## 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 ensureregulatory 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 infrastructuremay 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 activitiesprogram was a purpose of the grant program, many ofthe 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 (g745.326(a)(3))



### Present here developmentofinfrastructure and government capacity: The appropriate infrastructure or government capacity necessaryto effectively carry out a State program has been developed and will be enhanced over time. This infrastructure includes the following: personnelwith the required expertiseto 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 implementthe Lead Hazard Management Program for Renovation, Repair and Painting (LHMP-RRP).
The Health Hazards Control Unit staff has experience inthe 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 technicaltrainer, 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 assistantwill 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 inspectionsof 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 compliancewith the LHMP-RRP Rules. Compliance assistancewill be accomplished through respondingto requests for information, telephone and on-site consultation, and presentations made to the public and regulated community regardingthe hazards of lead-based paint and the LHMP Rules.All individuals performingcompliance assistance or enforcement activitieswill be properly trained in required lead-based painttraining 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 ofthe 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 analysisto evaluate the protectiveness of the State or Tribal Renovation Program in making its determination of approval or disapproval of authorization.

In conducting the analysisofthe RenovationProgram, the applicant should both include an overview ofthe State or Tribal program, as well as addresshow 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 asprotective as the Federal Program. The analysisof the program elements must demonstrate the program is asprotective, on an elementby element basis, as the Federal program.

## 11.6.3. Program ComponentAnalysis (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 Programfor 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 requiredwork 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 Requirementsfor certification of persons performing lead-based paint renovationwork 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 requirementsfor 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 

# (s745.327)

To demonstrate that the State or Tribal program provides adequate enforcement, the Statel or Tribal application must include a description ofthe 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 ofthe 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 ofthe 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 (g745 327(a))



### Please indicatethe type ofapproval 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 (3745.327(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 at40 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. 

### FinalApproval

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 ofenforcement remedies. At a minimum, the remedies that must be reflected in an enforcement response policy must include warning letters, notices ofnoncompliance, notices ofviolation, or the equivalent; administrative or civil actions, including penalty authority; authority to apply criminal sanctions or other criminal authority.

## ll.B.4.b FinalApproval 

## - 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 aspart ofthe 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 orTribe should attach all policies and/or procedures that as such represent the StateorTribe'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 reviewthe factors provided in G.S. 130A-22. By recommendation of the Attorney General's Office, the HHCU has nowritten 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 rectifyingthe 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 inthe violation.

## 1.8.4. 

## Compliance and Enforcement Program (§ 745327(a)(2))



### b. Final Approval (cont.)

To be considered adequate for final approval ofthe 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 ofresources which identifies what resources the Stateor 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 ofresources may use information presented in the Infrastructure description ofthe 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. Complianceand Enforcement Program

# - FinalApproval: 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 recognizedthat 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 

### 1151) provides for fees which will be used to support the program. Personnel requiredto carryout an effective compliance and enforcement program will be devoted to the LHMP-RR&P. Initially, personnel requiredto carryout compliance and enforcementwill 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 requiredto 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 Programwith 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. Inaddition 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 providedwith the equipment and materials needed to operate the compliance and enforcement program. The compliance and enforcement program will be properly supervised and monitoredto insure the program is run properly and maintains its effectiveness.

## 11.8.4. Compliance and Enforcement Program 

# (s745.327(~))

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 ofrenovation 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. 

### FinalApproval (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 ofproper case files. Inspectors must successfiillydemonstrate knowledge ofrenovation work practice requirements and the requirements ofthe particular discipline (e.g., Renovator, Dust Sampling Technician or Workers receiving on thejob training from Renovators) for which they have compliance monitoring and enforcement responsibilities. Inspectors must also be trained in violation discovery, methods ofobtaining consent, evidence gathering, preservation ofevidence 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 ofenforcement and inspection personnel.

## ll.B.4.b. Compliance and Enforcement Program

# - FinalApproval:

- - 

### Training of Enforcement and Inspection Personnel 

### (5745.327(~)(1))

Please discuss process for trainingof enforcement andinspectionpersonnel: 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 inthe 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 meetthe 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 betrained to xesent credentials to conduct inspections and gather evidence when 3ppropriate. Staff will also be trained to contact the North Carolina AttorneyGeneral'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 isto 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 betaken 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.NorthCarolina DepartmentofHealth&HumanServicesDivision of EpidemiologyHealth Hazards Control BranchBULKSAMPLINGDATAFORMOwner/Operator:Facility:Address:ProjectPermit/NESHAPNo.Date Collected:Collector'sNamelInitials:Relinquishedby:I<eceivedby:Total Samples:HHCBSampleNumberDate:Time:Date:Tirue:Condition Found:Wet(W)orDry(D)Type&Physical descriptionofmaterialTime CollectedEstimatedAmount(sq.A.orLin.Ft.)North Carolina DepartmentofHealth and Human Services Division ofPublic 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 

# (s745.327(~)(2))



### b. FinalApproval (cont.)

A Stateor 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 ofrenovations. The type and nature of this assistance can be defined by the Stateor Tribe to achieve this goal.

## ll.B.4.b. Complianceand Enforcement Program

# - FinalApproval:

Please describe how the State or Tribe will conduct compliance assistance activities to facilitate awareness and understanding ofand 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. Thejob 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 -egulatedcommunity. 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 3uildersAssociation, 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 basisto insure an effective outreach program is maintained. Compliance awareness is 

### an important component and goal of the LHMP-RR&P.

## 11.8.4. Complianceand Enforcement Program (§ 745.327(~)(3))



### b. FinalApproval (cont.)

A Stateor 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 Stateor 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 Stateor 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 Tribehas 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&Pwill use a laboratorywho 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 inthe 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. FinalApproval (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.
Insome cases, the complaints or tips can be handled through telephone consultation. In these instances, the caller taking the complaint reviewsthe information with the caller and may make recommendations to the caller or refer the caller to another regulatory agency.NC Departmentof Healthand Human Services Divisionof Public Health Occupational8 EnvironmentalEpidemiology Health Hazards Control Unit 3/09 HHCU ASSIGNMENT 

### REQUEST FORM Assignment #: Existing NotificationlPermit No. (ifapplicable):
Asbestos: 

## -1 Lead: Newly Assigned NotificationIPermit No. (if applicable): Today's Date: Project Date(s): (ifapplicable) Begin: I End: CallTaken By:
Name of Facility, Address and Directions: Circle Region: 119 4110 3111 5 6 7 8

- -- County: FacilityContact: Phone: Contractor InformationlSpecific Details (ifapplicable):

Nature of Complaint?

Agency Referral: yeslno Ifyes, what Agency and POC?

Supporting DocumentationAttached: yes 1no What: Inspector Supervisor: Consultant Supervisor: Program Manager: Date: 

## -

Call Received From: Type: Inspection: Consultation:
Name: Affiliation:
Address:
Phone: Assigned To: Date Assigned:
DateAction Taken: Date Completed:
What action was taken? Use back ofform if needed
Note: All assignments Must be Filed Date Filed in Notebook: ByWhom:NOTES:

## ll.B.4. Compliance and Enforcement Program (5745.327(~)(5))



### b. 

### FinalApproval (cont.)

A State or Tribal renovation compliance and enforcement program must demonstrate the ability to target inspections to ensurecompliance 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

# - FinalApproval: Targeting Inspections (g 745.327(~)(5))



### Please describehow the State or Tribewill target inspections to ensure compliance with the lead-based paintprogram requirements: The LHMP-RR&P compliance and enforcement program has the ability to target inspectionsto 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 certificationto the Program. In addition, the LHMP-RR&P rules require renovatorsto apply for certification to the Program.The LHMP-RR&Pwill check cross-check firm certifications against certified renovatorsto 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 accreditationfrom 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 regulationsto 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 Followingare the inspection scheme for renovation projects and auditing training courses. Since LHMP-RR&P Rules require the use of certificatedfirms 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 departmentsfor locallypermitted 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 resourcesthat 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 prioritywill be to respondto tips and complaints concerning renovation projects with alleged violations. The goal of the LHMP-RR&P is to respondto 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 unitswould 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 inthe 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 inspectionswould make the regulated community aware that the LHMP-RRP has an active compliance program throughout North Carolina. Certified firms who have not been previously inspectedwould be the next focus on the inspection scheme.
The next priority would be to inspectthose projects being performed by certified firms who have demonstrated an unwillingnessor inabilityto 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 initialaccreditation 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&Pwill also maketraining 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 bythe 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. FinalApproval (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 remediesfresponsesto follow up on the identification ofviolations. 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

# - FinalApproval: Follow 

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



### PIease describehow the State or Tribe has the abiIity to process and follow-up on inspection reportsand 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 isthe 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.
Revisionof F&D. Enforcement Conferenceand determinationof 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 possibilityof 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. FinalApproval (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 enforcementprogram. 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 Stateor Tribal enforcement responses which are appropriateto the violations. The State or Tribe must demonstrate it has the legal authority and ability to immediately implement the required elements ofthis 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 whethertheState or Tribe has, in its opinion, the requiredelemenb of

### thissection in place:

The North Carolina 

### LHMP-RR&P is in a position to implement a compliance monitoring and enforcement program. As documented inthis 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 inthe 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 inthe program authorization application package.

## ll.B.4. Compliance and Enforcement Program

# (e745.327(a)(2))



### b. 

### FinalApproval 

## (cont.)

To be considered adequate for final approval ofthe 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 ofresources 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 ofresources 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 ofresources 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 agreemenikontractthrough the North Carolina Attorney General's Office which provides for an attorney to assist the Programwith the development of compliance cases and enforcement issues.



### Note: The title to the table above indicated :

### "lnterim" Approval and 

### was edited toreflect "FinaC" Approval.

## II.B.4. 

## Compliance and Enforcement Program (9745.327(a)(2))



### b. 

### FinalApproval (cont.)
The State or Tribal applicant must also agree to submit to EPA the Summary on Progress and Performance ofrenovation compliance and enforcement activities (as described at Attachment A ofthis appendix).

## ll.B.4.b. Compliance and Enforcement Program

# - FinalApproval: Agreement to submit to EPA the Summary on Progress and Performance(g 745.327(a)(2))



### Please include statement that applicant agrees tosubmit 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 implementingthe 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 bythe 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 (6745.327(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, asrequired by 

## 5 745.324th).The summary would include the number of individuals and firms certified for renovations and the number oftraining programs accredited, as well as the inspections conducted, enforcement actions taken, compliance assistance provided, and the level ofresources committed by the State or Tribe to these activities. The report shall be submitted according to the requirements at § 745.324th).

Attachment B. 

## Memorandum ofAgreement 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 ofAgreement 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.