Task Analysis of State and
Local Air Pollution Control Agencies and
Development of Staffing Guidelines
VOLUME
Detailed Task Data,and
Staffing Guidance t
FIELD
ENFORCEMENT
UNITED STATES
ENVIRONMENTAL PROTECTION AGENCY
Manpower Development Staff Office of Air Programs
Research Triangle Park, North Carolina 27711
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United States
Environmental Protection Agency
Contract No. 68-02-0306
Applied Science
Associates, Inc.
Task Analysis of State and ,
Local Air Pollution Control Agencies and
Development of Staffing Guidelines
VOLUME
Detailed Task Data, and
Staffing Guidance
FIELD ENFORCEMENT
K. I. Rifkin, Senior Staff Scientist, ASA
R. L. Dueker, Staff Scientist, ASA
W. F. Diggins, Staff Scientist, ASA
F. C. Foss, Staff Scientist, ASA
and
Michael Senew, Project Officer, USEPA
Prepared for the
United States Environmental Protection Agency
Manpower Development Staff
Office of Air Programs
Research Triangle Park, North Carolina 27711
November 1972
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Thts Is not an official policy and standards
document. The opinions, findings, and conclusions
are those of the authors and not necessarily those
of the United States Environmental Protection Agency.
Every attempt has been made to represent the
present state of the art as well as subject areas
still under evaluation. Any mention of products,
or organizations, does not constitute endorsement
by the United States Environmental Protection Agency.
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INTRODUCTION
One of the pressing problems in the air pollution control effort at
Federal, state, and local levels is planning manpower requirements and
developing manpower resources. Questions are being asked such as, how
many people are needed, what kind of past experience and education should
they have, how should their jobs be structured, what do they need to know
to do their jobs, what special abilities do they need, and what kind of
training should they receive to do their jobs? These questions are
becoming increasingly meaningful as the control effort broadens with the
creation of more and more local agencies and as existing agencies in-
crease the scope and depth of their programs. Adequate answers are
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required if progress is to continue toward the goal of clean air.
In order to begin to answer questions relevant to manpower planning
and development, a data base describing the tasks to be performed by
control agency personnel and the skills and knowledge they must have to
perform those tasks effectively must be available. Guidance concerning
the use of the data base in making staffing decisions must be prepared.
It is the purpose of this study to provide such a data base and the
appropriate guidance.
A. Obj ectives
The objectives of this project were the following:
1. To identify as great a proportion as possible of the
population of tasks currently being performed by air
pollution control agency personnel at the state and
local level throughout the country.
2. To describe the identified tasks in terms of component
behaviors and the skills and knowledge required to perform
those behaviors.
3. To identify and describe categories of air pollution con-
trol agency personnel who would perform the tasks mentioned
above.
continued
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4. To structure and communicate the data which resulted
from achieving the above objectives in a form which could
be used by agency management in planning and developing
manpower resources.
B. General Project Overview
The project was performed in two phases. Phase I dealt with achieving
the first two project objectives, and resulted in the development of a
detailed data base describing the major tasks performed by agency personnel
in terms of the procedural components of the tasks and the skills and
knowledge required to perform them. Phase II dealt with achieving the
last two major objectives, and resulted in production of a guidance docu-
ment which integrates and structures data developed in Phase I and presents
it in a form designed to assist agency manpower developers.
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THIS IS VOLUME C
Additional books available are:
VOLUME A: Guidance and Supporting Information for Staffing and Training
Decisions in an Air Pollution Control Agency - Introduction
and Directions for Using These Guidelines
VOLUME B: Guidance and Supporting Information for Staffing and Training
Decisions in an Air Pollution Control Agency - Engineering
e
VOLUME D: Guidance and Supporting Information for Staffing and Training
Decisions in an Air Pollution Control Agency - Laboratory Support
VOLUME E: Guidance and Supporting Information for Staffing and Training
Decisions in an Air Pollution Control Agency - Air Monitoring
and Meteorological Support
VOLUME F: Guidance and Supporting Information for Staffing and Training
Decisions in an Air Pollution Control Agency - Source Testing
VOLUME G: Guidance and Supporting Information for Staffing and Training
Decisions in an Air Pollution Control Agency - Agency Management,
Program Development, and Public Information Support
AND
TECHNICAL REPORT:
Task Analysis of State and Local
Air Pollution Control Agencies, and
Development
of Staffing Guidelines
For complete sets, or 'individual titles, or the Technical
Report please address your request to:
United States Environmental Protection Agency
Manpower Development Staff
Research Triangle Park, N.C. 27711
C-l
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FIELD ENFORCEMENT
The task data and staffing guidance presented in this volume
cover a group of related tasks which are typically performed within
or in support of the field enforcement efforts of an agency. The
operations are performed by members of the occupational category of
Field Enforcement Officer. The following tasks are included and are
located within the volume as indicated below:
1. Routine Inspection Page C-3
2. Complaint Investigation Page C-21
3. Patrol of Assigned Areas or Routes
and Citation of Violators of Air
Pollution Control Regulations Page C-32
4. Assist the Legal Staff in Prepa-
ration of Enforcement Actions Page C-38
5. Serving as a Witness in Court
or at a Hearing Page C-45
6. Organization and Operation of a
Smokeschool Page C-48
C-2
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Routine Inspection
Task Overview
Most agencies have a group of people who perform relatively standardized
and routine inspections. Typically, these inspections cover relatively
small incinerators and boilers in schools, small businesses and industries,
and apartment houses. These inspections frequently are proceduralized to
the extent that the inspector uses a standard form or checklist of equip-
ment elements and operating procedures to inspect with specific acceptable
or unacceptable conditions called out.
Standardized inspections are usually performed to support agency activities
including:
1. Annual or semi-annual inspection efforts.
2. Complaint investigations.
3. Equipment registration.
4. Investigations of alleged smoke or open burning violations.
5. Enforcement of episode control source curtailment requirements.
6. Fuel and solvent sampling.
Most inspections, regardless of who does them and what equipment they cover,
have in common some general task requirements. These requirements include:
1. Visual inspection of equipment and operations which can result
in air pollution.
2. Interaction with personnel who operate or manage the equipment.
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3. Attention to details of equipment design or operation which may
be in violation of local regulations.
4. Collection and reporting of specific information about the equipment
and processes.
5. Concern for public relations and ethical considerations.
Occupational Category; Field Enforcement Officer
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Task Description
The following task description package is intended to be applicable
to the broad spectrum of possible routine inspection tasks. Detailed
examples have been incorporated to illustrate the variety of specific
skills and knowledge required.
1. Identify the objective of the inspection and perform all
required preinspection activities. These preinspection
activities could include:
a. Secure and read the background data describing the
unit to be inspected. The descriptive material may
be general or specific to the exact plant, equipment
to be inspected, or anticipated pollution problem.
In the case of more complex units, prepare or secure
and then review basic flow diagrams, plot plans,
process descriptions, or drawings before the actual
inspection.
Another area of background data to review would be
relevant files describing other agency activities
regarding the unit to be inspected. For example,
files containing permit data, prior violations, and
compliance program details may contain useful infor-
mation.
b. If more than one inspector is required, identify the
type and number of required assistants and make ar-
rangements for securing them. Define the roles of
the assistants and rehearse or brief them accordingly.
c. Identify the materials (e.g., data collection forms)
and equipment required for the inspection, and secure
them in the appropriate numbers.
d. Identify the need for assistance from plant personnel.
Determine the types of people (in terms of knowledge,
experience, responsibility) and the numbers required.
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2. On approaching the inspection site, carefully review the scene.
Generally, locate and note items of interest including:
a. Smoke stacks
b. Exhaust vents
c. Incinerators
d. Pollution control equipment
e. Materials loading and storage areas
f. Effluent water containers
g. Evidence of open burning
Also, maintain awareness for localized air pollution conditions
including:
a. Smoke
b. Odors
c. Settled dust
d. Stains due to emission of air contaminants
e. Damage to vegetation
3. Contact the highest ranking authority present at the plant. Inform
him of the planned inspection and request permission to enter. Also,
describe and request the desired assistance from plant personnel.
It may be necessary to cite the relevant local regulations which
define the Inspector's duties and give him the right to perform
them. If permission to enter is not granted follow the appropriate
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procedure for refused entry.
4. Locate the equipment to be inspected and make the required obser-
vations. Typically, a data collection form is used to cue the
inspector to specific characteristics of the equipment. Also,
collect all required data related to operation of the equipment.
It may be necessary to secure information from equipment operators,
management, or company records.
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5. In the case of an open burning situation observe the scene and
collect and record the required information, which might include:
a. Size of the fire (diameter and height).
b. Location with regard to surrounding buildings and
activities.
c. Materials being burned.
d. Determine whether the fire is prohibited by local regulations.
For example, does the burner have a legitimate permit? Is
the fire exempt from open burning regulations?
e. Identify the person(s) responsible for the fire, attending
the fire.
f. Take photographs of the scene.
6. Identify the violations of local regulations and prepare and serve
notices of violation. The notice of violation Is usually a com-
plete statement of the violation condition and is frequently the
basis for court action taken. Therefore, it must be complete and
factual. Notices of violation are used to document most if not
all of the types of violations possible (e.g., smoke, fumes,
public nuisance). The notice usually requires information de-
scribing the violation, including:
a. Information identifying and describing the violator (e.g.,
name, address, phone number, person to contact).
b. Designation of the code section violated and a description
of the violation.
c. Conditions of observation (wind direction, sun location,
visibility, observer's position relevant to the source,
times of observation, smoke characteristics).
d. Remarks made by operator or manager.
e. Identification and location of source (e.g., stack desig-
nation, location, height).
f. General facts (e.g., responsibility for violation, equip-
ment condition, character of operating procedures).
g. Recommended action.
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The exact procedure followed for completing violation notices is
a function of the agency and adherence to it is strictly enforced.
Also, every locality has its own regulations and exemptions,
and the inspector must interpret this information to determine
if a violation has been committed.
7. Prepare a general field report. A general type of form is usually
used to describe results of an inspection in addition to formal
notices or other special forms. The form can be used to describe
suspected or near violations, follow-up inspection findings, and
any other objectives not directly related to violations. These
forms are usually filled in with narrative statements describing
the purpose and findings of the inspection and any relevant stata-
ments made by the operator or manager of the process being inspected.
Skill Requirements
1. Ability to reliably and accurately judge visible emissions from
stationary sources in terms of density and opacity using accepted
procedures. The precision of these judgments should be adequate
to serve as acceptable evidence in a court of law.
2. Ability to accurately observe, describe, or estimate environmental
conditions current at the time of a smoke observation, including
wind speed and direction, relative humidity, temperature, and
percent cloud cover.
3. Ability to reliably and accurately detect or characterize odors
such that illegal concentrations can be identified and related
to the responsible source. The terminology and procedure used
to rate or describe odors vary from agency to agency and depend
upon accepted legal requirements.
4. Ability to secure cooperation and assistance from the operator
or manager of the source or plant being inspected.
5, Ability to locate, recognize, or describe specific equipment
characteristics which must be identified during routine incinera-
tor and boiler inspections (e.g., damper type, burner type, smoke
sensors on an incinerator; grate type, method of firing, burner
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type, and type of burner controls on a boiler). Also, ability
to recognize and describe types of materials burned in both types
of devices.
6. Ability to prepare inspection or engineering field reports
which are adequately detailed, complete, and cogent to be ac-
cepted as evidence in a court of law.
7. Ability to identify, recognize, or locate external character-
istics of plants or installations where indications of pollution
are most likely to be revealed (e.g., stacks, vents, loading
areas).
8. Ability to interact with company management or use company
records to secure operating information related to emissions
(e.g., type of fuel used, amount consumed per unit time, type
and amount of process materials).
9. Ability to recognize, describe, or judge the source of plant
damage or general categories of stains or deposits formed by
settlement of air contaminants. Such categories of stains or
deposits include:
a. Acid stains (e.g., chromic acid, sulfuric acid,
hydrofluoric acid, and phosphoric acid)
b. Oil droplets
c. Faint deposits
d. Carbon spheres
10. Ability to take acceptable photographs of the physical evidence of
air contamination or open burning violations. Photographs should be
adequately focused, framed, and exposed.
11. Ability to completely and accurately fill out a notice of violation
within a reasonable period of time. All narrative sections of the
notice should be concise, factual, and legible.
12. Ability to answer the violator's questions regarding how he should
react to the notice (e.g., pay fine by mail, appear in court).
This reaction may depend on the nature of the violation.
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13. Ability to recognize (i.e., perceive) violations and symptoms
of violations of the local regulations. The types of violations
to be perceived include:
a. Smoke density or opacity
b. Public nuisance (odors, stains due to air contaminants)
c. Open burning
d. Failure to adhere to emergency emission curtailment plans
e. Permit system violations (e.g., operation without ap-
propriate permit)
f. Settled dust
g. Inadequate incinerator or boiler design or operating features
14. Ability to identify or verify the specific section of local
regulations which was allegedly violated as reported by en-
forcement personnel.
15. Ability to select an enforcement action which is appropriate for
the specific type of violation or circumstances observed (e.g.,
ticket, warning).
16. Ability to use agency files, source process data, and other methods
to develop the appropriate background data to initiate an inspection
of a stationary source.
17. Ability to interpret engineering drawings (e.g., plot plans, process
flow diagrams) in order to plan for an inspection or locate and
identify equipment in a facility.
18. Ability to recognize operating characteristics or design features
of small incinerators and boilers which are suboptimal with regard
to air pollution control (e.g., flame color or shape indicating
inappropriate fuel or air input).
Knowledge Requirements
1. Knowledge of the relevant state-of-the-art in design of basic equip-
ment for air pollution control (e.g., controlled air incinerators).
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2. Knowledge of the local procedures for performance of inspections,
obtaining entry, and dealing with refusal of entry.
3. Knowledge of the data collection forms and reports required for
the specific inspection objective to be accomplished and the
procedures for completing them.
4. Knowledge of the ethical considerations that impact on complaint
handling and inspection. These ethical considerations include:
a. Inspectors must not interfere with the acts or decisions
of the control officer.
b. The law must be applied uniformly.
c. Recommendations for specific control equipment manufac-
turers are not permitted.
d. Information acquired about an operation or company is
proprietary and must never be disclosed to competitors.
e. Inspectors (without the appropriate engineering back-
ground) will not make engineering recommendations.
f. No gratuities.
g. Be aware of personal biases and try to be factual and
objective.
h. Do not promise any legal or agency actions which are
not possible to carry out.
i. Maintain a neutral stance.
5. Knowledge of the recommended methods for soliciting cooperation,
assistance, and operating information from the operators or
managers of units to be inspected.
6. Knowledge of the jargon and terminology used by operators or
management of the basic or control equipment being inspected or
reviewed. This type of knowledge enables the inspector or
reviewer to adequately describe his findings and to communi-
cate with other knowledgeable individuals.
Basic resource information relevant to the above knowledge area
C-10
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is available from publications of the following types:
a. Emission factors handbooks - References 3, 12, 13, and
17.
b. Descriptions of source processes with emphasis on their
pollution potential - References 1, 2, 4, 5, 8, 10, 11,
18, 19, 21, 22, and 29.
c. Air pollution engineering guidelines - Reference 6.
d. Air pollution control technology - References 7, 9,
14, 15, and 16.
e. Local recommended codes of practice - References 23,
24, 25, 26, 27, 28, and 30.
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7. Knowledge of the design, physical characteristics, and pollution
potential of single- and multiple-chamber, silo, and flue fed
incinerators in order to support recognition, identification,
and description characteristics of the incinerator and its
operation including:
a. Type
b. Make and model
c. Class of incinerator (using locally accepted categorization
scheme)
d. Type of material burned
e. Condition of material (use waste type system)
f. Quantity of material incinerated
g. Condition of ash pit
h. Method of adjustment for air ports and feed door
i. Method of feeding (hand, cyclone, etc.)
j. Rating of incinerator (Ibs./hr.)
k. Type of dampers and their location
1. Stack height, material, inside diameter
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m. Smoke sensors and alarm system
n. Spark arrestor (mesh, material)
o. Burner make, model, and rating
p. Blowers and their rating (cfm)
8. Knowledge of the design, physical characteristics, and pollution
potential of fuel burning equipment. The inspector should have
sufficient knowledge to allow him to recognize, identify, and
describe characteristics of the equipment and its operation,
including:
a. Type
b. Make and model
c. Maximum output (e.g., in Ibs. of steam per hour)
d. Maximum firing rate (fuel consumed per hour)
e. Grate type and area
f. Method of firing
g. Fuel used (indicated grade, size, BTU/lb., ash content,
sulfur content, moisture content)
h. Boiler cleaning (methods, frequency, and duration of
cleaning)
i. Burner type (e.g., horizontal atomizing, rotary atomizing,
air atomizing, steam atomizing, mechanical atomizing)
j. Burner controls (e.g., manual, automatic high-low, auto-
matic full modulation)
k. Pollution control device (e.g., smoke alarm, CO. recorder,
fly ash baffle, stack spray, wet scrubber, baghouse, etc.)
1. Stack height, material, and inside diameter
9. Knowledge of the appropriate means of performing fuel-burning
operations, including:
a. Cleaning the fire. This includes knowledge of stoker
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operation, use of a slice bar, and use of a clinker
tong.
b. Coking methods for burning low volatile (smokeless)
coal in fire box type heating boilers.
c. Airing a fire. This includes knowledge of the safety
precautions required to avoid flashback through fire
door.
d. Methods for banking fires.
e. Operating a draft gauge.
f. Starting a fire in an underfeed stoker.
10. Knowledge of potential hazards and related safety regulations
to be followed during inspections, including:
a. Fire hazards
b. Restrictions against manipulating equipment without
consent of the operator or management
c. Requirements for protective personal equipment, including:
1) Rubber gloves
2) Respirator
3) Goggles
4) Hard hat
5) Gas mask
6) Safety flashlight
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d. Check-in procedures
e. Inspection precautions, including:
1) Location of water showers when working in areas where
acids or caustic solutions are being handled
2) Use of an assistant as a "safety"
3) Not walking on building or tank roofs without
appropriate supervision
4) Not watching welding activities directly
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11. Knowledge of the techniques and under what conditions to use
on-site test procedures and equipment during an inspection;
for example, in an incinerator inspection, use of a draft
gauge to measure draft or use of a Pyrometer to measure cham-
ber temperature.
12. Knowledge of the requirements for an accurate smoke reading.
These requirements include:
a. Read plume against background contrasting in color
to the color of the smoke.
b. Light source (e.g., the sun) should be behind observer
during daytime.
c. Light source (e.g., spotlight) should be behind plume
at night.
d. Wind direction should be from either right or left side
of the observer.
e. A clear view of the stack and background should be
available. In some agencies a maximum observer dis-
tance has been proposed.
f. Record smoke-readings on the proper data collection form
and at the required time intervals.
g. Read residual plumes only, not "wet plumes."
h. Observe and record all required environmental conditions
current at the time of the observation (e.g., wind speed,
percent cloud cover, wind direction, temperature, relative
humidity).
Some relevant information is available in Reference 20.
13. Detailed knowledge of local regulations relevant to the objectives,
duties, and rights of the inspector. The inspector must have
full knowledge of the prohibitions, required conditions, and
exemptions provided in the law. The areas of the regulations
the inspector needs to know include:
a. Smoke density and opacity standards.
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b. Particulate and gaseous emission standards.
c. "Public nuisance" or general "air pollution by definition"
prohibitions.
d. Open burning controls.
e. Incinerator design requirements.
f. Storage, loading, and unloading of gasoline and other
petroleum products.
g. Provisions of the permit system.
h. Emergency control program requirements.
14. Knowledge of the types and appearance of property damage due
to air contaminants. Such damages include:
a. Acid stains
b. Discoloration of paint
c. Dust or fly ash deposits
d. Paint deposits
15. Knowledge of the methods used for describing and rating the
intensity of odors.
16. Knowledge of the methods for tracking odors in order to identify
the likely source of the emission, including:
a. Analysis of wind patterns
b. Area surveys
c. Use of field test equipment (e.g.. Scentometer)
17. Knowledge of the procedure for preparing a notice of violation.
This includes knowledge of the rules for recording information
and all coding schemes used to designate data. Also, knowledge
of the appropriate wording for narrative portions of the notice.
18. Knowledge of the procedure for serving violation notices and
for keeping appropriate records of such activities.
19. Knowledge of the accuracy and completeness requirements for data
supplied in reports and forms prepared by enforcement personnel
describing alleged violations and complaints.
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20. Knowledge of local regulations at a level of detail to enable
identification or verification of violations as formally re-
ported by enforcement personnel.
21. Knowledge of the alternate enforcement actions which the agency
can take for a given type of violation; criteria, priorities,
standards, and precedents used to select the appropriate enforce-
ment activity.
22. Knowledge of the exterior characteristics of plants and facilities
inspected and the location and configuration of the elements of
the facility where air pollution problems would be evident
(e.g., stacks, vents, storage areas).
23. Knowledge of the types of adjustments which can be made in
operating conditions or to equipment configuration to improve
performance of small incinerators or boilers.
24. Knowledge of the jargon and terminology used by operators of
small incinerators and boilers.
References
1. Air Pollution Sub-Committee. Odor control manual for the ren-
dering industry. Des Plaines, Illinois: National Renderers
Association, January 1969.
2. Committee on Industrial Hygiene. Steel mill ventilation.
New York: American Iron and Steel Institute, May 1965.
3. Control Agency Directors S-8 Committee. Pacific northwest
emission factors reference manual. Air Pollution Control
Association, Pacific Northwest International Section,
April 1971.
4. Cooperative Study Project, Manufacturing Chemists' Association
and Public Health Service. Atmospheric ^missions from sul-
furic acid manufacturing processes. Durham, North Carolina:
U. S. Department of Health, Education, and Welfare; Public
Health Service, Environmental Health Service, National Air
Pollution Control Administration, 1965. PHSP 999-AP-13.
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5. Cuffe, S. T., and Gerstle, R. W. Emissions from coal-fired power
plants; A comprehensive summary. Durham, North Carolina: U. S.
Department of Health, Education, and Welfare; Public Health
Service, Consumer Protection and Environmental Health Service,
National Air Pollution Control Administration, 1967.
PHSP //999-AP-35.
6. Danielson, J. A. (Ed.) Air pollution engineering manual. Air
Pollution Control District County of Los Angeles. Cincinnati,
Ohio: U. S. Department of Health, Education, and Welfare;
Public Health Service, Bureau of Disease Prevention Environ-
mental Control, National Center for Air Pollution Control,
1967.
7. Decker, L. D. Odor control by ^incinerator. Greenwich,
Connecticut: UOP Air Correction Division, November 1965.
(Text of a talk given before a meeting of the Middle States
Section of the Air Pollution Control Assn., Wilmington,
Delaware, November 1965.)
8. Gulf Publishing Co. Hydrocarbon processing handbook.
Houston, Texas: Author, Box 2608, 77001.
9. Ingels, R. M. The afterburner route to pollution control.
Air Engineering. June 1964, p. 39-42.
10. Kreichelt, T. E., Kemnitz, D. A., and Cuffe, S. T. Atmospheric
emissions from the manufacture of Portland cement. Cincinnati,
Ohio: U. S. Department of Health, Education, and Welfare;
Public Health Service, Bureau of Disease Prevention and
Environmental Control, 1967. PHSP #999-AP-17.
11. McGannon, H. E.!(Ed.) The making, shaping and treating of steel.
Eighth Edition. United States Steel Corporation.
12. McGraw, M. J. & Duprey, R. L. Compilation of air pollutant
emission factors. Preliminary document. Research Triangle Park,
North Carolina: Environmental Protection Agency, April 1971.
13. National Air Pollution Control Administration. Air pollutant
emission factors. Washington, D. C.: Department of Health,
Education, and Welfare; Public Health Service, Environmental
Health Service, April 1970.
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14. National Air Pollution. Control Administration. Control tech-
niques for hydrocarbon and organic solvent emissions from
stationary sources. Washington, D. C.: U. S. Department of
Health, Education, and Welfare; Public Health Service, Environ-
mental Health Service, March 1970. No, AP-68.
15. National Air Pollution Control Administration. Control tech-
niques for particulate air pollutants. Washington, D. C.:
U. S. Department of Health, Education, and Welfare, Public
Health Service, Consumer Protection and Environmental Health
Service, January 1969.
16. National Air Pollution Control Administration. Control tech-
niques for sulfur oxide air pollutants. Washington, D. C.:
U. S. Department of Health, Education, and Welfare; Public
Health Service, Environmental Health Service, January 1969.
17. Ozolins, Guntis, & Smith, Raymond. A rapid survey technique
for estimating community air pollution emissions. PHSP //999-AP-29,
October 1966.
18. Schueneman, J. J., High, M. D., & Bye, W. E. Air pollution
aspects of the iron and steel industry. Cincinnati, Ohio:
U. S. Department of Health, Education, and Welfare; Public
Health Service, Division of Air Pollution, June 1963.
19. Smith, W. S. Atmospheric emissions from fuel oil combustion.
An inventory guide. Cincinnati, Ohio: U. S. Department of
Health, Education, and Welfare; Public Health Service, Division
of Air Pollution, November 1962. PHSP #999-AP-2.
20. Sticksel, P. R., and Staff (Ed.) Student's manual for evalua-
tion of visible emissions for state and local air pollution
inspectors. Columbus, Ohio: BATTELLE Columbus Laboratories,
August 1971.
21. Swearingen, J. S., and Levin, H. Hydrocarbon losses from the
petroleum industry in L. A. County. San Antonio, Texas:
Southwest Research Institute.-
22. Technical Advisory Board. Code of recommended practices.
Asphalt mixing plants. Chicago: City of Chicago, Department
of Environmental Control, April 1971.
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23. Technical Advisory Board. Code of recommended practices. Fuel
burning equipment for heating, steam and hot water generation,
absorption refrigeration. Chicago: City of Chicago, Depart-
ment of Environmental Control, October 1968.
24. Technical Advisory Board. Code of recommended practices. Grain
handling and storage. Chicago: City of Chicago, Department
of Environmental Control, April 1971.
25. Technical Advisory Board. Code of recommended practices. Refuse
burning equipment for domestic and non-domestic use. Chicago:
City of Chicago, Department of Environmental Control, April
1971.
26. Technical Advisory Board. Code* of recommended practices. Ren-
dering processes. Chicago: City of Chicago, Department of
Environmental Control, April 1971.
27. Technical Advisory Board. Code of recommended practices. Spray
booths. Chicago: City of Chicago, Department of Air Pollution
Control, August 1968.
28. U. S. Department of Health, Education, and Welfare. Interim guide
of good practice for incineration at federal facilities. Raleigh,
North Carolina: Public Health Service, Consumer Protection
and Environmental Health Service, National Air Pollution Control
Administration, November 1969. Publication No. AP-46.
29. U. S. Department of Health, Education, and Welfare; Public Health
Service, Division of Air Pollution. Atmospheric emissions from
petroleum refineries. A guide for measurement and control.
PHSP #763, 1960.
30. Williamson, J. E., & Hammond, W. F. Interim guide to good
practice for direct-fed multiple-chamber incinerators.
Los Angeles: L. A. County Air Pollution Control District,
October 1966.
Special Staffing Guidance
The level of Field Enforcement Officer to be assigned to a particular
C-19
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inspection will depend upon factors including:
1. Complexity of equipment to be inspected. The greater the complexity
of the equipment, the higher the level of individual required.
2. The degree of proceduralization or standardization characteristic
of the task. Higher level individuals are required when inspec-
tion forms and checklists do not provide explicit guidance in
selecting the aspects of the equipment to inspect.
3. The credibility requirements of the task. If the success of the
project or acceptability of the findings relies on the credentials
of the task performer, then a senior level individual should be
assigned.
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Complaint Investigation
Task Overview
The objective of a complaint investigation is to satisfy the complainant's
request for assistance in improving a local air pollution control problem.
The investigator's role is to collect enough information to determine if
the complaint is valid and can be corrected through the control functions
of the agency. The following description presents a general picture of
the task and its required skills and knowledge. Because many complaint
investigations result in inspections, the reader is referred to the inspec-
tion task description (Page C-3) for details concerning that portion of the
complaint investigation.
Occupational Category; Field Enforcement Officer
Task Description
1. Typically, the first contact with a complainant is by telephone
or letter. Record the basic data required to initiate the com-
plaint investigation. Data collection forms are normally used
to support this element of the task. Assure the complainant that
his problem will be investigated. Make an appointment for a visit
to collect further information.
2. Visit the complainant to collect a complete description and, if
possible, personally observe the noxious situation. Collect de-
scriptive information including:
i
a. Complainant identity
b. Identity of alleged source
c. Description of nuisance
d. Time and frequency of nuisance
3. Observe the nuisance or its effects, if possible (e.g., odor, de-
posits, stains, smoke). Determine whether or not the claim is a
C-21
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legitimate complaint and can possibly be corrected through
agency activity.
4. Solicit local support (when required) to collect further
evidence regarding the nuisance and its effects on others in
the area (e.g., through the use of an "effects survey question-
naire" and completion of sworn statements describing the con-
taminant and its effects).
5. Use accepted procedures to identify suspected sources of the
reported pollution.
6. When the likely suspect has been identified arrange for a closer
inspection of the problem area. One or more of the following
types of activities may be required:
a. A source test.
b. A detailed inspection with engineering assistance.
c. A sample analysis (e.g., to determine the reason for a
malador).
7. Perform an inspection of the alleged source (see Page C-3 for
the task description dealing with routine inspections for
details on this operation and the related skills and knowledge).
As a result of the inspection, one or more of the following
could occur:
a. A notice of violation is prepared.
b. The operator or manager agrees to make a change in his
operation which will eliminate the nuisance.
c. A compliance program is developed by compliance personnel
or enforcement office which the source must follow.
d. The complaint is found to be uncorrectable under the
current regulations (e.g., regulations do not apply,
source is uncontrollable).
e. A request to apply for a permit is prepared.
8. Document the findings and results of the.complaint investigation.
C-22
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Skill Requirements
1. Ability to effectively deal with people.
2. Ability to accurately record the data provided by the complainant
in an initial telephone conversation.
3. Ability to conduct a complaint investigation interview with the
complainant and secure the required data without falling prey to
either personal or the complainant's biases. This includes the
ability to recognize exaggerations and contradictory statements
from the complainant. This skill also involves the ability to
reassure the complainant that the complaint is being adequately
handled.
4. Ability to recognize (i.e., perceive) violations and symptoms of
violations of the local regulations. The types of violations to
t
be perceived include:
a. Smoke density or opacity
b. Public nuisance (odors, stains due to air contaminants)
c. Open burning
d. Failure to adhere to emergency emission curtailment plans
e. Permit system violations (e.g., operation without appropriate
permit)
f. Settled dust
g. Inadequate incinerator or boiler design or operating
features
5. Ability to recognize, describe, or judge the source of general
categories of stains or deposits formed by settlement of air
contaminants. Such categories of stains or deposits include:
a. Acid stains (e.g., chromic acid, sulfuric acid, hydro-
fluoric acid, and phosphoric acid)
b. Oil droplets
c. Paint deposits
d. Carbon spheres
C-23
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6. Ability to reliably and accurately detect or characterize odors
such that illegal concentrations can be identified and related
to the responsible source. The terminology and procedure used
to rate or describe odors vary from agency to agency and depend
upon accepted legal requirements.
7. Ability to take acceptable photographs of the physical evidence
of air contamination. Photographs should be adequately focused,
framed, and exposed.
8. Ability to identify, recognize, or locate external characteris-
tics of plants or installations where indications of pollution
are most likely to be revealed (e.g., stacks, vents, loading
areas).
9. Ability to reliably and accurately judge visible emissions from
stationary sources in terms of density and opacity using accepted
procedures. The precision of these judgments should be adequate
to serve as acceptable evidence in a court of law.
10. Ability to accurately and reliably read smoke density or opacity
from mobile sources. This skill involves ability to accurately
compensate for errors due to reading directly Into the plume.
The compensation factor used should vary as a function of the angle
between the line of observation and the smoke trail.
11. Ability to accurately observe, describe, or estimate environmental
conditions current at the time of a smoke observation, including
wind speed and direction, relative humidity, temperature, and
percent cloud cover.
12. Ability to discriminate from the physical evidence available
whether or not an alleged violation or complaint is worthy of
further investigation.
13. Ability to secure cooperation and assistance from complainants
and other citizens in a complaint investigation (e.g., in setting
up an "effects survey").
14. Ability to recognize evidence uncovered in an inspection which
relates emissions from a particular source (e.g., sooty smoke
C-24
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from a plant stack, or lack of an afterburner in a particular
type of process) with the noxious ambient conditions which have
provoked a complaint investigation (e.g., soot accumulations
on drying wash, unpleasant odors).
15. Ability to identify suspected sources for complaints concerning
ambient conditions (e.g., dust fallout, odors, stains).
16. Ability to utilize agency records (e.g., complaint files, plan
review files, source test result files) in complaint investiga-
tion.
17. Ability to communicate with the operators or managers of the
alleged source in a complaint investigation in a manner which
results in their cooperation and assistance in the investiga-
tion and in instituting an abatement effort. At least, the
inspector should not create resistance or negative reactions.
18. Ability to judge whether a detailed inspection is required to
adequately settle a complaint issue.
19. Ability to completely and accurately fill out a notice of
violation within a reasonable period of time. All narrative
sections of the notice should be concise, factual, and legible.
20, Ability to prepare inspection or engineering field reports
which are adequately detailed, complete, and cogent to be
accepted as evidence in a court of law.
21. Ability to collect and properly prepare physical evidence of
violation (e.g., damaged vegetation) for transport and further
analysis. ,
22. Ability to effectively testify in court.
Knowledge Requirements
1. Knowledge of local procedures for performing the complaint in-
vestigation. These procedures deal with activities including:
a. Questions to be asked of complainant and information
collection forms.
b. Reporting chronic and unjustified complaints.
C-25
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c. Interacting with complainants (e.g., explaining agency
philosophy and activity regarding complaints).
d. Radio communications.
2. Knowledge of the accuracy and completeness requirements for
data supplied in reports and forms prepared by enforcement
personnel describing alleged violations and complaints.
3. Detailed knowledge of local regulations relevant to the objectives,
duties, and rights of the inspector. The inspector must have full
knowledge of the prohibitions, required conditions, and exemptions
provided in the law. The areas of the regulations the inspector
needs to know include:
a. Smoke density and opacity standards.
b. Particulate and gaseous emission standards.
c. "Public nuisance" or general "air pollution by definition"
prohibitions.
d. Open burning restrictions.
e. Incinerator design requirements.
f. Storage, loading, and unloading of gasoline and other petroleum
products.
g. Provisions of the permit system.
h. Emergency control program requirements.
5. Knowledge of the types of conditions which can produce an unjustified
complaint (i-e., no violation of air pollution control regulations
involved). These conditions include:
a. Personal antagonism between complainant and alleged violator.
b. Real source of complaint is not related to air contaminant
(e.g., noise).
c. Source of complaint is natural rather than man-made (e.g.,
bee spots, pollen).
d. Sickness or allergy has made complainant unusally hyper-
sensitive to small quantities of contaminants.
026
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5. Knowledge of the public relations considerations involved in
complaint handling. These considerations include:
a. Competent complaint handling can have a great effect
on public acceptance and support of agency programs.
b. Voluntary support from the public is critical for en-
forcement operations (e.g., during episodes). Effective
complaint handling will help generate this type of support.
6. Knowledge of the ethical considerations that impact on complaint
handling and inspection. These ethical considerations include:
a. Inspectors must not interfere with the acts or decisions
of the control officer.
b. The law must be applied uniformly.
c. Recommendations for specific control equipment manufactur-
ers are not permitted.
d. Information acquired about an operation or company is pro-
prietary and must never be disclosed to competitors.
e. Inspectors (without the appropriate engineering background)
will not make engineering recommendations.
f. No gratuities.
g. Be aware of personal biases and try to be factual and
objective.
h. Do not promise any legal or agency actions.
i. Maintain a neutral stance.
|
7. Knowledge of the methods used for describing and rating the
intensity of odors.
8. General knowledge of the basic psychophysical and perceptual principles
related to the human sense of smell. This knowledge can include:
a. Sensory adaptation effects.
b. Adaptation level effects.
C-27
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c. Individual differences in awareness and emotional response
to odors.
d. The concept of a sensory threshold as a statistical phenome-
non which is affected by many external and internal variables
(e.g., humidity and past experience).
9. Knowledge of the types and appearance of property damage due to air
contaminants. Such damages include:
a. Acid stains
b. Discoloration of paint
c. Dust or fly ash deposits
d. Paint deposits
e. Vegetation damage
10. Knowledge of the requirements for an accurate smoke-reading. These
requirements include:
a. Read plume against background contrasting in color to the
color of the smoke.
b. Light source (e.g., the sun) should be behind observer during
daytime.
c. Light source (e.g., spotlight) should be behind plume at
night.
d. Wind direction should be from either right or left side of
the observer.
e. A clear view of the stack and background should be available.
In some agencies a maximum observer distance has been proposed.
f. Record smoke readings on the proper data collection form and
at the required time intervals.
g. Read residual plumes only, not "wet plumes."
h. Observe and record all required environmental conditions
current at the time of the observation (e.g., wind speed,
percent cloud cover, wind direction, temperature, relative
humidity).
Some relevant information is available in Reference 1.
C-28
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11. Knowledge of the procedure for reading an exhaust plume while fol-
lowing or pursuing a vehicle. Optimally, the line of observation
should be perpendicular to the plume direction. Avoid reading
directly into the plume, and compensate for the error if the
reading cannot be made at the proper angle to the smoke trail.
12. Knowledge of the recommended methods for soliciting cooperation
from complainants during a complaint investigation (e.g., an
"effects" survey).
13. Knowledge of the procedures and materials used for securing
written records of complaints prepared by the complainant
himself. These materials usually are data collection forms
filled out by the complainant which describe the pollutants
and their effects (e.g., an ''effects" report).
f
14. Sufficient knowlege of industrial or commercial process ef-
fluents to preliminarily identify suspects in a complaint
investigation.
15. Knowledge of the procedures and techniques used for tracking
stains and deposits to aid in identifying the probable source.
This knowledge includes:
a. Use of aerosol samplers or absorbent type panel paper to
secure a sample of the material.
b. How to arrange absorbent type panel paper in a path down-
wind from the contaminated area to the suspected source.
c. How to interpret the pattern of stains on absorbent type
panel paper arranged downwind from the source.
d. What situational data to record at the time samples are
secured (e.g., wind speed and direction, time and date of
exposure) •>
e. Methods for identifying the probable source when no specific
source is suspected or there is more than one likely suspect.
f. How to evaluate the findings from the methods listed above
in order to identify the source.
C-29
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16. Knowledge of the methods for tracking odors in order to identify
the likely source of the emission, including:
a. Analysis of wind patterns
b. Area surveys
c. Use of field test equipment (e.g., Scentometer)
17. Knowledge of data sources available within the agency to support
complaint investigation. These sources might include:
a. Reports of breakdowns in controls (some agencies require
these breakdowns to be routinely reported whenever they
occur).
b. Records from previous inspections of alleged pollution
source.
c. Permit system files.
d. Records of previous violations.
18. Knowledge of the capabilities and knowledge of agency personnel
which are available, and how they can be used in conducting a
complaint investigation.
19. Knowledge of the procedure for preparing a notice of violation.
This includes knowledge of the rules for recording information and
all coding schemes used to designate data. Also, knowledge of the
appropriate wording for narrative portions of the notice.
References
1. Sticksel, P. R., and Staff (Ed.) Student's manual for evaluation
of visible emissions for state and local air pollution inspectors.
Columbus, Ohio: BATTELLE Columbus Laboratories, August 1971.
Special Staffing Guidance
1. Because of the great public exposure relevant to this task, complaint
investigators should have thorough training and practice communicating
with complainants.
C-30
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2. If inspection is planned to be an integral part of the complaint han-
dling activity, review the task description, skill requirements, and
knowledge requirements for the Routine Inspection task, Page C-3.
C-31
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Patrol of Assigned Areas or Routes and Citation
of Violators of Air Pollution Control Regulations
Task Overview
Patrolling in most agencies is an element of the inspection activity.
Patrolling involves driving over given routes or through, given areas to
detect violations of local regulations and to serve notice on violators.
Personnel working in patrolling also investigate complaints and carry out
routine inspections in small businesses, apartment houses, and small plants.
The skills and knowledge required for inspection and complaint investigation
elements of the patrolling activity have been covered in previous task de-
scriptions; and this section will emphasize the task of detecting violations,
particularly violations by mobile sources. Depending upon the specific
agency, "mobile sources" can include automobiles, trucks, ships, locomotives,
and possibly aircraft.
Occupational Category; Field Enforcement Officer
Task Description
1. Drive over the prescribed route or through the area to be covered.
Detect violations of local air pollution control regulations.
Pay special attention to chronic offenders who should be dis-
ciplined in court. The types of violations covered by patrol
include:
a. Smoke (from mobile and stationary sources).
b. Open burning.
c. Violations of emergency curtailment plans.
d. Permit system violation (e.g., construction or operation
without appropriate permit).
e. Public nuisance.
2. Write up and serve notices of violation.
3. Carry out routine inspections (see task description package on
Routine Inspection, Page C-3).
C-32
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4. Carry out complaint investigation (see task description package
on Complaint Investigation, Page C-21).
Skill Requirements
1. Ability to reliably and accurately judge visible emissions from
stationary sources in terms of density and opacity using accepted
procedures. The precision of these judgments should be adequate
to serve as acceptable evidence in a court of law.
2. Ability to accurately observe, describe, or estimate environ-
mental conditions current at the time of a smoke observation,
including wind speed and direction, relative humidity, tempera-
ture, and percent cloud cover.
3. Ability to reliably and accurately detect or characterize odors
such that illegal concentrations can be identified and related
to the responsible source. The terminology and procedure used
to rate or describe odors vary from agency to agency and depend
upon accepted legal requirements.
4. Ability to identify, recognize, or locate external character-
istics of plants or installations where indications of pollution
are most likely to be revealed (e.g., stacks, vents, loading areas).
5. Ability to accurately and reliably read smoke density or opacity
from mobile sources. This skill involves ability to accurately
compensate for errors due to reading the smoke directly into the
plume. The compensation factor used should vary as a function
of the angle between the line of observation and the smoke trail.
6. Ability to completely and accurately fill out a notice of viola-
tion within a reasonable period of time. All narrative sections
of the notice should be concise, factual, and legible.
7. Ability to answer the violator's questions regarding how he should
react to the notice (e.g., pay fine by mail, appear in court).
This reaction may depend on the nature of the violation.
8. Ability to recognize (i.e., perceive) violations and symptoms
of violations of the local regulations. The types of violations
to be perceived include:
a. Smoke density or opacity.
C-33
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b. Public nuisance (odors, stains due to air contaminants).
c. Open burning.
d. Failure to adhere to emergency emission curtailment plans.
e. Permit system violations (e.g., operation without appropri-
ate permit).
f. Settled dust.
g. Inadequate incinerator or boiler design or operating
features.
Knowledge Requirements
1. Knowledge of the requirements for an accurate smoke reading.
These requirements include: *
a. Read plume against background contrasting in color
to the color of the smoke.
b. Light source (e.g., the sun) should be behind observer
during daytime.
c. Light source (e.g., spotlight) should be behind plume
at night.
d. Wind direction should be from either right or left side
of the observer.
e. A clear view of the stack and background should be
available. In some agencies a maximum observer
distance has been proposed.
f. Record smoke-readings on the proper data collection form
and at the required time intervals.
g. Read residual plumes only, not "wet plumes."
h. Observe and record all required environmental conditions
current at the time of the observation (e.g., wind speed,
percent cloud cover, wind direction,, temperature, relative
humidity).
Some relevant information is available in Reference 1.
C-34
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2. Detailed knowledge of local regulations relevant to the objec-
tives, duties, and rights of the inspector. The inspector must
have full knowledge of the prohibitions, required conditions, and
exemptions provided in the law. The areas of the regulations
the inspector needs to know include:
a. Smoke density and opacity standards.
b. Particulate and gaseous emission standards.
c. "Public nuisance" or general "air pollution by definition"
prohibitions.
d. Open burning controls.
e. Incinerator design requirements.
f. Storage, loading, and unloading of gasoline and other
petroleum products.
g. Provisions of the permit system.
h. Emergency control program requirements.
3. Knowledge of the methods used for describing and rating the
intensity of odors.
4. Knowledge of the basic psychophysical and perceptual principles
related to the human sense of smell. This knowledge can include:
a. Sensory adaptation effects.
b. Adaptation level effects.
c. Individual differences in awareness and emotional response
to odors.
d. The concept of a sensory threshold as a statistical phe-
nomenon which, is affected by many external and internal
variables (e.g., humidity and past experience).
5. Knowledge of the procedure for reading an exhaust plume while
following or pursuing a vehicle. Optimally, the line obseryatipn
should be perpendicular to the plume direction. Avoid reading
directly into the plume, and compensate for the error if the
reading cannot be made at an angle to the smoke trail.
C-35
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6. Knowledge of the procedures for pulling a suspect off to the
side of the road (including the associated traffic hazards and
appropriate precautions).
7. Knowledge of the procedure for preparing a notice of violation.
This includes knowledge of the rules for recording information
and all coding schemes used to designate data. Also, knowledge
of the appropriate wording for narrative portions of the notice.
8. Knowledge of the procedure for serving violation notices and for
keeping appropriate records of such activities.
9. Knowledge of the special procedural requirements for citing
violations by vehicles other than cars and trucks (i.e., loco-
motives, ships). For example, in the case of ships, certain
*
types of ships or operating conditons may be exempt from control:
a. U. S. Government ships may be exempt
b. Soot blowing may not be illegal
10. Knowledge of the accuracy and completeness requirements for data
supplied in reports and forms prepared by enforcement personnel
describing alleged violations and complaints.
11. Knowledge of the types of data contained in agency enforcement
files and their application to inspection, complaint handling,
and other enforcement activities.
12. Knowledge of the terminology and language used in agency files
of past enforcement action.
13. Knowledge of the methods for patrol inspectors to make a pre-
liminary identification of a possible source of an odor violation
which would then provide the basis for further investigation.
References
1. Sticksel, P. R., and Staff (Ed.) Student's manual for evaluation
of visible emissions for state and local air pollution inspectors.
Columbus, Ohio: BATTELLE Columbus Laboratories, August 1971.
C-36
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Special Staffing Guidance
1. Because of the great public exposure relevant to this task, the
assignee should have thorough training and practice communicating
with complainants.
2. If inspection or complaint handling is planned to be an integral
part of the patrolling activity, review the task descriptions,
skill requirements, and knowledge requirements for those tasks
on Pages C-3 and C-21.
C-37
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Assist the Legal Staff in
Preparation of Enforcement Actions
Task Overview
In order to cope with heavy enforcement case loads, many agencies provide
their attorneys with assistance in preparing testimony, witnesses, evidence,
and follow-up paperwork. The legal assistance task requires skills and
knowledge relevant to both air pollution control and legal issues. The
following task description presents the sequence of activities representa-
tive of those performed to assist the agency's legal staff.
.f
Occupational Category; Field Enforcement Officer (Senior)
I
Task Description
1. Review all materials submitted by inspectors pertaining to pending
legal action and which may be used as evidence. These materials
can include:
a. Formal violation reports
b. Smoke observation reports
c. Boiler or incinerator inspection reports
d. Industrial inspection reports
e. Sampling results (stack etc.)
Check that all required information is entered accurately and at
the proper level of detail. For example, in a smoke observation
report assure that:
a. The point of observation is completely identified.
b. The viewing distance does not exceed locally accepted
limits.
c. Wind speed is estimated at a reasonable level or
determined with an instrument.
d. Stack is identified.
C-38
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e. Appropriate number of readings are made at the proper time
intervals.
f. Wind direction is appropriate for an acceptable reading.
g. Sun in right position with respect to stack.
If data is improperly recorded or inadequate in some way, re-
quest that the responsible inspector make appropriate corrections.
2. Identify the regulation violated. Determine if, indeed, a viola-
tion has occurred.
3. Check current variances to see if the apparent violation is
amenable to legal action. Assure that the reported violation
is independent of variances held by the alleged polluter. If
the violation is covered by a variance, follow locally prescribed
procedures for filing that information. If the apparent viola-
tion is not covered by a variance, go on to the next steps.
4. Check the enforcement files to determine if the violater has a
previous record of complaints, litigations, or convictions for
similar or the same violation.
5. Select the appropriate compliance action to take for the alleged
violation. This decision may require discussions with agency
management or the agency attorney. Local guidelines are usually
available for routine situations. For example, first violations
for open burning or auto emission violations may be treated with
a ticket rather than a court action.
6. In cases where some legal action will be taken, assist in preparing
the necessary paperwork. Such materials may Include:
a. A formal complaint or violation statement
b. An abatement order
c. A summons on Civil Complaint
d. A Declaration in Support of an Arrest Warrant
e. Subpoenas
7. File all formal documents with the appropriate judicial offices.
8. Secure all required witnesses from within or outside of the agency
and prepare or brief them for their appearance in court.
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9. Attend all arraignments and court cases, provide the attorney
with technical support as needed, and take notes on the pro-
ceedings. Tesify if necessary for successful prosecution.
10. After the case has been completed, prepare required progress
reports for enforcement department files and formal post^
litigation documents. Such reports can include:
a. Description of complaint.
b. Description of arraignment (including date filed,
judge's name, plea, and trial dates).
c. Description of the trial (including judge's name and
prosecutor's name).
d. Trial disposition (decision, amount of fine, jail sentence,
or probation terms).
Post-litigation documents can include:
a. Cease and desist orders.
b. Permanent injunctions.
Skill Requirements
1. Ability to effectively communicate with agency personnel to
provide missing data to complete filed violation reports. Also,
ability to instruct them to insure that missing data won't happen
again.
2. Ability to identify or recognize missing, inadequately detailed,
or incorrect data on reports describing alleged violations. These
materials can include:
a. Formal violation reports
b. Smoke observation reports
c. Boiler or incinerator inspection reports
d. Industrial inspection reports
This ability involves checking that all required information is
entered accurately and at the proper level of detail. For example,
040
-------
In a smoke observation report assure that:
a. The point of observation is completely identified.
b. The viewing distance does not exceed locally accepted
limits.
c. Wind speed is estimated at a reasonable level or determined
with the appropriate instrument.
d. Stack is identified.
e. Appropriate number of readings are made at the proper
time intervals.
f. Wind direction is appropriate for an acceptable reading.
3. Ability to identify or verify the specific section of local
regulations which was allegedly violated as reported by enforce-
ment personnel.
4. Ability to determine if a reported violation is independent of
a variance held by the alleged polluter.
5. Ability to determine whether or not a formally reported violation
is similar to previously reported violations or complaints against
the alleged violator.
6. Ability to select enforcement actions which are appropriate for
specific types of violations and circumstances. This skill may
require the ability to interact with attorneys and high level
management in selecting the appropriate enforcement action.
7. Ability to accurately and completely prepare materials required
for arraignments and court cases. Such materials include:
a. Formal complaint or violation statements
b. Abatement orders
c. Summons on Civil Complaint
d. Declaration in Support of an Arrest Warrant
e. Subpoenas
8. Ability to rehearse or brief witnesses in the recommended behavior
for testifying as a witness in court.
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9. Ability to prepare and rehearse a presentation to be made
before a court, hearing board, or other legal or quasi-legal
body.
10. Ability to accurately and completely prepare post-hearing
documents and progress reports. The formal documents could
include cease and desist orders and permanent injunctions. The
progress reports might include:
a. Description of complaint.
b. Description of arraignment (including date filed, judge's
name, plea, and trial dates).
c. Description of the trial (including judge's name and prose-
cutor's name).
d. Trial disposition (decision, amount of fine, jail sentence,
or probation terms).
11. Ability to recognize and record events during court proceedings
which are worthy of documenting.
Knowledge Requirements
1. Knowledge of the accuracy and completeness requirements for data
supplied in reports and forms prepared by enforcement personnel
describing alleged violations and complaints.
2. Knowledge of local regulations at a level of detail to enable
identification or verification of violations as formally reported
by enforcement personnel.
3. Knowledge of agency variance reporting and filing methods and
the terminology used in those files.
4. Knowledge of the types of data contained in agency enforcement
files and their application to inspection, complaint handling,
and other enforcement activities.
5. Knowledge of the terminology and language used in agency files
of past enforcement action.
6. Knowledge of the procedures and appropriate legal terminology
to use in completing documentation required in hearings or court
C-42
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cases. Such materials may include:
a. A formal complaint or violation statement
b. An abatement order
c. A Summons on Civil Complaint
d. A Declaration in Support of an Arrest Warrant
e. Subpoenas
7. Knowledge of the procedure for filing pre-trial documentation
with local courts or other relevant authorities.
8. Knowledge of the technical information usually requested of a
witness to qualify him as an expert. This technical information
includes:
a. Rules and regulations relevant to the case.
b. The principles and methods of reading
smoke density and opacity.
c. The technical definition of smoke density and
opacity and an explanation of how they differ.
d. The facts of the case (from memory).
e. The duties of an air pollution inspector, engineer,
or whatever role the witness may play.
9. Knowledge of the procedure for preparing a presentation to be
given before a court, hearing board, or other legal or quasi-
legal body.
10. Knowledge of the appropriate dress and decorum for presentation
before a court, hearing board, or other legal or quasi-legal
body.
11. Knowledge of aspects or characteristics of court proceedings
worthy of recording.
i
12. Knowledge of the procedures and terminology used in preparing ,
formal post-trial documentation,-which may include:
a. Cease and desist orders
b. Injunctions
C-43
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13. Knowledge of the alternate enforcement actions which the agency
can take for a given type of violation; criteria, priorities,
standards, and precedents used to select the appropriate enforce-
ment activity.
Special Staffing Guidance
1. This assignment requires a broadly experienced and skilled senior
member of the Field Enforcement Officer occupational category.
He should have detailed knowledge of the types of violations and
enforcement actions likely to occur. He should have the verbal
ability to work with attorneys, and should have had numerous and
effective experiences serving as a witness in court or before a
hearing board.
2. If the task requires an extensive amount of non-proceduralized,
non-standardized writing (e.g., in preparing documents), the assignee
should have proven writing abilities.
3. Because of the nature of the skills and knowledge required for this
task the assignee should have a Bachelor's Degree with some courses
in technical or physical science areas.
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Serving as a Witness in Court or at a Hearing
Task Overview
Frequently, agency personnel must appear in court or before a hearing
body to represent the agency as an expert witness. At this time, they
must make their presentation clearly and respond to cross-examination or
criticism from opponents of the agency's position. The following descrip-
tive material deals with the general problem of qualifying as an expert
witness and appropriate decorum in court.
Occupational Category; Field Enforcement Officer
Engineer
Chemist
Meteorologist
Air Pollution Control Director
Resources Administrator
Task Description
1. In order to prepare for an appearance in court, refer to the
file containing the history of the case to be covered and review
the relevant details.
2. Identify the types of information defense attorneys usually re-
quest to qualify (or disqualify) a witness and learn the appropriate
responses. Many agencies have a courtroom liaison or legal assistant
who can provide this type of information. Interaction with the
agency's attorney may be necessary.
3. Appear in court punctually and dressed appropriately.
4. Present testimony effectively.
5. Leave courtroom as soon as excused as a witness or according to
the appropriate courtroom procedure.
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Skill Requirements
1. Ability to present testimony effectively in court. Effective
testimony can be characterized as:
a. Confidently presented
b. Truthful
c. Brief
d. Responsive to the questions asked
e. Responsive only to questions asked
f. Unbiased
g. Clearly and audibly spoken
h. Courteously presented
i. Confined to matters within the witness's area of expertise
This ability includes responding effectively under cross-
examination. Also includes skill in qualifying as a competent
(therefore, valid) witness. For example, in the case where
the witness has made a smoke-reading, he will often have to
establish himself as a competent smoke-reader (e.g., by
describing his smoke-reading training or explaining the dif-
ference between smoke density and opacity).
2. Ability to prepare and rehearse a presentation to be made
before a court, hearing board, or other legal or quasi-
legal body.
3. Ability to answer (in public) general and technical questions
concerning air pollution control technology and regulatory or
control functions. The level of detail required for the
response will vary as a function of the audiences addressed.
Such audiences can include:
a. Legislative bodies or hearing boards
b. Citizen groups
c. Representatives of industry
d. News media
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Knowledge Requirements
1. Knowledge of the technical information usually requested of
a witness to qualify him as an expert. This technical infor-
mation includes:
a. Rules and regulations relevant to the case.
b. The principles and methods of reading smoke density
and opacity.
c. The technical definition of smoke density and opacity
and an explanation of how they differ.
d. The facts of the case which comprise the witness's
testimony (e.g., technical data, research findings).
e. The duties of an air pollution inspector, engineer,
or whatever role the witness may play.
2. Knowledge of the procedure for preparing a presentation to be
given before a court, hearing board, or other legal or quasi-
legal body.
3. Knowledge of the appropriate dress and decorum for presentation
before a court, hearing board, or other legal or quasi-legal
body.
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Organization and Operation of a Smokeschool
Task Overview
Many agencies offer formal training in the area of "reading" (i.e., visually
judging) density and opacity of smoke. These so-called "smokeschools" typically
offer introductory lectures and visual aids on topics related to visible emis-
sions and provide practice making smoke judgments. The smoke is provided by
a special smoke generator designed for training purposes.
Organization, preparation, and administration of the program is not a full-
time activity. However, it has been included in this study as it can require
skills and knowledge which are not otherwise required of air pollution control
agency personnel.
Occupation Category; Field Enforcement Officer (Senior)
Task Description
1. Schedule the course. In scheduling the course consider the follow-
ing factors:
a. Availability of required facilities and equipment.
b. Availability of students (both initial and repeats).
c. Availability of lecturers and guests.
2. Design and prepare the content of the training program. Depending
on the extent that previously prepared materials are used, this
includes activities such as:
a. Prepare lectures and other instructional materials cover-
ing topics which are directly related to the skill and
knowledge requirements of the intended trainees.
b. Modify existing materials so that they are responsive
to the requirements of the trainees.
c. Arrange the units of Instruction into an agenda.
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d. Secure guest instructors and brief them on the topics
they will cover.
e. Determine the topics to be covered by examination and
quizzes and prepare the necessary materials.
3. Make final preparations for administration of the course including:
a. Assure that all printed materials, teaching aids, and other
materials are prepared or available in the appropriate num-
bers.
b. Check that classroom and other training areas are adequate
for instructional needs (e.g., if films are to be shown,
classroom should be capable of being darkened).
c. Check availability of all required equipment.
d. Prepare the required examinations and quizzes. Appropriate
answer sheets should also be available.
4. If a smoke generator is to be used in course prepare for the course
with activities including:
a. Perform any check-out and calibration procedures that are
required.
b. Operate the smoke generator in the manner in which it will
be used during the course (i.e., a trial run).
c. Identify and correct any malfunctions that appear during
check-out or the trial run.
5. Once the course has been planned and all arrangements are made,
administer the course. This includes:
a. Make opening comments
b. Coordinate guest instructors
c. Distribute materials as needed
d. Deliver lectures
e. Administer examinations and smoke-reading tests
f. Provide feedback and remedial assistance to students
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g. Answer student questions
h. Maintain the schedule as planned
6. Maintain records of each student so that he can be recertified
approximately every six months.
Skill Requirements
1. Ability to identify and describe training requirements for infor-
mation and skill in order to determine content areas to be covered
in a program. This requires:
a. Identification and description of the tasks to be per-
formed by the trainee on the job which are to be covered
by the course.
b. Identification of the skills and knowledge required to
effectively perform those tasks.
c. Identification of those required skills and knowledge
not currently held by the trainees and, therefore, reason-
able content areas for the course to attack.
The extent to which this skill is required depends upon
the degree of freedom available to the school operator in
designing the course.
2. Ability to prepare training objectives. These objectives should
adequately describe the b.ehavior and knowledge to be acquired,
the conditions under which these behaviors will be employed on
the job, and the performance levels the trainee must achieve
to demonstrate competence.
3. Ability to design and prepare training approaches, materials,
lectures, visual aids, etc., required to enable trainees to
achieve course objectives. Maximize characteristics including:
a. Cost/effectiveness
b. Job-relevance
c. Student involvement and participation
4. Ability to prepare written and behavioral tests of the knowledge
and skill trainees are to achieve in training.
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5. Ability to provide the type of feedback invididual trainees require
to support learning and performance in training or on the job.
This includes providing the technical information or practice
required to:
a. Answer questions
b. Alleviate confusion
c. Improve substandard learning or performance
6. Ability to operate, calibrate, and maintain the smoke generator
used in a smoke-reading course.
7. Ability to communicate effectively with agency personnel in
working on operational problems involving enforcement, engineer-
ing, or technical activities of the agency.
8. Ability to deliver training program presentations to a group of
trainees composed of a variety of types of agency personnel
(inspectors, engineers, chemists, management).
9. Ability to carry out task description and task analysis procedures
as a precursor to personnel system developments including:
a. Training
b. Job specifications
c. Personnel selection criteria
d. Performance aid development
Knowledge Requirements
1. Knowledge of the procedures for scheduling training course class
meetings. In setting up the schedule, consideration should be
given to factors including:
a. Availability of required facilities and equipment
b. Availability of students
c. Availability of lecturers and guests
2. Knowledge of the training materials and equipment available
relevant to visible emissions and smoke-reading. These materials
may include References 1, 2, 3, and 4.
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3. Detailed knowledge of the content areas currently included in
existing smoke-reading courses or likely to be included in a
course designed to apply to tasks involving visible emissions.
These areas include:
a. Techniques of smoke-reading (density and opacity)
b. Meteorological factors in smoke-reading
c. Legal aspects
d. Local procedures for reporting emission violations
4. Knowledge of the types of content specialists who could
contribute to the effectiveness of a training course by making
presentations. These specialists could be selected from the
agency, industry, or government officials.
5. Knowledge of the procedures and materials (e.g., response
forms) used for practice and testing of smoke-reading with
a smoke generator. (See Reference 3.)
6. Knowledge of the procedure for making final preparations for
administering a training course (after course materials have
been designed and prepared).
7. Knowledge of the procedures for operation, calibration, and
maintenance of a smokeschool smoke generator.
8. Knowledge of recommended procedures for maintaining records of
student participation in a training program.
9. Knowledge of the technical information usually requested of a
witness to qualify him as an expert. This technical information
includes:
a. Rules and regulations relevant to the case.
b. The principles and methods of reading smoke density
and opacity.
c. The technical definition of smoke density and opacity
and an explanation of how they differ.
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d. The facts of the case (from memory).
e. The duties of an air pollution inspector, engineer,
or whatever role the witness may play.
10. Knowledge of the appropriate dress and decorum for presenta-
tion before a court, hearing board, or other legal or quasi-
legal body.
11. Knowledge of the accepted techniques for planning and present-
ing written or spoken communications such as technical reports,
public presentations, and formal correspondence.
12. Knowledge of principles and procedures for identifying training
requirements, preparing training objectives, and developing a
program to achieve the objectives.
13. Knowledge of the procedures for administering the smokeschool
course. This includes knowledge of procedures for the fol-
lowing :
a. Opening comments
b. Coordinating guest instructors
c. Distributing materials as needed
d. Delivering lectures
e. Administering examinations and smoke-reading tests
f. Providing feedback
g. Maintaining the schedules
14. Knowledge of the agency regulations and procedures relevant to
smoke-reading tasks (e.g., requirements for accuracy, data
record forms, peripheral information requirements, applications
or uses in enforcement efforts).
15. Knowledge of the requirements for an accurate smoke reading.
These requirements include:
a. Read plume against background contrasting in color
to the color of the smoke.
b. Light source (e.g., the sun) should be behind observer
during daytime.
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c. Light source (e.g., spotlight) should be behind plume
at night.
d. Wind direction should be from either right or left side
of the observer.
e. A clear view of the stack and background should be
available. In some agencies a maximum observer distance
has been proposed.
f. Record smoke-readings on the proper data collection form
and at the required time intervals.
g. Read residual plumes only, not "wet plumes."
h. Observe and record all required environmental conditions
current at the time of the observation (e.g., wind speed,
percent cloud coyer, wind direction, temperature, relative
humidity).
Some relevant information in available in Reference 4.
References
1. Institute for Air Pollution Training. Introduction to air
pollution control. Research Triangle Park., North Carolina:
Environmental Protection Agency, Air Pollution Control
Office.
2. Institute for Air Pollution Training. Visible emissions
evaluation. Research Triangle Park, North Carolina: U. S.
Department of Health, Education, and Welfare; Public Health.
Service, Environmental Health Service.
3. Sticksel, P. R. (Ed.) Instructor's and operator's manual
for evaluation of visible emissions for state and local air
pollution inspectors. Columbus, Ohio: BATTELLE Columbus
Laboratories, 19 71.
4. Sticksel, P. R., and Staff (Ed.) Student's manual for evalu-
ation of visible emissions for state and local air pollution
inspectors. Columbus, Ohio: BATTELLE Columbus Laboratories,
August 1971.
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Special Staffing Guidance
1. The assignee for this task should be a senior member of the Field
Enforcement Officer occupational category, with considerable field
experience in reading smoke under a variety of viewing conditions.
2. The assignee should be capable of assessing training needs and de-
signing and administering a responsive program. The assignee should
perform this aspect of the task with the guidance and supervision of
the director of enforcement activities. Development of effective
training is a complex and difficult activity involving a number of
abstract concepts and requiring considerable creativity. Therefore,
it should be closely supervised by a higher level individual (e.g.,
the Agency Resources Administrator or a Program Planning and Develop-
ment Specialist).
3. The assignee should have had numerous and successful experiences
testifying in court or before a hearing board relating his smoke-
reading judgments.
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