Attachment I 

# COMPLEI E APPLICATION CHECKLIST

1. Goveroor'sffribal Chairperson Letter
....... . ...... ................................. .. ...... .............. .
2. Attorney's GeneralfTribal equivalent Certification Statement.
....................... .... .. Program meets the r equirements of TS CA sec tion 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
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a each of the followin g 

### ENFORCEMENT ELEMENTS (including c opie s of all relevant

po licies. certifications, plans, reports or other supporting materials); vI) a statement of resources which identifies what resources the State intend s to devote to administering its comp liance 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 t he fo ll owing ; 

# v a uthority to enforce the accreditatio n 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·renovati o n notification activi ti es / auth ori ty to e nte r premises for in spection purpose s

v authority to engage flexible re me d ies consistent wi th an e nforcem ent re sponse po li c y that includes warning letters, administrative and civil actions, and crimi nal sanction s ...,/"4) a training program for in spectors and enforcement personne l**~)** a comp li ance assistance program for the**~ublic** and t h e regulate d commun ity 6) a techno l ogical capability to perform sampling and laboratory analysis as needed



### ,. , 

# .

# V 7) an abi lity to react to tips and complaints "- 8) an abi lity 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;**~** pro cedures & requirements fo r thelltcreditation · oftrainingprograms · thatinclude

_ 1 ) curricu lum 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 ofindividuals that include 

### \.L" I ) ensme training by accredited training programs \..:::::.... 2) stipu late appropriate education or experience qualifications V 3) establis h procedures for r ecertification 

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

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

# v:::: 6) es tablish 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 in specto rs 

# v 2) requ irements that inspections identify LBP on painted surfaces within the interior o r o n the exter ior of a residential dwelling or child-occupied facility

### ~ 3 ) a requireme nt that inspections mu s t us e documented method olog ie s that incorpora te adeq uate quality control procedures 

## V_ 4 ) a requirement for a report o f inspection.results



### V 5 ) a requirement that record s be retained by th e certified inspector or the finn 

# v:::::: 6 ) a requirement that risk assessments be performed b y cert ified risk assessors

### V 7) re qui rements that risk asses sments identify and report on the presen ce of LBP h azards \.C:'""8) requ irements that risk assessments include , at a minimum; \00"'""" an assessment, including a visual inspection, of the phy sical characteristic· s of the res idential dwelling or child-occupied fa cilit y , and 

# v environmental s ampling for lead in paint , dust and soil , 

### \.L.. 9 ) a re q uirement that a risk as se ss ment report clearly pres ent the result s of the as sessment and recommendations for the control or elimination of all identified 

### I h azards V

_ 10) 

### a requirement that the certified risk asse ss or or firm retain the appropri ate records L./" II) a requirement that abatement s be conducted o nly by indi v iduals certified to condu ct o r supervise abatements 

## V 12) a requirement that abatement s permanently eliminate LBP hazards and be conducted in a way that does not increas e the haiard s - a

T LBP to th e oc cupant s o f the dwellin g or cbild-occupied facilit y ./" 1 3) a requirement that abatement s include post-abatement lead in du st cl earance 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. 

### co ntractor ct!rtYlCalion requirements 

### v _ e . 

### ad equate infrastructure/capacity to effectively C8Jl)'out a program 

### V f. an 

### analysis of the Stau ' s 

### Program that compares the p ro gram to the Federal Program an d which demonstrates how it is "at least as protective " as th e Federal Program 

### A DDlTl QNA L APPLIed UQNREQUJREMENTS SPE CIFIC TO INDIAN T RIBES: 

# N 

# III e.so The program description must include a map, legal descrip tion, or other infonnation sufficient to identify the geographical extent of the territory over which the tribe exerci ses j uri s dict ion . [§745
. 324(b)(4)(i)] The p rogram description must include a demonstration that the Tribe is: (a) recogni zed b y the S ecretary of the Interior, (b) has an existing governm ent exercisi ng s ubstantial go vernm ental duties and powers, (c) has adequate civil reg ul at ory juri s diction over th e sub jec t maner and entities regulated
. and (d) is reasonabl y expe cted to be capable of adm in istering the Federal Program for which it is seeking auth orization (No te : if th e Adm in is trator has previously determined that a Tribe has met the prerequi s ites of (a) & ( b) , o nly (c) and (d) are requ ired). [745
. 324 (c)] The Tr ibal legal certifi c ation mu st be submitted by t he Tri bal Coun sel or a ltern ati ve ly may b e submitted by an independent attorney retained by the Tribe for repres entat i on in matter s before EPA or the courts pertaining to the Tribe's Program. The certification mu st include an as serti o n that the attorn ey has the authority to repre sent the Trib e withre spect to the Tribe's authorization application. [745.324(c)(2 )] An In dian Tribe that obtains program approval must establish a Memorandum of Agree me nt (MOA) with the Regional Administrator. The MOA shall be ex ecuted by the Tribe 's counterpart to the State Director (e.g., the Director of the Tribal Environmental Offic e , Pro gram or Agency). The MOA must include provisions for the time ly and appropriate referral to the Regional Administrato r for th os e criminal enforcement matters where th at Ind ian Tribe does not have the authority (e.g., those addressing criminal violations by non· Ind ians or violations meriting penalties over $5,000). The Agreement must als o 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 enfQrce ment jurisdiction as a condition for pro2ram authorization per 745.327(a)). 7. State or Tribal Statute5
..... .......... ... ........................................................... ........... . 

### 8. State Regulations
.................................................................................................... .. ......... . 9. Applying (or Final Approval
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# ~ 10. Applyin g for Interim Approval.
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# fi!I
. REQUIREMENTS APPLICABLE TO INTERIMAPPRQVAL STATUS: 

# N/ A Note: Interim approva l of the compliance and enforcement program portion of the State or Tribal LBP act ivi ti es program may be granted by EPA only once , and subject to a specific oxpirati o n date. In the enforc ement portion of the program description , th e State or Tribe must address the following ite ms in its authorization application: Demonstrate that it can immediately implement the compliance and enforcement elemen t of th e EP A rule relating to "Standards, Regulations and Authori ty" (74S.327(b)). Dem ons trate that it will carry out compliance and enforcemen t activities to address significant risks posed b y noncompliance with lead -b ased paint activ ity requirements. Pres ent a plan for implementing the co mplian ce and e nfo r ceme nt e lement of the EPA ru le relat ing to " Perfonnance " within 3 years (74S.327(c))
. Submit a statement of resources that wi ll be devo ted to the administration of the com pliance and enforcement program.Agree to s ubmit to EPA the 

### Sumnuzry on Progrers and Performance ( annually)
. Not e: Any i nterim approval granted by EPA for the compliance and enforcement portion of the program mu s t 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, ini t iate the process to withdraw the State or Tribe's authorization pursuant to §745.324(i). 

### Co mments/Additional Notes-

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