11.8.2. Program Elements (§ 745.326(a)(3)) 

e. Infrastructure 

The State or Tribe must develop appropriate infrastructure or government capacity to 

effectively carry out a State or Tribal Renovation Program. The development of this 

capacity should be presented here. Infrastructure or capacity include personnel and 

their expertise; program processes, including the processes of accrediting and 

certifying renovation professionals; capability to conduct inspections and enforcement 

to ensure regulatory compliance with State or Tribal Renovation Program 

requirements; and possession of materials and equipment necessary to operate and 

implement a Renovation Program. 

Examples of government capacity and infrastructure may be found in State and Tribal 

work plans from the TSCA 404(g) Lead-Based Paint Program grant (cooperative 

agreement assistance) program. As developing adequate infrastructure and 

government capacity to carry out a lead-based paint activities program was a purpose 

of the grant program, many of the activities funded through the cooperative assistance 

would illustrate State or Tribal infrastructure and government capacity. 
ll.B.2.e. Program elements - Development of the appropriate 

infrastructure or government capacity to effectively carry 

out a State or Tribal program (g 745.326(a)(3)) 

Present here development of infrastructure and government capacity: 

The appropriate infrastructure or government capacity necessary to effectively carry 

out a State program has been developed and will be enhanced over time. This 

infrastructure includes the following: personnel with the required expertise to conduct 

the program; processes for accrediting training providers and training courses; 

processes for certifying firms and individuals; the capability to conduct compliance 

assistance, investigate, inspect and enforce to ensure regulatory compliance with the 

State program requirements; and the acquisition of the necessary equipment and 

supplies to operate and implement the Lead Hazard Management Program for 

Renovation, Repair and Painting (LHMP-RRP). 

The Health Hazards Control Unit staff has experience in the State's Lead-Based 

Paint Hazard Management (LHMP) program which includes training provider and 

course accreditation, individual and firm certification, permitting lead abatement 

projects, and compliance assistance and enforcement activities. The anticipated 

positions required for the LHMP-RRP include one administrative assistant, one 

technical trainer, two industrial hygiene inspectors, two industrial hygiene consultants 

and two processing assistants. 

The Unit Manager has responsibility for managing the LHMP-RRP and the State's 

Lead-based Paint Hazard Management (LHMP) program. This responsibility includes 

ensuring that both Programs' Rules are being developed and implemented. The 

administrative assistant will be involved with data management activities for the 

processing of firm and individual certifications. The technical trainers will evaluate 

training course materials, conduct on-site audits, and accredit training providers and 

courses. Compliance inspections of certified firms will be conducted by the industrial 

hygiene inspectors, as well as complaint investigations. The industrial hygiene 

consultant's primary responsibility will be to provide compliance assistance to the 

public and regulated community in order to facilitate awareness, understanding of, 

and compliance with the LHMP-RRP Rules. Compliance assistance will be 

accomplished through responding to requests for information, telephone and on-site 

consultation, and presentations made to the public and regulated community 

regarding the hazards of lead-based paint and the LHMP Rules. All individuals 

performing compliance assistance or enforcement activities will be properly trained in 

required lead-based paint training courses, in-house training regarding compliance 

and inspection case development procedures, and on-the-job training with 

experienced qualified staff. 
11.8.3. Program Component Analysis (9 745.324(b)(2)(ii)) 

A State or Tribe must conduct an analysis of the State or Tribal 

program that compares the program to the Federal program in 

I subpart E of 40 CFR Part 745. This analysis shall demonstrate 

how the program is, in the State or Tribe's assessment, at least as 

protective as the elements in the Federal program. EPA will use 

this analysis to evaluate the protectiveness of the State or Tribal 

Renovation Program in making its determination of approval or 

disapproval of authorization. 

In conducting the analysis of the Renovation Program, the applicant should both include an 

overview of the State or Tribal program, as well as address how the asterisked (**) elements of 

Section 2 - Program Elements (elements which vary from the Federal Renovation Program) 

result in a State or Tribal program which is as protective as the Federal Program. The analysis of 

the program elements must demonstrate the program is as protective, on an element by element 

basis, as the Federal program. 
11.6.3. Program Component Analysis (9 745.324(b)(2)(ii)) 

The NC Department of Health and Human Services, through the Health Hazards 

Control Unit, implements the lead-based paint for renovation, repair and painting 

program. Requirements of the Lead-Based Paint Hazard Management Program for 

Renovation, Repair and Painting (LHMP-RRP) include accrediting renovation and 

dust sampling technician training providers and courses, certification of firms and 

individuals engaged in renovation activities in target housing and child-occupied 

facilities, and the use of required work practice standards for conducting lead-based 

paint renovation activities. Authority to administer and enforce a state program as 

protective as the federal lead renovation, repair and painting program was provided 

for in House Bill 11 51, "An Act to Establish Requirements for certification of persons 

performing lead-based paint renovation work in certain residential housing and 

child-occupied facilities; and to require accreditations of renovation trainers and 

renovation training courses." This Act was ratified by the North Carolina Legislature 

on August 11, 2009.Temporary rules setting out the procedures and requirements for 

the LHMP-RRP were approved by the Commission for Public Health on October 30, 

2009 and The NC Rules Review Commission on December 17,2009, and have an 

implementation date of January 1, 2010. 

The LHMP-RRP provides for the collection of fees, acceptance of federal grants, and 

reciprocity agreements with other EPA-authorized State programs that have 

requirements consistent with the accreditation and certification requirements of North 

Carolina's program. 

The LHMP-RRP incorporates the requirements of the federal program and includes 

several additional requirements not included in the federal program. Therefore, North 

Carolina's LHMP-RR&P is as protective as the federal program. An explanation of the 

additional requirements of the State program follows. (Variances previously noted in 

Section Il.B.Z.a., ll.B.2.b., and ll.B.2.c.) 
11.8.4. Compliance and Enforcement Program (s 745.327) 

To demonstrate that the State or Tribal program provides adequate 

enforcement, the Statel or Tribal application must include a description 

of the State or Tribal renovation compliance and enforcement program 

that contains all of the elements specified at 40 CFR § 745.327. This 

description shall include copies of all statutes, regulations, policies, 

certifications, plans, reports, and other materials that demonstrate that 

the State or Tribal program contains all of the elements specified at § 

745.327. 

A State or Tribe seeking authorization of a Renovation Program can apply for and receive either 

interim or final approval of the compliance and enforcement program portion of its Renovation 

Program. 

Note: Tribes are not required to exercise criminal enforcement jurisdiction as a condition for 

program authorization. 
Compliance and Enforcement Program (g 745 327(a)) 

Please indicate the type of approval for which the applicant is 

applying: 

Applying for Interim Approval 

(proceed to page 46) 

J Applying for Final Approval 

(proceed to page 62) 
ll.B.4. Compliance and Enforcement Program (3 745.327(a)(2)) 

Final approval of the compliance and enforcement program portion 

of a State or Tribal renovation can be granted by EPA either 

through the application process described at 40 CFR 

§ 745.324(a), or, for States or Tribes which previously received 

interim approval as described in 40 CFR § 745.327(a)(1), through a 

separate application addressing only the compliance and 

enforcement program portion of a State or Tribal Renovation 

Program. 

b. Final Approval 

To be considered adequate for final approval of the compliance and enforcement program portion 

of a State or Tribal Renovation Program, a State or Tribe must in its application: 

X demonstrate the authority to enter, through consent, warrant, or other authority, premises 

or facilities where lead-based paint activities violations may occur for purposes of 

conducting inspections. 

X provide for a diverse and flexible array of enforcement remedies. At a minimum, the 

remedies that must be reflected in an enforcement response policy must include warning 

letters, notices of noncompliance, notices of violation, or the equivalent; administrative or 

civil actions, including penalty authority; authority to apply criminal sanctions or other 

criminal authority. 
ll.B.4.b Final Approval - Standards, Regulations, and Authority 

(§ 745.327(b)(2) and (3)) 

Authority to enter 

I State or Tribal officials must have authority to take I G.S. 13OA-5 I I 

State or Tribal officials must be able to enter premises 

or facilities where those engaged in training for 

renovations and those engaged in conducting 

renovations conduct business, as well as premises or 

facilities where renovation violations may occur 

samples and review records as part of the renovations 

inspection process. 

Applicant 

Citation 

Reference: 

G.S. 130A-17 

authority using existing State or Tribal laws, as 

applicable. 

Analysis 

Flexible remedies 

Warning letters, Notices of Noncompliance, Notices of 

Violation, or the equivalent: 

Administrative or civil actions, including penalty 

authority (e.g., accreditation or certification suspension, 

revocation, or modification); and 

Authority to apply criminal sanctions or other criminal 

Attachment: The State or Tribe should attach all policies and/or procedures that as such 

represent the State or Tribe's enforcement response policy. Such policies should establish a 

prioritization scheme for determining severity of violations and procedures for determining 

the response actions to such violations. 

Comment 

Applicant 

Citation 

Reference: 

G.S. 130A-23 

G.S. 130A-22 

G.S. 130A-25 
ENFORCEMENT RESPONSE POLICY 

When determining the penalty assessment, the Health Hazards Control Unit 

(HHCU) must review the factors provided in G.S. 130A-22. By recommendation of the 

Attorney General's Office, the HHCU has no written penalty assessment policy, and 

each enforcement action is reviewed and assessed individually. The enforcement 

process is outlined in Section ll.B.4.b. of the authorization package. As described in 

G.S. 130A-22, the following factors must be considered in determining the amount of a 

penalty. 

The degree and extent of harm to the natural resources of the State, to the 

public health, or to private property resulting from the violation. 

The duration and gravity of the violation. 

The effect on air quality. 

The cost of rectifying the damage. 

The amount of money the violator saved by noncompliance. 

The prior record of the violator in complying or failing to comply with Article 19 of 

this Chapter or a rule adopted pursuant to that Article. 

The cost to the State of the enforcement procedures. 

If applicable, the size of the renovation involved in the violation. 
1.8.4. Compliance and Enforcement Program (§ 745327(a)(2)) 

b. Final Approval (cont.) 

To be considered adequate for final approval of the compliance and enforcement program portion 

of a State or Tribal Renovation Program, a State or Tribe must, in its application, also: 

X include a statement of resources which identifies what resources the State or Tribe 

intends to devote to the administration of its renovation compliance and enforcement 

program. This statement must address fiscal and personnel resources that will be 

devoted to the program. 

The statement of resources may use information presented in the Infrastructure description of the 

State or Tribal program (see Section II.B.2.b., Program Elements - Infrastructure). However, 

this statement should specifically focus on the resources dedicated to renovation compliance and 

enforcement. 
ll.B.4.b. Compliance and Enforcement Program - Final Approval: 

Statement of Resources (§ 745327(a)(2)) 

Please include statement of resources here: 

The State recognizes the need for an effective compliance and enforcement 

program. Therefore, adequate resources, fiscal and personnel, will be dedicated to 

the program. It is recognized that the resource needs will change with time as the 

program matures and expands with the passage of additional regulations by EPA; 

therefore, the needs will be reviewed and evaluated on a regular basis to ensure an 

effective, efficient compliance and enforcement program is maintained. 

Fiscal program needs will be supported by any available federal grants and fees from 

accreditation of training providers and training courses, certification of firms and 

individuals by the Program. The State allows for the acceptance of federal funds, and 

the enacted legislation (House Bill 11 51) provides for fees which will be used to 

support the program. 

Personnel required to carryout an effective compliance and enforcement program will 

be devoted to the LHMP-RR&P. Initially, personnel required to carryout compliance 

and enforcement will include at least an lndustrial Hygiene Consultant Supervisor, an 

lndustrial Hygiene Consultant, and an Administrative Assistant I. As the program 

matures and funding allows, additional staff may be needed to effectively maintain 

the program. Additional staff may include lndustrial Hygiene Inspectors, lndustrial 

Hygiene Consultants, as well as an Administrative Services Assistant V and an 

additional technical trainer may be required to sustain the program. Additionally, the 

LHMP-RRP has an agreementkontract through the North Carolina Attorney 

General's Office which provides for an attorney to assist the Program with the 

development of compliance cases and enforcement issues. 

All staff involved in the compliance and enforcement program will be properly trained 

to perform their responsibilities. In addition to accredited training courses, staff have 

been or will be trained in evidence gathering, case development, case settlements, 

regulatory authority, etc. Additionally, staff will be provided with the equipment and 

materials needed to operate the compliance and enforcement program. The 

compliance and enforcement program will be properly supervised and monitored to 

insure the program is run properly and maintains its effectiveness. 
11.8.4. Compliance and Enforcement Program (s 745.327(~)) 

A State or Tribal Compliance and Enforcement Program for 

Renovations must also include the following performance elements to 

be adequate for final program approval. Elements include: 

- Training of renovation enforcement and inspection personnel 

- Compliance Assistance for renovations 

- Sampling Techniques for renovations 

- Tracking Renovation Tips and Complaints 

- Targeting Renovation Inspections 

- Follow-up to Renovation Inspection Reports 

- Compliance Monitoring and Enforcement of Renovations 

b. Final Approval (cont.) 

A State or Tribal renovation compliance and enforcement program must implement a process for 

training enforcement and inspection personnel and ensure that enforcement personnel and 

inspectors are well trained. Enforcement personnel must understand case development 

procedures and the maintenance of proper case files. Inspectors must successfiilly demonstrate 

knowledge of renovation work practice requirements and the requirements of the particular 

discipline (e.g., Renovator, Dust Sampling Technician or Workers receiving on the job training 

from Renovators) for which they have compliance monitoring and enforcement responsibilities. 

Inspectors must also be trained in violation discovery, methods of obtaining consent, evidence 

gathering, preservation of evidence and chain-of-custody, and sampling procedures. A State or 

Tribal renovation compliance and enforcement program must also implement a process for the 

continuing education of enforcement and inspection personnel. 
ll.B.4.b. Compliance and Enforcement Program - Final Approval: - - 

Training of Enforcement and Inspection Personnel 

(5 745.327(~)(1)) 

Please discuss process for training of enforcement and inspection personnel: 

The LHMP-RR&P's compliance and enforcement program implements a 

process for training enforcement and inspection personnel that ensures the 

staff is well trained and continues that training through continuing education 

programs. The following areas will be addressed in the training program. 

Academic/Regulatow Training - Compliance, enforcement, and inspection 

staff will complete accredited lead-based paint training courses. 

Compliance inspectors will be required to complete the certified renovator 

training course. Technical Trainers performing training course audits will 

complete the certified renovator and dust sampling technician course and 

meet the certification requirements for Dust Sampling Technician. 

Refresher training will be taken by staff members to insure they remain 

properly trained. Continuing education will be required as new information 

develops. 

Case Development-Compliance and enforcement program staff have been 

or will be trained in case development procedures. Staff members involved 

with the LHMP-RR&P have experience in andlor access to other in house 

programs which incorporate case development skills and procedures. 

In-house training will be used to train new staff members. 

Maintenance of Proper Case Files-Staff members will be trained in proper 

maintenance of case files. The Asbestos Hazard Management Program and 

the existing Lead-Based Paint Hazard Management Program (LHMP) (i.e., 

LBP activities program) involve the proper maintenance of case files; 

therefore, these procedures, which have proven to be effective, will be 

adopted and utilized by the LHMP-RR&P. Files will be maintained on all 

segments of the LHMP-RR&P including training providers, firms, individual 

certification, compliance cases, etc. 

Method of Obtaining Consent-Compliance and enforcement staff members 

 ill be trained in methods of obtaining consent. Staff will be trained to 

xesent credentials to conduct inspections and gather evidence when 

3ppropriate. Staff will also be trained to contact the North Carolina Attorney 
General's Office when necessary to obtain access. 

Violation Discovery, Evidence Gatherinq, and Sampling Procedures -These 

components of a compliance and enforcement program are interconnected. 

The primary focus of an inspection is to determine if a violation has occurred 

and, if so, to gather evidence (photographs, evidence sampling, site 

interviews, checking required certification, checking records available such 

as firm certification, training, information distribution, clearance lab samples, 

etc.). Attached to this section is the chain of custody forms to be used in 

evidence gathering when samples will be taken and sent to an accredited 

laboratory for analysis. 

As previously mentioned, staff members already involved with the 

LHMP-RR&P have experience with the Asbestos Hazard Management 

Program and the Lead-Based Paint Hazard Management Program (LHMP) 

(i.e., LBP activities program) which has an effective compliance and 

enforcement program in place. This experience will be utilized in 

implementing an effective lead-based paint compliance and enforcement 

program. 
North Carolina Department of Health & Human Services 

Division of Epidemiology 

Health Hazards Control Branch 

ORM 

Project Permit/NESHAP No. 

Date Collected: 

Collector's NamelInitials: 

Date: Time: 

Date: Tirue: 

Condition Found: 

Wet (W) or Dry (D) 

Type & Physical description of material Estimated Amount Time Collected 

(sq. A. or Lin. Ft.) 
North Carolina Department of Health and Human Services 

Division of Public Health Health Hazards Control Unit 

191 2 Mail Service Center Raleigh, North Carolma 27699-1912 

Tel919-707-5900 Fax 919-870-4808 

PHOTOGRAPH CD ARCHIVE LOG 

FILER 

INlTlALS 

- 

DATE 

CD # PHOTOGRAPHER TAKEN FILE NUMBERS ON CD 

I I I I 

DATE 

FILED 

I 
11.8.4. Compliance and Enforcement Program (s 745.327(~)(2)) 

b. Final Approval (cont.) 

A State or Tribal renovation compliance and enforcement program must provide compliance 

assistance to the public and the regulated community to facilitate awareness and understanding of 

and compliance with State or Tribal requirements governing the conduct of renovations. The type 

and nature of this assistance can be defined by the State or Tribe to achieve this goal. 
ll.B.4.b. Compliance and Enforcement Program - Final Approval: 

Please describe how the State or Tribe will conduct compliance 

assistance activities to facilitate awareness and understanding of and 

compliance with State or Tribal requirements governing the conduct of 

renovations: - 

The North Carolina LHMP-RR&P provides compliance assistance to the 

general public and the regulated community to facilitate awareness and 

understanding of and compliance with State requirements governing the 

conduct of lead-based paint renovation activities. Currently, there is one 

industrial hygiene consultant position, one industrial hygiene inspector and one 

technical trainer funded from the federal lead grant. All three of these positions 

provide compliance assistance to the public and regulated community. In 

addition, the Lead-Based Paint Hazard Management Program (LHMP) (i.e., 

LBP activities program) has three industrial hygiene consultants, one industrial 

hygiene consultant supervisor, and one technical trainer which are funded 

from sources other than the federal lead grant. The job responsibilities for 

these positions include compliance assistance activities for the LHMP-RR&P 

until the LHMP-RR&P positions can be staffed. This is accomplished through 

distribution of program material, telephone consultation, web-based 

information and educational outreach activities. 

Consultation usually results from a call from a realtor, property manager, 

contractor or building owner who has plans to start or has started a renovation 

project and has encountered unforeseen difficulties, or who has a unique 

situation and would like to discuss it before the project begins. At this point, an 

industrial hygiene consultant would make recommendations on how to conduct 

the work and meet the regulatory requirements. 

Educational outreach activities have consisted and will continue to consist of 

 ork king with other governmental agencies, the general public, and the 

-egulated community. Educational programs have been conducted with the 

Vorth Carolina Division of Environmental Health, the North Carolina 

Iepartment of Commerce, the North Carolina Department of Public 

nstruction, North Carolina Association of Realtors, North Carolina Home 

3uilders Association, and many others. The industrial hygiene consultant staff 

nas also worked with day care centers, city housing authorities, county and 

local building inspections departments, the Carolina's chapter of the 

Environmental Information Association (CEIA), military installations, and 

ion-profit agencies. 
As a part of educational outreach, the Health Hazards Control Unit also 

conducts a seminar for training providers. Topics included in this seminar are 

regulation updates, effective training techniques, and audit procedures. 

Additionally, the technical trainers are in contact with the training providers 

providing them with the most recent Program information, such as revised 

Program policies, forms, and Rules. 

The outreach program will be evaluated on an on-going basis to insure an 

effective outreach program is maintained. Compliance awareness is an 

important component and goal of the LHMP-RR&P. 
11.8.4. Compliance and Enforcement Program (§ 745.327(~)(3)) 

b. Final Approval (cont.) 

A State or Tribal renovation compliance and enforcement program must have the technological 

capability to ensure compliance with the Renovation Program requirements. A State or Tribal 

application for approval of a Renovation Program must show that the State or Tribe is 

technologically capable of conducting a renovation compliance and enforcement program. The 

State or Tribal program must have access to the facilities and equipment necessary to perform 

sampling and laboratory analysis as needed. This laboratory facility must be a recognized 

laboratory as defined at s745.223, or the State or Tribal program must implement a quality 

assurance program that ensures appropriate quality of laboratory personnel and protects the 

integrity of analytical data. 
ll.B.4.b. Compliance and Enforcement Program - Final Approval: 

Please describe how the State or Tribe has the technological capability to ensure 

compliance with the Renovation Program requirements: 

The LHMP-RR&P compliance and enforcement program has the technological 

capability to ensure compliance with the federal and state requirements. The 

industrial hygiene inspectors and technicians are equipped with the proper 

equipment to gather evidence when necessary during a compliance 

inspection. 

It may be necessary to have reliable laboratory analyses of samples taken 

during compliance inspections. The LHMP-RR&P will use a laboratory who is 

approved by NLLAP for all samples collected during a compliance inspection 

The QAIQC plans for the laboratory will be reviewed by the Program. 

All industrial hygiene inspectors and consultants are or will be properly trained 

and qualified to collect samples of paint, dust, and soil as needed. The staff 

will also be trained in the required sampling protocol. Standard Operating 

Procedures (SOP) for sampling of lead-based paint will be developed. The 

industrial hygiene inspectors and consultants have sampling technique 

experience in the asbestos hazard management and lead-based paint hazard 

management compliance and enforcement programs. 
11.8.4. Compliance and Enforcement Program cs 745.327(~)(4)) 

b. Final Approval (cont.) 

A State or Tribal renovation compliance and enforcement program must demonstrate the ability 

to process and react to tips and complaints or other information indicating a violation. The State 

or Tribe should included information such as tracking mechanisms, prioritization schemes, and 

time frames within which the State or Tribe anticipates responding to tips and complaints. 
Tracking Tips and Complaints (§ 745.327(~)(4)) 

Please describe how the State or Tribe has the ability to process, prioritize, and 

respond to tips and complaints: - -- 

Tips and complaints of alleged violations will receive the highest priority in the 

LHMP-RR&P compliance and enforcement scheme. Each tip or complamt IS 

written on an "Assignment Request Record" when received. A copy of this 

Record is attached. The complaint is reviewed by either the industrial hygiene 

consultant or inspector supervisor and prioritized. 

If the complaint warrants an inspection or consultation, the complaint is 

assigned to an industrial hygiene inspector or consultant as appropriate, and a 

compliance inspection/consult is scheduled as soon as possible. The 

complaint and inspection/consult results will be reported in the tracking system 

of the LHMP compliance database system. This will ensure that tips and 

complaints are properly addressed and concluded. A file on tips and 

complaints will also be maintained in the program files. 

In some cases, the complaints or tips can be handled through telephone 

consultation. In these instances, the caller taking the complaint reviews the 

information with the caller and may make recommendations to the caller or 

refer the caller to another regulatory agency. 
NC Department of Health and Human Services 

Division of Public Health 

Occupational 8 Environmental Epidemiology 

Health Hazards Control Unit 3/09 

HHCU ASSIGNMENT REQUEST FORM 

Assignment #: Existing NotificationlPermit No. (if applicable): 

Asbestos: - 1 Lead: Newly Assigned NotificationIPermit No. (if applicable): 

Today's Date: Project Date(s): (if applicable) Begin: I End: 

Call Taken By: 

Name of Facility, Address and Directions: 

Circle Region: 119 4110 3111 5 6 7 8 

- -- 

County: Facility Contact: Phone: 

Contractor InformationlSpecific Details (if applicable): 

Nature of Complaint? 

Agency Referral: yeslno If yes, what Agency and POC? 

Supporting Documentation Attached: yes 1 no What: 

Inspector Supervisor: Consultant Supervisor: Program Manager: Date: - 

Call Received From: 

Type: Inspection: Consultation: 

Name: 

Affiliation: 

Address: 

Phone: 

Assigned To: 

Date Assigned: 

Date Action Taken: 

Date Completed: 

What action was taken? 

Use back of form if needed 

Note: All assignments Must be Filed Date Filed in Notebook: By Whom: 
NOTES: 
ll.B.4. Compliance and Enforcement Program (5 745.327(~)(5)) 

b. Final Approval (cont.) 

A State or Tribal renovation compliance and enforcement program must demonstrate the ability 

to target inspections to ensure compliance with the Renovation Program requirements. A neutral 

administrative inspection scheme is one mechanism a State or Tribe might use to target 

inspections. 
ll.B.4.b. Compliance and Enforcement Program - Final Approval: 

Targeting Inspections (g 745.327(~)(5)) 

Please describe how the State or Tribe will target inspections to ensure compliance 

with the lead-based paint program requirements: 

The LHMP-RR&P compliance and enforcement program has the ability to 

target inspections to ensure compliance with the state and federal rules and 

regulations. An inspection scheme will be developed to ensure an effective 

compliance program. 

The LHMP-RR&P Rules require the use of certificated firms and that firms 

apply annually for certification to the Program. In addition, the LHMP-RR&P 

rules require renovators to apply for certification to the Program. The 

LHMP-RR&P will check cross-check firm certifications against certified 

renovators to ensure both elements are in place as needed. Additionally, 

notification is required by the Program Rules for training courses conducted in 

North Carolina at least ten working days prior to the start of the course. 

Training courses seeking accreditation from North Carolina must submit an 

application and schedule an on-site audit. The on-site audit must meet the 

requirements of the state and federal rules and regulations to receive 

accreditation. All training providers seeking accreditation of courses must be 

accredited by the Program. If a course is accredited by a state that has a 

written reciprocating agreement with the LHMP-RR&P and seeks accreditation 

from the LHMP-RR&P, the training provider must be accredited by the 

Program, submit a training course accreditation application, and meet the 

requirements of the LHMP-RR&P Rules. Training course notifications are used 

to schedule on site audits. 

Renovation Proiect Inspections 1 

Following are the inspection scheme for renovation projects and auditing 

training courses. 

Since LHMP-RR&P Rules require the use of certificated firms and that firms 

apply annually for certification to the Program, the state will be aware of 

certified firms actively conducting renovations within the state. 

I The state will use various resources to assist with targeting inspections such I I as contacting county and local building inspection departments for locally 
permitted projects that involving renovation projects. Municipal lead hazard 

reduction programs (most HUD grant recipients), NC Housing Finance 

Agency, Department of Commerce's Office of Economic Opportunities 

(weatherization) and CBDG are other resources that may be used in applying 

the inspection scheme to the compliance program as many of these 

agencieslprograms can identify where fiscal resources are being used and 

what contractors are participating in their programs. 

The highest priority will be to respond to tips and complaints concerning 

renovation projects with alleged violations. The goal of the LHMP-RR&P is to 

respond to all viable tips and complaints within 24 to 48 hours. 

The next priority will be to inspect renovations being performed in 

child-occupied facilities. The focus on child-occupied facilities is due to the 

large number of children under the age of six that could be effected if the 

renovation project is not conducted properly. 

Projects performed in multi-family residential units would be given the next 

order of priority. Once again, a large number of children under the age of six 

could be exposed to lead-based paint hazards if the renovation is not 

conducted properly. Also, occupants of the multi-family residential units are 

often not owned by the occupant and, therefore, are not in control of the 

project. This may result in the occupants being at a higher risk than privately 

owned single family homes. 

Next, selecting certified renovation firms in various geographic locations 

throughout the State. These inspections would make the regulated community 

aware that the LHMP-RRP has an active compliance program throughout 

North Carolina. 

Certified firms who have not been previously inspected would be the next 

focus on the inspection scheme. 

The next priority would be to inspect those projects being performed by 

certified firms who have demonstrated an unwillingness or inability to maintain 

compliance with North Carolina LHMP-RR&P rules. 

( Training Course Audits 

The highest priority of the LHMP-RR&P is to audit all training courses, initial 

and refresher, seeking accreditation. As mentioned previously, all courses 

seeking initial accreditation require an on-site audit before the course can 

become accredited. 
The next priority will be to respond to tips and complaints received concerning 

a training provider. 

The LHMP-RR&P will also make training providers who have a history of 

violations a high priority for auditing. 

Training course instructors that are added after course accreditation will also 

have a high priority for auditing purposes. The instructors are evaluated on 

technical accuracy as well as teaching effectiveness. 

Unannounced audits will be performed on a routine basis during the training 

course accreditation period. Training providers must submit renewal 

applications for the training course accreditation annually. Training providers 

must also notify the LHMP of any changes any changes in course length, 

curriculum, training methods, training manual or materials, instructors, 

examination, training certificates, training course manager or contact person. 

These changes must be approved by the Program, and audits are scheduled 

to ensure the training courses continue to meet the LHMP-RR&P 

requirements. 
ll.B.4. Compliance and Enforcement Program (§ 745.327(~)(6)) 

b. Final Approval (cont.) 

A State or Tribal renovation compliance and enforcement program must demonstrate the ability 

to reasonably, and in a timely manner, process and follow-up on inspection reports and other 

information generated through enforcement-related activities associated with the Renovation 

Program. The State or Tribal program must be in a position to ensure correction of violations and, 

as appropriate, effectively develop and issue enforcement remediesfresponses to follow up on the 

identification of violations. The State or Tribe should illustrate here procedures used to follow 

up on inspections, including case development, consent agreement and consent orders, follow up 

inspections, case closeout, and time frames within which the State or Tribe aims to achieve 

report follow up, and resolution of non-compliance. 
ll.B.4.b. Compliance and Enforcement Program - Final Approval: 

Follow Up to Inspection Reports (g 745.327(~)(6)) 

PIease describe how the State or Tribe has the abiIity to process and follow-up on 

inspection reports and other information generated through enforcement-related 

activities: 

Existing State laws, regulations, and procedures, as noted in various sections 

of this application package, provide flexible remedies sufficient to properly 

address all violations of the LHMP-RR&P Rules. The remedies vary and 

include the following: a notice of non-compliance, notice of violation, 

suspension or revocation of certification for firms or individuals, suspension or 

revocation of accreditation of training course providers or training courses, the 

assessment of administrative penalties, and criminal enforcement. 

The type of enforcement action will be determined by several factors. 

Consideration by the Department is given as to the magnitude of the violation, 

the type and size of the project, the compliance history of the firm, the 

compliance history of the contractor, the willfulness of the violation, the harm 

to the environment, and the hazard posed to the health, safety, and welfare of 

the public. 

The LHMP-RR&P has a contract with the North Carolina Attorney General's 

Office which allows for immediate access to legal counsel if legal remedies 

must be employed. These may include, but are not limited to, a search warrant 

to conduct a compliance inspection or an injunction. 

Proposed time frames to implement the compliance and enforcement program 

follow. 

Violations resolved with a warning letter can normally be closed out 

within four weeks. 

Violations resolved with the suspension or revocation of certification or 

accreditation can normally be resolved in three months, if an appeal is 

not received. 

Violations that have to be resolved by an administrative law judge can 

take in excess of three months. This time frame is due to the scheduling 

of hearing dates. 

Attached is the enforcement process that is used by the Health Hazards 

Control Unit. All correspondence and compliance case documentation will be 

Filed, and selected data will be entered into the compliance database. 
HEALTH HAZARDS CONTROL BRANCH 

ENFORCEMENT PROCESS 

lnspection conducted by the industrial hygienist. 

lnspection report prepared and reviewed. 

Notice of Violation sent. 

Enforcement package prepared by the Health Hazards Control Unit (HHCU). 

Findings and Decision (F&D) draft prepared by the HHCU. 

Enforcement package and F&D draft reviewed by the Attorney General's Office. 

Revision of F&D. 

Enforcement Conference and determination of Administrative Penalty 

Assessment. 

Transmittal of assessment to violator(s). The violator(s) has 30 days from receipt 

to submit a reply. The violator(s) may confer informally with the Department 

through the Attorney General's Office regarding the facts of the case, the amount 

of the penalty, and the possibility of settlement. 

Violator's reply received. Options are payment of penalty or appeal to the Office 

of Administrative Hearings. 
ll.B.4. Compliance and Enforcement Program (§ 745.327(~)(7)) 

b. Final Approval (cont.) 

A State or Tribal renovation compliance and enforcement program must demonstrate, in its 

application for approval, that it is in a position to implement a compliance monitoring and 

enforcement program. Such a compliance monitoring and enforcement program must ensure 

correction of violations, and encompass either planned and/or responsive renovation compliance 

inspections and development/issuance of State or Tribal enforcement responses which are 

appropriate to the violations. The State or Tribe must demonstrate it has the legal authority and 

ability to immediately implement the required elements of this section (II.B.4.b.). 
ll.B.4.b. Compliance and Enforcement Program - Final Approval: 

Compliance Monitoring and Enforcement (g 745.327(~)(7)) 

- - - - - - - - -- - - - - 

Please describe whether the State or Tribe has, in its opinion, the required elemenb 

of this section in place: 

The North Carolina LHMP-RR&P is in a position to implement a compliance 

monitoring and enforcement program. As documented in this and other 

sections of the program authorization application package, the compliance 

monitoring and enforcement program will ensure correction of violations, will 

encompass compliance inspections based on the inspection scheme 

described previously, and will issue enforcement responses to violations. As 

shown in the application package, the LHMP-RR&P has the legal authority and 

ability to immediately implement the required elements of section ll.B.4.b. 

Documentation of adequate resources and infrastructure is provided in the 

program authorization application package. 
ll.B.4. Compliance and Enforcement Program (e 745.327(a)(2)) 

b. Final Approval (cont.) 

To be considered adequate for final approval of the compliance and enforcement program portion 

of a State or Tribal Renovation Program, a State or Tribe must, in its application, also: 

X include a statement of resources which identifies what resources the State or Tribe 

intends to devote to the administration of its renovation compliance and enforcement 

program. This statement must address fiscal and personnel resources that will be devoted 

to the program. 

The statement of resources may use information presented in the Infrastructure description of the 

State or Tribal program (see Section II.B.2.d., Program Elements - Infrastructure). However, 

this statement should specifically focus on the resources dedicated to compliance and 

enforcement. 
ll.B.4.b. Compliance and Enforcement Program - l&ei+m Final 

Approval: Statement of Resources (g 745327(a)(2)) 

Please include statement of resources here: 

The appropriate infrastructure or government capacity necessary to effectively carry 

out a State program has been developed and will be enhanced over time. This 

infrastructure includes the capability to conduct compliance assistance, investigate, 

inspect and enforce to ensure regulatory compliance with the State program 

requirements and implement the Lead Hazard Management Program for Renovation, 

Repair and Painting (LHMP-RRP). The resources the HHCU intends to devote to the 

administration of its renovation compliance and enforcement program include: initial 

anticipated positions required for the LHMP-RRP include one administrative 

assistant, one industrial hygiene consultant and an industrial hygiene consultant 

supervisor. Additional staff (i.e., Industrial Hygiene Inspectors, technical trainer and 

Administrative Assistant may be needed as the program matures and pending 

funding. The Unit Manager has responsibility for managing the LHMP-RRP. This 

responsibility includes the enforcement and compliance program. 

Fiscal program needs will be supported by available federal grants and fees collected 

by Department. The LHMP-RRP provides for the collection of fees and allows for 

acceptance of federal grants. The Department will collect both initial and renewal 

fees for accreditation and certification as authorized under G.S. 130A-453.17, and 

the collected fees will be used for the ongoing administration of the LHMP-RRP. 

Additionally, the LHMP-RRP has an agreemenikontract through the North Carolina 

Attorney General's Office which provides for an attorney to assist the Program with 

the development of compliance cases and enforcement issues. 

Note: The title to the table above indicated : "lnterim" Approval and was edited to reflect 

"FinaC" Approval. 
II.B.4. Compliance and Enforcement Program (9 745.327(a)(2)) 

b. Final Approval (cont.) 

The State or Tribal applicant must also agree to submit to EPA the Summary on Progress and 

Performance of renovation compliance and enforcement activities (as described at Attachment A 

of this appendix). 
ll.B.4.b. Compliance and Enforcement Program - Final Approval: 

Agreement to submit to EPA the Summary on Progress and 

Performance (g 745.327(a)(2)) 

Please include statement that applicant agrees to submit Summary on 

Progress and Performance: 

The North Carolina LHMP-RRP compliance and enforcement program 

will submit to the EPA Regional Administrator a report which 

summarizes the results of implementing the State lead-based paint 

renovation compliance and enforcement program, including a 

summary of the scope of the regulated community, the inspections 

conducted, enforcement actions taken, compliance assistance 

provided, and the level of resources committed by the State to those 

activities. The report shall be submitted according to the requirements 

at 40 CFR Part 745 Subpart Q Subsection .324(h). 
Attachments 
Attachment A. Summary on Progress and Performance (6 745.327(6)) 

The Summary on Progress and Performance described below is part of the required elements for 

the compliance and enforcement program portion of a State or Tribal Renovation Program. A 

State or Tribal renovation compliance and enforcement program must submit to the appropriate 

EPA Regional Administrator a report which summarizes the results of implementing the State or 

Tribal renovation compliance and enforcement program, including a summary of the scope of the 

regulated community within the State or Tribe, as required by 5 745.324th). The summary would 

include the number of individuals and firms certified for renovations and the number of training 

programs accredited, as well as the inspections conducted, enforcement actions taken, 

compliance assistance provided, and the level of resources committed by the State or Tribe to 

these activities. The report shall be submitted according to the requirements at § 745.324th). 

Attachment B. Memorandum of Agreement 745.327(e)) 

An Tribe that obtains Renovation Program approval must establish a Memorandum of 

Agreement with the Regional Administrator. The Memorandum of Agreement shall be executed 

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

Program or Agency). The Memorandum of Agreement must include provisions for the timely 

and appropriate referral to the Regional Administrator for those criminal enforcement matters 

where that 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 Tribe and any State.