, as well as the duration and
time of day.
d. Observations by inspectors at various points to fill in gaps in the data.
e. The tracked contaminant routes and triangulation vectors.
f. Wind roses or other indications of wind direction.
Relating Source Strength to Control Requirements
In correcting an odor problem, the contaminants responsible for an odor should be
controlled so that threshold levels are never reached in the outdoor atmosphere of the
community. Some industries incorrectly assume that they will have no odor problems,
because they consider their own discharges to be unobjectionable or even pleasant.
However, the presence of any odor which persists and is not normally associated with the
daily routine of living will be a source of annoyance to the neighborhood. Complaint
records show that this applies to such comparatively acceptable odors as those of baking
bread and roasting coffee; therefore, it is wise to consider any odor as potentially
objectionable.
Odor evaluations of source samples provide estimates of odor concentrations which
can serve as guidelines in the development of control methods. If a stack effluent is
normally diluted by a factor of 1,000 before it arrives at a breathing level in the surrounding
neighborhood, an discharge odor concentration of 1,000 odor units per cubic foot could be
considered to be on the verge of acceptability, while an odor concentration of 10,000 units
would require at least 90% control.
One application of odor measurement in improving neighborhood odors would be to
survey all the operations in a plant and determine the odor emission rate from each. Listing
such emissions together with estimates of costs for control can help management pick out the
largest odor sources (rather than the largest stacks or largest volume discharges) and
concentrate their efforts initially on those which are likely to provide the greatest
improvement per dollar of expenditure.
12-15
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Odor Control
The elimination of odors is the most important part of any odor problem. Air
contaminants responsible for an odor should be controlled so that threshold concentrations
are never reached in the outdoor atmosphere. This is accomplished by adopting any one of a
combination of control devices or techniques, such as direct or catalytic incineration,
adsorption on activated carbon or condensation. Such common-sense control methods as
general sanitation, refrigeration of animal tissue and improved maintenance and operational
procedures should also be applied where odors arise from plant housekeeping.
12-16
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References
Adams, D.F., and S.O. Farwell, "Sampling and Analysis", Chapter 2 in Air Pollution, ed. A.
Stern, Third edition, Volume VH, Academic Press, Orlando, 1986.
Dravnieks, A., W. Schmidtsdorff and M. Meilgaard, "Odor thresholds by forced-choice
dynamic triangle olfactometry: reproducibility and methods of calculation", JAPCA,
2& 900-905 (1986).
Graber, C.W., and P.M. Giblin, "Air Pollution Field Enforcement: Student Manual", EPA
450/2-80-075, March 1980.
Hesketh, H.E., and F.L. Cross, Odor Control, Technomic Publishing Co., Lancaster
(Pennslyvania), 1989.
12-17
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Method A
Hull & MK-kct joint (with clamp)
./g
Pyrex glass probe
MSA sample tube (250 ml) Rubber sijurr/c luilb ovat u;iior
Method B
Capillary glass tube (2 mm O.D.)
Hypodermic needle (18 guage)
MSA sample
tube (250 ml)
Medical syringe (10 ml)
Figure 12-1. Schematic diagrams of odor sampling apparatus. Method A is
used to collect samples low in moisture content, while Method B collects
samples high in moisture content. The latter method permits primary dilution
of odor sample in the field and minimizes condensation of vapors on the
surface of the sample tube.
12-18
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i N'wcpicccs
ILJL
Purified air
for dilution
_•;';•
*•
/ X
/ \
/ \
1
Odor
"»* '-"
* -:\
t'
1
*?
* '*/
•»";•
*— Charcoal bed
\ Purified air
for dilution
^^••f^Bi^—
ttt.
Odorous air
Graduated series
of orifices
Figure 12-2. Schematic of scentometer. Odorous air passes through
graduated orifices and mixes with air from the same source which is first
purified by passing through activated charcoal beds. Dilution rates are fixed by
the orifice selection.
Dilution
syringe
"D" Jt.
(100 ml)
Panel
member's
syringe
..p.,
(100 ml)
Figure 12-3. Equipment used for transferring and diluting odor samples.
12-19
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3 mph 1:30 p.m. M-R
2JS W. *
"B" Si reel
3 mph •
l.-«p.m/
M-R
M-R 2 mph
1:50 p.m.
M-R
.
6mp
5:*>
ML
"A" Siiret
3 mph
1 :30 p.m. ^
M-R 233 w"
2 mph
II-K 2 p.m.
231 Weii
b mph
12 Noon
NIL
V
0
4 mph
12:30 ;
L-R «L.
1S9 W *k
£
A
M
S
Legend
•*—Direction from which wind is blowing:
• Complainant's report
o Inspector's report
R Rendering odor
1. Lighi
M Moderate
II Heavy
S Horse stable odors
A Aluminum dross odors
5 mph
6:15 a.m.
Arrow Highway
5:00-7:00 p
Ace
Wrecking
Y»rd
Blimele«
Rendering
Ciiy of Onyx
Figure 12-4. Odor survey. Although possible malodorous industries are
centered between Onyx St. and End Road and along the Onyx Basin River,
reports and observations indicate that the Blameless Rendering Company is
the primary source of the odors. This finding is verified by the fact that
complaints are. reported in two time periods-from 11:00 am to 5:00 pm from
residents north of Arrow Highway and west of Onyx Street when the wind was
from the southeast and from 5:00 pm to 7:00 pm from residents In the area
around Oakwood Street south of Arrow Highway when the wind was from the
west. Inspection reports, operating data and point observations verify the
existence of a public nuisance at the Blameless Rendering Company.
12-20
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Chapter 13
Baseline Source Inspection Techniques
Goal
The purpose of this lesson is to familiarize the student with the air pollution control
system, the various types of air pollution control devices that are available and the
techniques that can be employed in conducting effective field inspections of this
equipment.
Objectives
At the end of this lesson, the student should be able to:
1. Name the six components of an air pollution control system.
2. Recognize different types of air pollution control devices by
outward appearance.
3. Generally describe how each air pollution control device functions.
4. State what form of contaminants each control device is typically
employed to remove.
5. Recognize what instrument readings and physical signs indicate
when control equipment may not be functioning effectively.
13-1
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Introduction
Control of air pollution emissions usually involves a system that employs several
components to accomplish its task. The system begins with the collection of
contaminants from the area of generation and continues through ductwork and assorted
system components until the cleaned gas stream is discharged through a vent or stack to
the outdoor air. In this chapter, a brief description of the various components of the air
pollution control system will be presented, along with a summary of recommended Level
2 inspection points.
Recall from Chapter 4 that Level 2 inspections involve an on-site evaluation of
the control system, relying on plant instruments for the values of any inspection
parameters. Since this is the most common inspection level employed, only its points will
be summarized here. For a detailed consideration of all inspection levels, the student in
referred to APTI Course 445, "Baseline Source Inspection Techniques".
Principles of the Baseline Method
During the period from 1970 to 1975, the majority of sources in the U.S. installed
pollution control equipment to satisfy recently promulgated regulations. Most of these
systems operated well initially; however, as they aged, operation and maintenance
problems began to emerge. The baseline inspection method was developed to provide
agency personnel with an aid to diagnosing these emerging problems. The ultimate goal
is to be able to identify deteriorating performance before non-compliance occurs and
restore collection efficiency to its original level.
The principles of the baseline inspection method are summarized as follows:
a. Every source and every control device is unique: Each control system
should be approached initially as if it performs in a manner
different from other similar systems on other similar sources. This
is important, because substantial differences in performance and
vulnerability to problems have been noted in a number of cases
where identical control systems have been installed on identical or
similar sources. With the baseline method, a symptom of potential
problems is simply a shift in a measured or observed parameter
from the value or condition it had when the source was known or
assumed to be in compliance. It should be noted that one symptom
is rarely used alone. Rather, a combination of symptoms is
analyzed to determine if there are potential problems.
b. On-site instruments are often unreliable or unavailable: If the
control device has operation and maintenance problems, it is very
likely that the instruments are also not working properly. Also,
particularly on smaller systems, a parameter of interest may not be
13-2
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measured. It is important that the inspector be aware of this
possible limitation and be prepared to either use less than desirable
data or to make the needed measurements with portable
instruments.
c. Counterflow inspection approach ensures that information of most
value is obtained first: In the counterflow approach, the inspection
begins at the stack and proceeds toward the source in a direction
counter to the gas flow. One of the main advantages of this is that
the scope of the inspection can be limited to specific conditions, if
any, which are symptoms of operating problems. Thus, process
equipment would be inspected only if it had been determined that
process changes were the likely cause of control system
performance shifts. In many cases, this approach will minimize
both the inspector's time and the inconvenience to operator
personnel.
d. Judgement of the inspector in the most important factor: Effective
inspection of air pollution control systems goes beyond simply
filling out a checklist. Because of the diversity of control system
designs and differences in the degree of maintenance, it is
important that the inspection procedure not be rigid. Maintaining
this flexibility requires the inspector to continually exercise
judgement, both in determining how to proceed with the inspection
and in interpreting the symptoms observed.
Components of the Control System
The components of an air pollution control system are as follows:
• Contaminant capture (hoods)
• Transport (ductwork)
• Gas stream cleaning (control devices)
• Air moving (fan)
• Instrumentation (controls and monitors)
• Other (gas cooling, chemical feeding, waste disposal, etc.)
These are usually divided into two groups: (1) the air pollution control device, and (2)
its ancillary equipment.
A typical air pollution control system is shown in Figure 13-1. The entrance is a
series of hoods located over operations which are the source of contamination. The
captured contaminants are conveyed through a branched ductwork system to the control
device, using dampers to control the flow from each hood. The fan draws the gas flow
13-3
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through the hoods, ductwork and control device and discharges it into a stack and on to
the atmosphere. Other components indicated are waste disposal and operating controls.
Inspection of the Ancillary Components
Contaminant Capture
The objective of this system component is to effectively capture the contaminants
being released from a source with minimum air flow into the system and minimum
pressure loss on entry. Optimization of both air flow and pressure loss reduces fan
horsepower and operating costs and the size and cost of the control device and its
ancillary equipment.
Level 2 Inspection Points
a. Capture efficiency: visual evaluation of fugitive losses as indicated
by escaping dust or refraction lines.
b. Physical condition: hood modifications or damage that could affect
performance; evidence of corrosion.
c. Fit of "swing-away" joints: evaluation of gap distance between hood
system and duct system on movable hoods.
d. Hood position/cross-drafts: location of hood relative to point of
contaminant generation; effect of air currents on contaminant
capture.
Transport
The duct system transports the contaminated gas stream between other
components in the control system. The design objective is to select duct and fitting sizes
that provide optimum conveying velocities while minimizing friction and turbulence
losses.
Level 2 Inspection Points
a. Physical condition: indications of corrosion, erosion or physical
damage; presence of fugitive emissions.
b. Position of emergency dampers: emergency by-pass dampers should
be closed and not leaking.
c. Position of balancing dampers: a change in damper positions will
change flowrates; mark dampers with felt pen to document
position for later inspections.
-------
d. Condition of balancing dampers: damper blades can erode,
changing system balance; remove a few dampers to check their
condition.
Air Moving
The purpose of the fan is to move the gas stream through the air pollution control
system. To do this, the fan must be sized for the proper air flow and must be able to
overcome acceleration and entrance losses at the hoods and friction losses in the
ductwork, the control device and other system components.
The fan may be positioned upstream or downstream of the control device. A
downstream fan position creates a negative pressure at the control device, drawing air in
through any cracks or openings and minimizing leakage of contaminants. However, if
the openings are excessive, in-leakage may diminish the required capture velocity at the
source, allowing emissions to escape. When the fan is located upstream of the control
device, a positive pressure is created that permits contaminants to escape through cracks
or holes in the casing or connecting ductwork.
Level 2 Inspection Points
a. Physical condition: indications of corrosion.
b. Vibration: indications of balance problems due to material build-
up or wheel erosion or corrosion; severely vibrating fans are a
safety hazard.
c. Belt squeal squealing belts under normal operation indicate a loss
of air volume.
d. Fan wheel build-up/corrosion: internal inspection of non-operating
fans.
e. Condition of isolation sleeves: check vibration isolation sleeves for
holes.
f. Rotation direction: check rotation direction with direction marked
on fan housing.
Instrumentation
Operating controls are important to the function of the air pollution control
system and may directly affect its performance. For example, changing the timing cycle
on a fabric filter cleaning system may cause pressure loss to increase, reducing the air
flow from the fan and allowing emissions to escape at the source.
13-5
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Level 2 Inspection Points
a. Physical condition: indications of excessive wear, obvious signs of
failure or disconnected controls.
b. Set-point values: changes in set-point values for temperature, pH,
rapping intensity, air pressure and other controllers may affect
system performance.
c. Timer settings: check for changes in cleaning cycle, chemical
delivery cycle and other timer settings.
d. Emission monitors: evaluate general condition and siting; have
operator check zero and span values; review historical data.
Other Components
There can be many other components in an air pollution control system, including
such items as chemical feed systems and catalyst regeneration units. A component
found with all of the dry collection devices is a dust handling system. This component is
responsible from removing the collected particles from the control device and conveying
them to the final disposal site. Common to such systems are a collection hopper, a dust
transfer valve and the piping or conveying equipment.
Many control systems capture gases that are too hot to introduce directly to the
control device. In these systems, a component for cooling the gases will be found. This
cooling may be accomplished by diluting the hot gases with cooler air, by evaporating
water into the hot gas stream or by radiation and convection to the atmosphere.
Level 2 Inspection Points
Solids handling:
a. Physical condition: indications of hopper corrosion or physical
damage; condition of level detectors, heaters, vibrators, insulation,
etc.
b. Discharge valve: check for presence and operating status and
indications of air leakage.
c. Solids discharge rate: rate of solids discharge should be reasonable.
Gas cooling:
a. Physical condition: indications of corrosion, erosion or physical
damage; presence of fugitive emissions.
-------
b. Outlet temperature: observe plant instruments to determine cooler
effectiveness; if controller is used, compare to set-point value.
c. Spray pattern/nozzle condition: indications of effective atomization
on evaporative coolers.
d. Water flowrate: observe plant flow meters or pressure gauges to
evaluate changes in water flowrate on evaporative coolers.
Classification of Air Pollution Control Devices
All control devices function to accomplish one of the following:
a. Separate contaminants from a gas stream and then remove them
without re-entrainment, either continuously or intermittently, to a
disposal system.
b. Change the contaminant from offensive to inoffensive.
c. A combination of both a. and b.
These control devices can be classified according to the contaminants they are
typically used to remove:
a. Particles only
• Settling chamber
• Cyclone
• Fabric filter
• Electrostatic precipitator
b. Particles, gases and vapors
• Wet collector
• Incinerator
c. Gases only
• Wet collector
• Adsorber
• Incinerator
d. Vapors only
• Condenser
• Incinerator
13-7
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Inspection of Control Devices
Settling Chambers
Settling chambers are relatively unimportant as air pollution control devices
because they are ineffective in efficiently separating all but the largest particles (>75 pm
diameter). They are seldom used separately, but may be seen occasionally as a pre-
separator ahead of a more efficient collector. Because of their relative unimportance,
no further discussion of these collectors will be given.
Cyclones
In a cyclone the dirty gas stream is directed into a cylindrical shell, either through
a tangential entry or through turning vanes. The result is a confined vortex in which
centrifugal forces drive the entrained particles toward the outside wall. Particles
successfully deposited slide down the wall and into a hopper, from which they are
removed through a dust discharge valve.
Cyclones can be constructed in either single or multiple configurations. Single
cyclones can be generally characterized as either high efficiency or high throughput (see
Figure 13-2). High efficiency cyclones have a narrow inlet opening in order to attain
high inlet velocity, a long body length relative to its diameter and a small outlet
diameter/body diameter ratio. High throughput cyclones, which are inherently less
efficient, have larger inlet openings, a shorter body length and larger gas exits.
Multicyclones have numerous small (typically 6-9 inch) diameter cyclone tubes in
parallel inside a single housing (see Figure 13-3). Each cyclone is mounted into a lower
"tube-sheet", which separates the in-coming dirty gas stream from the hopper level
below. The outlet tube from each cyclone extends up through the in-coming dirty gas
stream and into an upper tube-sheet that separates the dirty gas from the cleaned gas.
Cyclone efficiency is very sensitive to particle size, with performance
deteriorating rapidly for particles less than about 2-5 jum diameter. When particle size
distribution and gas flow rate are relatively constant, changes in pressure drop across a
cyclone provide a good indicator of changes in collection efficiency.
Basic Level 2 Inspection Points
a. Physical condition: indications of corrosion, erosion or physical
damage; open hatches; presence of fugitive emissions.
13-8
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b. Static pressure drop: increases may indicate plugging; decreases
may indicate erosion or corrosion; either situation decreases
efficiency.
c. Solids discharge valve: check for continuous movement of valve and
for continuous discharge of solids; check for air leakage.
Fabric Filters
Fabric filters remove particles by passing the contaminated gas stream through a
woven or felted fabric, usually in a cylindrical configuration. Depending on the direction
of gas flow, particles are deposited on either the inside or outside of the cylindrical "bag".
Initially, such forces as impaction, diffusion and electrostatic attraction are primarily
responsible for particle capture by the fabric fibers. However, as the dust coats the filter
and increases in thickness, direct sieving begins to dominate.
As the thickness of the dust-cake increases so does the pressure lost in moving
the gases across the filter. To keep pressure loss reasonable, it is necessary to
periodically clean the fabric. The three most popular cleaning methods are shaking,
reversing air flow direction and pulsing with compressed air.
A typical shaker-cleaning collector is shown in Figure 13-4. The dirty gas stream
enters into the hopper area and then moves across a tube-sheet into the inside of the
filter tubes. The gas stream passes through the filter, depositing the particle on the
inside. When it is time to clean the fabric, the collector is isolated from air flow and the
bag shaken by moving the supports from which the bags are hung. The dust drops into
the hopper where it is removed through a dust discharge valve.
The reverse-air cleaning collector is nearly identical in appearance to the shaker,
except the bags are hung from rigid supports. Cleaning is accomplished by isolating the
collector from the dirty gas flow and introducing clean gas flow in the reverse direction.
This reverse flow dislodges the dust and it falls into the hopper. At this point the
cleaning air is quite dirty, so it is ducted to an operating unit for cleaning. Thus, a
reverse-air collector requires a minimum of two units.
Figure 13-5 shows a typical pulse-cleaning collector. Cylindrical bags are
suspended from a tube-sheet located near the top of the collector, and the dirty gas flow
is directed into the outside of the bags and up through the center to the clean gas
discharge. Metal cages are placed inside the bags to prevent collapse. Cleaning is
accomplished by directing a pulse of compressed air into the top of the bag and against
13-9
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the dirty gas flow. This pulse momentarily dislodges the dust from the outside of the bag
and slowly works it down toward the hopper. Bags are usually cleaned a one row at a
time without isolating the collector from the dirty gas flow.
Basic Level 2 Inspection Points
a. Physical condition: indications of corrosion, erosion or physical
damage; open hatches or doors; presence of fugitive emissions.
b. Static pressure drop: increases may indicate bag cleaning problems
or higher inlet concentrations; decreases may indicate excessive
cleaning or lower inlet concentrations.
c. Clean-side conditions: check for presence of fresh dust deposits;
observe bag tension and general condition (Note: The clean side
should be observed from outside the collector. NEVER enter an air
pollution control device while conducting an inspection.).
d. Solids discharge valve: check for continuous movement of valve and
for continuous discharge of solids; check for air leakage.
Electrostatic Precipitators
Electrostatic precipitators remove particles from a contaminated gas stream by
employing the principle of attraction of opposite charges. The particles are charged in a
high voltage electric field created by a corona discharge electrode and are then attracted
to a collection plate of opposite charge (see Figure 13-6). When the particles reach the
collection plate they slowly lose their charge through conduction, ideally retaining just
enough charge to hold the particles to the plate but not so much that it inhibits further
deposition or makes removal difficult. Periodically, the plate is vibrated or rapped and
the dust drops into the hopper.
The electric field is powered by direct current supplied from transformer-rectifier
(T-R) sets mounted on the roof. Each T-R set serves one or two fields or electrical
sections. Efficiency of collection is usually highest when the voltage is highest. Most
industrial ESPs operate with a negative corona because of its stability under high voltage
conditions. Peak performance is indicated by the beginning of sparking from electrode
to plate.
The plates are generally rapped by hammer mechanisms mounted outside on top
of the housing. In some designs the rappers are located inside the housing and can not
be seen by the inspector. Also located on top of the housing will be vibrator units for
keep the discharge electrodes clean.
13-10
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The electrostatic precipitator looks very much like a fabric filter, i.e., a large box-
shaped structure with hoppers beneath it. However, the ESP is distinguished by the
rapping mechanisms and transformer-rectifier sets mounted on top of the housing and
by inlets/outlet locations that are generally on the ends (see Figure 13-7).
Basic Level 2 Inspection Points
Because of the potential electrical hazard associated with an ESP, the inspector
should confine the inspection to evaluation of visible emissions, evaluation of
transmissometer data and evaluation of electrical data. If there has been no major
change in the opacity and no major change in the electrical conditions, then it is assumed
that there has been no major change in performance since the baseline period.
Wet Collectors
Wet collectors remove contaminants from a gas stream by transferring them to
some scrubbing liquid. For particles larger than about 1 ^im, the dominant separation
mechanism is impaction onto liquid droplets or wetted targets. For sub-micron particles
and gases, the dominant mechanism is diffusion to liquid surfaces. Because of
incompatible requirements, wet collectors are generally designed to perform as either a
particle or a gas collector. Simultaneous collection of both particles and gases is usually
possible only when the gas has a very high affinity for the scrubbing liquid.
Contacting the contaminated gas stream with the scrubbing liquid is only the first
stage of a wet collector. Because the contact phase usually results in liquid entrained in
the gas stream, the second stage is some type of liquid-gas separator. Common
entrainment separators include chevron baffles, mesh pads and single-pass cyclones.
Contactors producing large droplets may only require a little low-velocity head-space to
allow the droplets time to settle back into the unit.
The almost endless variety of wet collectors makes it difficult to include all types
and varieties in one discussion. To illustrate the range of designs and performance
levels, four types of scrubbers will be briefly described: (1) a spray tower, (2) a tray
scrubber, (3) a countercurrent packed tower and (4) a venturi scrubber.
Spray tower
A simple spray tower is illustrated in Figure 13-8. The dirty gas stream enters at
the bottom of the scrubber and flows upward at velocities between 2 and 10 feet per
second. The liquid enters at the top of the unit through one or more spray headers, so
13-11
-------
that all of the gas stream is exposed to the sprayed liquid. A spray tower has only limited
particle removal capacity, and is generally selected for applications where the particles
are larger than about 5 Atm. They can be effective gas absorbers if the contaminant has a
moderate affinity for the liquid.
Tray scrubber
A tray scrubber (see Figure 13-9) can also be used for both particle and gas
collection. The gas stream again enters at the bottom and passes upward through holes
in the trays. The liquid enters at the top and cascades across one tray and then flows
down to the next. An overflow weir is used to maintain a liquid level on each tray.
Variations in tray design include the placing of assorted "targets" above each hole to
enhance the scrubbing action. The tray scrubber is an effective collector of particles
larger than about 1 £tm and can be an effective gas absorber when the contaminant has a
moderately low affinity for the liquid.
Packed tower
This type scrubber is used primarily for gas absorption because of the large
surface area created as the liquid passes over the packing material. The beds can be
either vertical or horizontal. The most efficient arrangement is the vertical
countercurrent packed tower shown in Figure 13-10. The gas stream again enters at the
bottom and passes upward through the packing. The liquid is sprayed from the top and
flows downward in a thin film over the surface of the packing. The packed tower is an
effective gas absorber when the contaminant has a low affinity for the liquid.
Venturi scrubber
A conventional venturi scrubber is shown in Figure 13-11. The dirty gas stream
enters a converging section and is accelerated toward the throat by approximately a
factor of ten. The liquid is injected into the scrubber just beyond the entrance to the
throat, where it is shattered into droplets by the high velocity gas stream. Particles are
collected primarily by being impacted into the slower moving drops. Following the
contactor is usually a single-pass cyclone for entrainment separation. The venturi
scrubber is an effective collector of particles down into the sub-micron range,
comparable in performance to the fabric filter or ESP, and can be an effective gas
absorber when the contaminant has a moderately high affinity for the liquid.
13-12
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Basic Level 2 Inspection Points
a. Physical condition: indications of corrosion, erosion or physical
damage.
b. Static pressure drop: increases may indicate plugging problems or
excessive liquid rate (venturi only); decreases may indicate erosion
or partial tray collapse or a reduction in liquid rate (venturi only).
c. Inlet liquid pressure: provides an indirect indication of the liquid
flow rate and nozzle condition; increases may indicate nozzle
pluggage and lower flow rates; decreases may indicate nozzle
erosion and higher flow rates.
d. Liquid turbidity and settling rate: low settling rate indicates fine
solids; high settling rate indicates coarse solids.
e. Droplet re-entrainment: droplet rainout or a mud-lip on the stack
indicates a significant demister problem.
Adsorbers
Adsorbers remove gaseous contaminants from an air stream by transferring them
to the surface of some high surface area solid adsorbent. In air pollution control
systems, they are typically employed to remove volatile organic compounds using
activated charcoal as the adsorbent. Adsorption is most effective when the system
temperature is about 75°F and the compounds have molecular weights between about 45
and 200.
A typical multi-bed adsorption system is shown in Figure 13-12. Here, the left
two beds are on line and contaminated gas is passing verticaDy down through each unit.
As the system continues to operate, the on-line beds approach saturation with the
contaminants and must be taken off line for cleaning to prevent breakthrough of the
organic contaminant. This condition is represented in the right-hand unit.
The most popular cleaning method is to introduce low-pressure steam into the
bottom of the bed to raise its temperature and cause the contaminants to desorb from
the carbon. The mixed stream of organic vapor and steam coming from the bed is
condensed and the solvent recovered by decanting or distillation. Following desorption,
the bed is allowed to cool and dry before being put back on line.
Basic Level 2 Inspection Points
a. Physical condition: indications of corrosion or physical damage.
13-13
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b. Adsorption/desorption cycle times: an increase in the interval
between bed cleanings could mean breakthrough is occurring-
c. Steam pressure and temperature during desorption: a decrease in
steam pressure/ temperature could indicate less than needed steam
flow for regeneration.
Incinerators
Incinerators remove gaseous contaminants from an air stream by oxidizing them
to compounds not considered to be contaminants. The two most common types of
incinerators are:
a. Direct-fired or thermal units, which are refractory-lined chambers
with a gas or oil burning apparatus plainly visible (see Figure 13-
13).
b. Catalytic units, which have the appearance of a duct heater and are
more highly instrumented (see Figure 13-14).
In both thermal and catalytic units, the principal parameter for indicating
efficiency is temperature, the value of which is dictated by the characteristics of the
contaminant to be oxidized. In thermal units, the minimum outlet temperature is
considered to be 1300°F, with most systems operating in the 1500-1800°F range.
Catalytic units are generally designed for a bed inlet temperature of 700-90CFF.
Basic Level 2 Inspection Points
a. Physical condition: indications of corrosion or physical damage;
indication of air infiltration.
b. Outlet temperature: decreased temperature may mean reduced
VOC destruction efficiency.
c. Temperature rise across catalyst bed: decreased temperature rise
may mean reduced VOC destruction efficiency.
Condensers
Condensers remove vaporous contaminants from a gas stream by cooling it and
converting the vapor into a liquid. In some instances, control of volatile contaminants
can be satisfactorily achieved entirely by condensation. However, most applications
require additional control methods. In such cases, the use of a condenser reduces the
concentration load on downstream control equipment. The two most common types of
condensers are:
13-14
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a. Contact or barometric condensers, where a direct spray contacts
the vapors to cause condensation (see Figure 13-15). The liquid
leaving the condenser contains the coolant plus the condensed
vapors.
b. Surface condensers, such as the shell-and-tube heat exchanger (see
Figure 13-16). This device consists of a shell into which the vapor
stream flows. Inside the shell are numerous small tubes through
which the coolant flows. Vapors contact the cool surface of the
tubes, condense and are collected without contamination by the
coolant.
Basic Level 2 Inspection Points
a. Physical condition: indications of corrosion or physical damage.
b. Outlet temperature: increased temperature may mean reduced
condensation efficiency.
c. Inlet liquid pressure: provides an indirect indication of the liquid
flow rate and nozzle condition; increases may indicate nozzle
pluggage and lower coolant flow rates; decreases may indicate
nozzle erosion and higher flow rates (contact-type only).
d. Liquid turbidity and settling rate: high settling rate indicates coarse
soh'ds that could plug nozzles (contact-type only).
e. Droplet re-entrainment: droplet rainout or a mud-lip on the stack
indicates a significant demister problem.
13-15
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References
Gruber, C.W., and P.M. Giblin, "Air Pollution Field Enforcement: Student Manual",
EPA 450/2-80-075, March 1980.
Richards, J., "Air Pollution Source Field Inspection Notebook", Revision 2, USEPA,
APTI, June 1988.
Segal, R., and J. Richards, "Inspection Techniques for Evaluation of Air Pollution
Control Equipment", Volume II, EPA-340/l-85-022b, September 1985.
13-16
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I
Contaminant
removal
Figure 13-1. Typical air pollution control system
High efficiency High throughput
Figure 13-2. Single cyclone collectors
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Figure 13-3. Multi-cyclone
13-18
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Clean air
outlet .
Dirty air
inlet
Clean air
side
Filter bags
Cell plate
Figure 13-4. Shaker cleaning fabric filter
13-19
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Figure 13-5. Pulse cleaning fabric filter
13-20
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Charging field
High-voltage
discharge
electrode < -)
Charged (-)
particles
Collecting
baffle
Grounded (+)
collecting surface
Discharge
electrode
tension weight
Figure 13-6. ESP collection schematic
Rappers
Collection
electrode
Discharge electrode
Figure 13-7. Electrostatic precipitator
13-21
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Clean gas
Dirty gas
Figure 13-8. Simple spray chamber
13-22
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Clean gai
Plates
Dirty gas
Detail of plate
Figure 13-9. Tray scrubber
-------
Clean gas
Mist eliminator
*'.f.*% Dirty gas
Figure 13-10. Countercurrent packed tower
13-24
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Clean gas
Water sprays
Figure 13-11. Conventional venturi scrubber
13-25
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Adsorbers on stream
Adsorber
Regenerating
Clean air
exhaust
Figure 13-12. Activated carbon adsorber
13-26
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Refractory lined
steel shell
Gas burner
piping
Refractory ring baffle
Inlet for contaminated
airstream
Burner
block
Figure 13-13. Direct-fired incinerator
Heat exchanger tubes
Catalyst
Figure 13-14. Catalytic incinerator
13-27
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Mist eliminator
Spray nozzles
Figure 13-15. Contact condenser
13-28
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Removable
channel •
cover
Reversing channel
Baffles
Inlet
channel
Figure 13-16. Surface condenser
Removal >le
channel
cover
13-29
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Chapter 14
Inspection Safety
Goal
The purpose of this lesson is to describe means of minimizing risk through adherence to
safety procedures.
Objectives
At the end of this lesson, the student should be able to:
State the general rules for minimizing the risk of potential hazards.
1.
2.
State the general safety procedures to be adhered to while conducting
an inspection.
3. Minimize the risks to health and safety associated with:
Walking and climbing hazards
Eye and hearing hazards
Electrical hazards
Explosions
Burns
Inhalation hazards
Heat and cold stress
Skin absorbable chemicals
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Introduction
The performance of any field inspection always involves a certain degree of risk. It is
the objective of this lesson to briefly describe means of minimizing this risk through
adherence to safety procedures. Procedures are presented for most common health and
safety problems encountered by inspectors. Individuals requiring additional information are
referred to APTI Course 446, "Inspection Procedures and Safety".
General Considerations
The inspection of any industrial facility inherently involves a large number of
potential health and safety problems which occur frequently. Therefore, the inspector must
be constantly alert in order to avoid potentially hazardous situations.
Inhalation hazards are often created by leaks of pollutant laden gases out of worn
expansion joints, cracked welds and corroded shells of process equipment. The sudden
downdraft from nearby stacks and vents can also lead to acute exposures. Partially confined
areas can allow high concentrations of toxic materials to accumulate, even when the leak
rates are comparatively small. Most of the high pollutant concentrations occur by accident
and without the knowledge of plant personnel. The highly variable conditions make any
exposure monitoring data highly questionable. These problems complicate the selection of
the proper respirator for these conditions.
The elevated and isolated locations of many types of process equipment also
increases the safety risk. It may be necessary to climb permanent or portable ladders to
reach the equipment. In some cases, the equipment can only be reached by crossing roofs
or elevated walkways. Since these portions of the plant are not regular work areas, even the
plant personnel may not be aware of some of the potential problems involved with the
ladders and roof areas. Frequently cables, hoses and debris are found along the elevated
platforms and roofs since plant personnel do not remove this material. Injuries which occur
in these portions of the plant can be very serious. Rescue of injured personnel is difficult
and time consuming due again to the isolated and elevated locations of the control
equipment.
Due to the numerous potential hazards, it is very important that each innspector
adhere to established safety policies and procedures. It is also necessary that the inspector
recognize unusual and extreme conditions which warrant additional or extreme safety
precautions.
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To minimize the risk of potential hazards, each inspector should follow the general
rules summarized below:
a. The work should be halted immediately when the inspector suffers any
non-specific symptoms of exposure. The area should be approaced
again only after the proper personal protective equipment has been
obtained.
b. The work should be conducted at a controlled pace.
c. If the work cannot be accomplished safely, it should be postponed until
the appropriate steps are taken to permit safe inspection.
d. Nothing should be done which risks the health and safety of the
inspector or plant personnel or which risks the condition of plant
equipment.
e. All agency and plant safety requirements must be satisfied at all times.
General Safety Procedures
The following general procedures should be adhered to while conducting an
inspection:
a. Personal protective equipment: inspectors should bring personal
grotective equipment necessary to conduct the inspection of the
icility. All personal protective equipment should be in good working
order and the inspector using it should be trained in its use and
limitations.
b. Unaccompanied inspections: the inspector should request the
accompanyment of a responsible plant representative at all times. The
plant representative can identify areas known to be unsafe and can
warn the inspector about intermittent plant operations which can
result in health and safety risks.
c. Warning codes and sirens: the inspector should learn the warning codes
and sirens used at the plant to indicate emergencies. The inspector
and plant representative should move to a safe location as rapidly as
possible after hearing the warning sirens and report to the appropriate
authorities so that no attempt is made to "rescue" them from the
affected area.
d. Personnel rescue: if an inspector observes another individual who has
suffered an accident, help must be summoned immediately.
Attempting to rescue the person can jeopardize the rescuer unless the
proper procedures are used. Rescue should be attempted only if the
proper equipment is available to ensure the safety of the rescuer.
e.
Inclement weather conditions: except in the case of public health
emergencies, field activities should be interrupted or postponed
whenever severe weather conditions present a significant safety risk to
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the inspector. The specific criteria for interrupting or postponing the
field activities should be determined by each office. As a general
guideline, work should be delayed whenever the effective ambient
temperature is less that -20°F or greater than 100°F, when the wind
speed is greater than 25 mph and whenever there is sleet or freezing
rain.
Walking and Climbing Hazards
Inspectors should wear hard hats at all facilities being inspected. These hats provide
protection against collision with overhead beams and protruding obstacles and also provide
limited protection against falling objects. Inspectors should also wear safety shoes approved
for the specific type of facility being inspected and gloves whenever the inspection will
involve climbing of ladders or handling of hot surfaces.
Portions of the facility with potentially slippery surfaces should be avoided to the
extent possible. Inspectors should not use temporary walkways such as planks and
horizontal ladders. Also, before walking on elevated catwalks, the inspector should confirm,
to the extent possible, that the supports are intact and have not corroded or rotted.
Accumulation of solids and snow can easily exceed the rated load bearing capacity of
roofs. Also, portions of the roof can be made of materials with only limited load bearing
capability. For the above reasons, all roofs and other elevated, horizontal surfaces should
be approached cautiously. It is recommended that inspectors follow plant personnel in such
areas and that they remain on defined walkways.
The foot rungs should be grasped while climbing any ladder, even when the rungs are
wet or muddy. Under no circumstances should an inspector attempt to climb a ladder
covered with ice or snow. Both hands must always be free for climbing ladders.
Only portable or fixed ladders in good physical condition should be used. Portable
ladders should be inclined on an angle to minimize the chances of slippage or toppling and
must extend above the surface being reached by a minimum of 3 feet. The cage (if present)
must have an opening ranging from 18 to 24 inches at the top. The cage should not be
severely distorted since this would prevent easy movement inside. The ladder must have at
least 9 inches clearance between it and where it is attached, to allow secure placement of the
feet on the rungs, and it should extend at least 3 feet above the platform or surface being
reached. Finally, guard rails should never be used for climbing.
-------
While walking through the plant, the inspector must-be alert for protruding obstacles.
Often these are difficult to spot in dimly lit portions of plants. Loose clothing should not be
worn when conducting an inspection since this can result in entrapment in rotating
equipment. Inspectors must be cautious when in the vicinity of all rotating equipment since
it is often impossible to see the components moving at high speed. Equipment which
operates intermittently, such as hoists, should never be touched since this equipment often
starts automatically and without warning.
Inspectors should stay at least 75 feet from stationary rail cars at sidings since these
are sometimes coupled to remote-controlled engines run by an operator without a complete
view of the siding areas. Inspectors should not stand on coal piles and other material
stockpiles since it is possible to become entrapped in the conveying equipment which is
often underneath these piles.
Eye and Hearing Protection
Because of the possibility of contacting hazardous chemicals or gases, contact lenses
should not be used during inspections. Instead, inspection personnel should use
prescription safety glasses with side shields while performing field activities. Splash goggles
should be used in addition to the safety glasses whenever there is potential exposure to acid
mist or liquid chemicals.
Inspectors should use hearing protection whenever required by plant policies and
whenever it is difficult to hear another person talking in a normal tone of voice at a distance
of 2 feet. To the extent possible, time spent in areas of the plant with high noise levels
should be minimized.
Electrical Hazards
The inspector should not use line powered equipment or instrumentation not served
by an approved ground fault interrupter. Prior to inspecting any facility, the inspector must
ask responsible plant personnel to indentify any high voltage cables in the area to be
inspected. It is important to find any lines which could be inadvertently touched while
walking through the plant.
Explosions
Inspectors should never take battery-powered portable equipment, such as non-
explosion-proof flashlights, into portions of the plant where there are potentially explosive
14-5
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dusts or vapors. The equipment can be a source of ignition. Also, smoking materials,
including but not limited to matches and lighters, should never be taken into any facility.
Many areas of plants visited by inspectors can have explosive dusts and vapors. Finally, the
inspection should be terminated immediately whenever a severely vibrating fan is
encountered. When a fan disintegrates, shrapnel can be sent over a large area resulting in
very serious injuries. Plant personnel should be notified immediately if this problem is
detected.
Burns
The areas immediately around hot ducts should be avoided to the extent possible.
Also, uninsulated hot roofs should be avoided. In cases where such is required, the proper
footwear must be worn. When climbing up to potentially hot roofs, gloves should be worn
and the roof should not be touched.
Inhalation hazards
To the extent possible, inspectors should avoid areas which allow the accumulation of
airborne pollutants. The appropriate respirators should be selected in accordance with the
procedures discussed during safety training provided by the agency. Furthermore, the
respirator must not be worn whenever any condition would prevent a good seal. The most
common reason for an improperly fitted respirator is facial hair. The protection factor
limits of each respirator must be understood and used only for the specific contaminants
listed and only for the concentration range listed. Since monitoring data are rarely
available, the inspector must excercise some judgement when selecting the appropriate
respirator. Selection of the type of respirator should never be done by smell or taste
perception since some of the most toxic pollutants cannot be detected at high
concentrations.
Inspectors should use only a self-contained breathing apparatus or an air-line
respirator when entering areas believed to be oxygen deficient. Each individual using
respirator protection must be trained in its proper fitting, use, maintenance and storage.
The respirator must be inspected before and after each use (disposable respirators
excluded). Equipment used only for emergencies should be inspected at least monthly. A
record should be kept by date with the results of all inspections. All respirators must be
cleaned and disinfected after each use. All filter and cartridges must be replaced whenever
necessary. Replacement of other that disposable parts and any repair should be done only
14-t
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by personnel with adequate training and test equipment to ensure the equipment will
function properly after the work is accomplished. Only certified parts supplied by the
manufacturer for the product being repaired should be used. The respirators should be
stored in atmospheres that will protect them from dust, sunlight, extreme heat or cold and
damaging chemicals.
Individualized eyeglasses mounted to the face piece of full face mask respirators
should be used whenever such respirators are necessary for the field duties assigned. Also,
contact lenses should not be worn while wearing respirators. Inspectors with perforated ear
drums, or who have not demonstrated by means of regular physical examination that they
are capable of withstanding the additional physical stress imposed by respirators, should not
wear them. Since respirators are necessary for field activities, such individuals should not
perform field duties. Finally, inspectors should not chew gum or tobacco while wearing a
respirator.
Heat Stress
Each inspector working in moderate and hot climates should drink copious amount
of water and cany drinking water in the vehicle used. The inspection should be interrupted
immediately whenever an inspector experiences the symptoms of heat exhaustion, including
but not limited to fatique, nausea, vomiting, headache, dizziness, clammy skin and rapid
pulse. The affected individual should rest in a cool place which is not less that 75°F and seek
medical care as soon as possible. Continuing the field activities during the onset of heat
exhaustion can lead to heat stroke, a very serious condition requiring immediate medical
help. Also, the inspection should be interrupted immediately whenever an inspector
experiences heat cramps. The affected individual should find a cool place to rest and drink
water containing 0.1% by weight salt (1 teaspoon per 5 quarts of water).
Cold Stress
Field inspectors should avoid portions of the plant exposed to high wind conditions
or wet areas when the ambient temperature is low. Clothing for inspections conducted
during cold weather must be selected to provide the appropriate degree of protection and to
reduce the chances of excessive perspiration accumulation. Clothing should generally be
layered to trap heat and to provide the flexibility to adjust to both outside and inside
conditions while conducting the inspection. Steel-toed shoes should not be worn whenever
the ambient temperature is low. All shoes worn must be water tight.
14-7
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Skin Absorbable Chemicals
Inspection personnel should consult published reference materials concerning the
selection and use of protective clothing (including gloves) whenever working with or near
chemicals which are readily absorbed by the skin. A partial list of such chemicals is provided
in the "OSHA Pocket Guide to Occupational Hazards". Inspectors should also exercise
extreme caution when sampling liquids containing skin absorbable chemicals. Under no
circumstances should the inspector allow direct contact between such liquids and the skin.
14-8
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References
Cowerd, C, "Inspection Manual for PM-10 Emissions from Paved/Unpaved Roads and
Storage Piles", EPA 340/1-89-007, October 1989.
14-9
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