Attachment I 

COMPLEI E APPLICATION CHECKLIST 

1. Goveroor'sffribal Chairperson Letter ............................................... ...................... . 

2. Attorney's GeneralfTribal equivalent Certification Statement. ....................... .... .. 

Program meets the requirements of TSCA section 404(b)(I) and 404 (b)(2). 

3. Attorney's Geoeralffribal Equivalent Signed Statement. ..... .................... ... . 

(Certifying that Program is at least as protective as Federal 402 &404 

Demonstrate Adequate Enforcement Authorities) 

4. Program Summary ................................................................................................ ... . 

5. Demonstration of Adequate Eoforcement Procedures .................................. . 

a each of the following ENFORCEMENT ELEMENTS (including copies of all relevant 

policies. certifications, plans, reports or other supporting materials); 

vI) a statement of resources which identifies what resources the State intends to 

devote to administering its compliance and enforcement program 

0,./""2) a conunitm~nt to submirtci EPA the requirc'd Summary iin Progress and Performance 

v3) a demonstration of legal authority and ability to inunediately implement the 

following; 

v authority to enforce the accreditation of training programs 

\L. authority to enforce the certification of individuals engaged in LBP activities 

vauthority to enforce the adopted work practice standards 

V authority to enforce procedures and requirements for pre· renovation notification 

activities 

/ authority to enter premises for inspection purposes 

v authority to engage flexible remedies consistent with an enforcement response poli cy 

that includes warning letters, administrative and civil actions, and criminal sanctions 

...,/"4) a training program for inspectors and enforcement personnel 

~) a compliance assistance program for the ~ublic and the regulated community 

6) a technological capability to perform sampling and laboratory analysis as needed 

,., . 
V 7) an ability to react to tips and complaints 

"- 8) an ability to target inspections which includes a method for obtaining and using 

notifications of commencement of abatement activities 

v' 9) an ability to follow-up on compliance inspection reports 

\l:. 10) an ability to implement a compliance monitoring and enforcement program that 

ensures the correction of violations 

_ II) Reviewed February 14th, 1997 Memorandwn on Effect of State Audit 

ImmunitylPrivilege Laws On Enforcement Authority for Federal Programs for 

applicability to State Program (See attachment #1 ) 

6. Program Description (4 Sections- States- 5 Sections-Tribes) .. ........ ................. . 

o each of the following PROGRAM ELEMENTS; 

~ procedures & requirements for thelltcreditation ·oftrainingprograms·thatinclude 

_ 1) curriculum requirements 

~ 2) training hour requirements 

~ 3) hands-on training requirements 

V 4) trainee competency and proficiency requirements 

V 5) requirements for training program quality control 

V- 6) procedures for the reaccreditation of training programs 

~ 7) procedures for the oversight of training programs 

ZS) procedures for the suspension, revocation, or modification of training programs,.Jl.[ 

• procedures or regulations. for the purposes of certification. for the acceptance of 

training offered by an accredited training provider in a SUite autJiorized by EPA 

(in lieu of Q. J - 8 above) 

_ b. procedures & requirements for the certification of individuals that include 

\.L" I) ensme training by accredited training programs 

\..:::::.... 2) stipulate appropriate education or experience qualifications 

V 3) establish procedures for recertification 

v.::::: 4) require conduct in accordance with State work practice standards 

\./""'"5) establish procedures for suspension, revocation, or modification 

v:::: 6) establish requirements & procedures fat the administration'of a third-party 

certification exam 

0. work practice standards for LBP activities that include 

) a requirement that inspections must be done by certified inspectors 

v 2) requirements that inspections identify LBP on painted surfaces within the interior or 

on the exterior of a residential dwelling or child-occupied facility 

~ 3) a requirement that inspections must use documented methodologies that incorporate 

adequate quality control procedures 

V_ 4) a requirement for a report of inspection. results 

V 5) a requirement that records be retained by the certified inspector or the finn 

v:::::: 6) a requirement that risk assessments be performed by certified risk assessors 
V 7) requirements that risk assessments identify and report on the presence of LBP 

hazards 

\.C:'""8) requirements that risk assessments include, at a minimum; 

\00"'""" an assessment, including a visual inspection, of the physical characteristic·s of the 

residential dwelling or child-occupied facility, and 

v environmental sampling for lead in paint, dust and soil, 

\.L.. 9) a requirement that a risk assessment report clearly present the results of the 

assessment and recommendations for the control or elimination of all identified 

I hazards 

V_ 10) a requirement that the certified risk assessor or firm retain the appropriate records 

L./" II) a requirement that abatements be conducted only by individuals certified to conduct 

or supervise abatements 

V 12) a requirement that abatements permanently eliminate LBP hazards and be conducted 

in a way that does not increase the haiards -aT LBP to the occupants of the dwelling 

or cbild-occupied facility 

./" 13) a requirement that abatements include post-abatement lead in dust clearance 

sampling and conformance with adopted State clearance levels 

V _ 14) a requirement that the abatement contractor prepare a report documenting the areas 

of the residential dwelling or child-occupied facility that were abated and the 

techniques employed 

"- 15) a requirement that the abatement contractor'or the finn retain the'-appropriate· records 

\,.../ d. contractor ct!rtYlCalion requirements 

v _ e. adequate infrastructure/capacity to effectively C8Jl)'out a program 

V f. an analysis of the Stau 's Program that compares the program to the Federal Program 

and which demonstrates how it is "at least as protective" as the Federal Program 

ADDlTlQNAL APPLIed UQNREQUJREMENTS SPECIFIC TO INDIAN TRIBES: N III 

e.so 

The program description must include a map, legal description, or other infonnation 

sufficient to identify the geographical extent of the territory over which the tribe exercises 

j urisdiction. [§745.324(b)(4)(i)] 

The program description must include a demonstration that the Tribe is: (a) recognized by 

the Secretary of the Interior, (b) has an existing government exercising substantial 

governmental duties and powers, (c) has adequate civil regulatory jurisdiction over the 

subject maner and entities regulated. and (d) is reasonably expected to be capable of 

administering the Federal Program for which it is seeking authorization (Note: if the 

Administrator has previously determined that a Tribe has met the prerequisites of (a) & 

(b), only (c) and (d) are required). [745.324(c)] 

The Tribal legal certification must be submitted by the Tribal Counsel or alternatively 

may be submitted by an independent attorney retained by the Tribe for representation in 

matters before EPA or the courts pertaining to the Tribe's Program. The certification 

must include an assertion that the attorney has the authority to represent the Tribe with 
respect to the Tribe's authorization application. [745.324(c)(2)] 

An Indian Tribe that obtains program approval must establish a Memorandum of 

Agreement (MOA) with the Regional Administrator. The MOA shall be executed by the 

Tribe's counterpart to the State Director (e.g., the Director of the Tribal Environmental 

Office, Program or Agency). The MOA must include provisions for the timely and 

appropriate referral to the Regional Administrator for those criminal enforcement matters 

where that Indian Tribe does not have the authority (e.g., those addressing criminal 

violations by non· Indians or violations meriting penalties over $5,000). The Agreement 

must also identify any enforcement agreements that may exist between the Indian Tribe 

and any State. [745.327(e)]. (Note: Indian Tribes are not required to exercise criminal 

enfQrcement jurisdiction as a condition for pro2ram authorization per 745.327(a)). 

7. State or Tribal Statute5 ............................................................................. ........... . 

8. State Regulations .................................................................................................... .. ......... . 

9. Applying (or Final Approval ................................................................... ............. ~ 

10. Applying for Interim Approval. .............. · ........................................................... fi!I. REQUIREMENTS APPLICABLE TO INTERIMAPPRQVAL STATUS: N / A 

Note: Interim approval of the compliance and enforcement program portion of the State or Tribal 

LBP activities program may be granted by EPA only once, and subject to a specific 

oxpiration date. 

In the enforcement portion of the program description, the State or Tribe must address the 

following items in its authorization application: 

Demonstrate that it can immediately implement the compliance and enforcement element 

of the EPA rule relating to "Standards, Regulations and Authority" (74S.327(b)). 

Demonstrate that it will carry out compliance and enforcement activities to address 

significant risks posed by noncompliance with lead-based paint activity requirements. 

Present a plan for implementing the compliance and enforcement element of the EPA ru le 

relating to "Perfonnance" within 3 years (74S.327(c)). 

Submit a statement of resources that will be devoted to the administration of the 

compliance and enforcement program. 
Agree to submit to EPA the Sumnuzry on Progrers and Performance (annually). 

Note: Any interim approval granted by EPA for the compliance and enforcement portion of the 

program must expire no later than 3 years from the date of EPA's interim approval. I f the 

State or Tribe does not receive final approval by this deadline, EPA shall, by that date, 

initiate the process to withdraw the State or Tribe's authorization pursuant to §745.324(i). 

Comments/Additional Notes-

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