INFORMATION ON THE ASBESTOS IN SCHOOLS HAZARD ABATEMENT ACT (ASHAA) This is a copy of EPA's Policy Statement on the ASHAA program. The document contains information on the Agency's plans for implementing ASHAA. Included are sections providing guidance for Governors and Local Education Agencies (LEAs) on EPA's grant and loan program, interim guidelines for assessing asbestos hazards and selecting an abatement program, and standards for contractors to follow when conducting asbestos abatement projects. The application packages for grants and loans were mailed in December. As an attachment to the Policy Statement, we have included an updated list of state agencies designated by Governors to manage the loan and grant program. These persons will be receiving and reviewing grant and loan applications before they are forwarded to EPA headquarters. This updated list now,, includes a designee for the State of Oregon. Applications should be submitted by LEAs to their Governor's designee by February 15, 1985. Governors should have the application processed and forwarded to EPA by March 15 , 1985. Grant and loan recipients will be notified by June 6, 1985. As you know, the application calls for an estimate of the costs of a proposed abatement project. While this infor- mation may be difficult to obtain, LEAs are encouraged to make as accurate an estimate as possible. Applications without such estimates will be assigned a cost figure using information currently available to EPA. In order to estimate costs or develop abatement strate- gies LEA's may wish to seek professional guidance. Therefore, EPA is considering whether an exception to the Agency's rule against reimbursement for pre-award cost is advisable. Should EPA determine that a deviation should be granted, only those costs incurred after the date of ASHAA's enactment (August 10, 1984) which are directly related to obtaining technical advice necessary for the preparation of the application would be eligible for reimbursement. Applicants are cautioned that EPA is not considering reimbursement of costs of inspecting or evaluating an abatement project which Is not ultimately funded by EPA under ASHAA program. If a deviation is granted, successful applicants will be notified Finally, LEAs should take care to note the contractor standards in the Policy Statement. The Agency believes that contractors following these standards will be qualified properly perform asbestos abatement projects. ------- STATEMENT OF POLICY REGARDING ASBESTOS SCHOOL HAZARD ABATEMENT ACT OF 1984 BACKGROUND This paper describes EPA's plans to implement the Asbestos School Hazard Abatement Act of 1984 (ASHAA), which establishes a loans and grants program for abating asbestos in schools. This paper identifies the statutory responsibilities of the Local Educational Agencies (LEAs), the Governor of each State, and the EPA, and also outlines policies that EPA will adopt in implementing ASHAA. The Agency circulated this document to persons outside of EPA for their comments. This document reflects changes made to accomodate comments received. Questions and comments about this policy statement should be directed to EPA's Regional Asbestos1 Coordinators (RACs). RACs addresses and phones are listed in EPA's Guidance Document "Guidelines for Controllig Friable Asbestos- containing Materials in Buildings", or to the Asbestos Action Program, Office of Pesticides and Toxic Substances, TS-788, 401 M Street S.W., Washington, D.C. 20460. ------- Table of Contents of this Paper I. INTRODUCTION 5 A. SCOPE 5 B. GENERAL BACKGROUND 5 1. Asbestos 2. History of EPA Regulatory Activity on Asbestos in Schools II. STATUTORY REQUIREMENTS UNDER ASHAA 6 A. GENERAL 6 1. Development of Application Form 2. State Plan--Recordkeeping 3. LEA Applications 4. Governor's Rankings 5. Secretary of the Department of Education 6. EPA Approval/Disapproval 7. Procedures for Abatement Programs 8. Contractor Qualifications 9. Suits on Behalf of LEAs 10. Employee Protection from Dismissal/Discrimination 11. Legal Rights B. SUMMARY OF DEADLINES 9 III. GUIDANCE FOR LEAs 10 A. APPLICATION FORMS 10 B. DETERMINING WHETHER ASBESTOS IS PRESENT 11 C. RECORDS 11 D. SELECTING ABATEMENT PROGRAM 11 E. PUBLIC PARTICIPATION 12 F. ELIGIBILITY FOR AID 12 ------- -3- 1 . General 2. Projects Completed Prior to January 1, 1984 3. Financial Need G. SUBMISSION OF APPLICATION 14 H. GRANTS REGULATION 14 IV. GUIDANCE FOR GOVERNORS 15 A. RECORDKEEPING AND REPORTING 15 1. General 2. Contents of Plan B. RANKING APPLICATIONS ..16 1 . General 2. Assigning Priorities C. CERTIFICATION OF FINANCIAL INFORMATION 17 V. EPA PROGRAM 18 A. REVIEW OF APPLICATIONS 18 1 • Procedures 2. Priority List 3. Financial Assistance 4. Use of Funds B. COMPLIANCE MONITORING 19 C. STANDARDS FOR DETERMINING CONTRACTOR QUALIFICATION 20 1 . Standards 2. Procedures D. INTERIM GUIDELINES FOR EVALUATING ASBESTOS HAZARD AND ABATEMENT ACTIONS 23 ------- -4- 1. Detecting Asbestos 2. Evaluating the Asbestos Hazard 3. Response to the Presence of Asbestos E. ADVISING AND PROTECTING SCHOOL EMPLOYEES 30 1. Worker Training and Information 2. Interim Controls 3. Special Operations and Maintenance 4. Asbestos Abatement Projects F. DISPOSAL OF REMOVED ASBESTOS 33 G. EVALUATION OF PROJECT COMPLETION 34 Figure 1 Types of Building Materials Which Could Contain Asbestos Figure 2 Key Elements of a Sampling and Analysis Plan Figure 3 A Guide to Selecting a Course of Action ATTACHMENT: GOVERNORS DESIGNEES ------- -5- I. INTRODUCTION A. SCOPE The Asbestos School Hazard Abatement Act of 1984 (ASHAA) establishes a program within the Environmental Protection Agency (EPA, or the Agency) that must accomplish three major tasks. First, EPA must compile and distribute medical, scientific, and technical information concerning asbestos* Second, EPA must provide financial assistance on a school-by-school basis to local educational agencies (LEAs) to carry out projects for abating the threat to school children or employees posed by asbestos. Third, EPA must establish procedures or standards for LEAs to use in conducting asbestos abatement activities and determining of whether contractors are qualified to perform asbestos abatement work. This paper describes EPA's plans for fulfilling these statutory requirements. In the future, EPA will be evaluating the effectiveness of this program and will also be examining the efficacy of the various abatement techniques. To comply with the terms of ASHAA and to receive loans or grants under EPA's program, LEAs and State Governors must also fulfill several obligations. This paper also explains these responsibilities, providing procedures to follow, policy guidance, and reference to documents that are available to the public and that contain further information on asbestos detection and abatement. B. GENERAL BACKGROUND 1. Asbestos. "Asbestos" refers to a group of hydrated mineral silicates which readily separate into fibers. Section 511(1) of ASHAA defines "asbestos" as: (A) chrysotile, amosite, or crocidolite; or (B) in fibrous form, tremolite, anthophyllite, or actinolite. Asbestos-containing materials have been used widely for fireproofing, thermal and acoustical insulation, and decoration in building construction and renovation. These materials usually have been applied by spraying, but also have been trowelled onto overhead surfaces, steel beams, ceilings, walls, furnaces, and pipes. Asbestos is a known human carcinogen. Extensive epidemiologic evidence demonstrates that inhalation of asbestos can lead to pleural and peritoneal mesothelioma, lung cancer, asbestosis, and other diseases which are serious, irreversible, and can be fatal. However, the existence of asbestos in a building does not mean that hazard exists. Persons are exposed to asbestos fibers when they are released into a building environment. ------- -6- The potential for such release of asbestos fibers depends upon the characteristics of the asbestos-conta ining material. In general, soft crumbly materials tend to release fibers more easily than do hard ceraentitious materials. However, both types of materials may become "friable." "Friable materials" are defined in the As bestos-in-Schools Rule as any materials applied onto ceilings, walls, structural members, piping, ductwork, or any other part of the building structure which, when dry, may be crumbled, pulverized, or reduced to powder by hand pressure. 2. History of EPA Regulatory Actions Regarding Asbestos In Schools. Since 1979, EPA has operated a Technical Assistance Program, the objective of which is to provide guidance to schools and building owners on means of identifying and controlling friable asbestos-containing materials in their buildings. The Asbestos-in-Schools Rule required that all public and private schools, by June 28, 1983, inspect their buildings for friable materials, take samples, have them analyzed for asbestos content, keep records, and if asbestos is found, notify employees and parents. The EPA Office of Toxic Substances recently completed a national survey to determine the effectiveness of the Asbestos- In-Schools Rule. The survey indicated that ninety-four percent of schools have completed inspections for friable materials. In addition, sixty-five percent of inspected schools did not find as bestos-conta ining friable materials (ACFM). Of the thirty-five percent of schools that found friable asbestos-containing materials, about half found such materials only in boiler and pipe insulation. The survey also indicated that sixty-seven percent of the schools that found ACFM have completed abatement programs or are in the process of doing so (some of these schools are employing special operations and maintenance programs). II. STATUTORY REQUIREMENTS UNDER ASHAA. A. GENERAL Sections 503 through 506 of ASHAA establish the Asbestos Hazard Abatement Program within EPA. 1. Development of the Application Form [Section 503(b)(3)]. ASHAA requires the Agency to develop and distribute an application form to request Federal financial assistance In the form of loans or grants for implementation of asbestos abatement activities on a school-byschool basis. The Agency distributed these forms in December, 1984. Following review and initial ranking by Governors, EPA must review the application forms and approve or disapprove them in accordance with the criteria set forth in section 505 of ASHAA. ------- -7- 2. State Plans -- Recordkeeping and Reporting [Section 504(a)]. The Governors of each State should have submitted to EPA a description of a State plan for maintaining of records on (1) the presence of asbestos materials in schools, (2) asbestos detection and abatement activities conducted by LEAs, and (3) repairs made to restore school buildings to conditions comparable to those which existed before abatement activities were undertaken. Reporting information on repairs will help assure that loan and grant funds are spent specifically on costs associated with asbestos abatement projects. Schools can be restored only to conditions comparable to the original pre-abatement conditions. Every August, Governors must report to EPA on actions taken in accordance with the plan. State recordkeeping plans are discussed further in Unit IV of this paper. 3. LEA Applications (Section 505). LEAs wishing to receive Federal assistance are required to prepare and submit applications for financial assistance to the Governor of the State. Because Governors must rank the applications and submit a priority list to EPA on or before March 15, 1985, EPA has suggested a deadline of February 15 for LEAs to submit applications to the Governors. Section 505(g) specifies that the Agency may not approve any application unless it contains the information EPA has requested in the form. Applications should be prepared on a school-by- school basis according to the instructions distributed with the form. Section III of this paper provides guidance to LEAs. 4. Governors' Rankings [Section 504(b)]. By March 15, 1985 the Governor of each State is required to submit to EPA and to the Secretary of the Department of Education: (1) a priority list of all public and private schools within the State for which assistance is sought, (2) all applicants for financial assistance received from LEAs, and (3) with each applicants for financial assistance, a certification that the application's have accurately certified a statement of need regarding financial resources available to the LEA. Governors should consult Sections IV and V of this statement for further guidance on the creation of the priority list, certification of accuracy of financial resources, and other related issues. EPA will provide to the State Governors a uniform method for prioritizing applications. EPA will rely on the Governors' rankings as an indicator of hazard before applying financial and cost effectiveness criteria. 5. Secretary of the Department of Education [Section 505(b)(3)]. The Secretary of the U.S. Department of Education may choose to review the information submitted by the Governors and, in the Secretary's discretion, within 60 days, provide EPA com- ments and recommendations based on the needs of LEAs for financial assistance. 6. EPA Approval/Disapproval [Section 505]. EPA must approve or disapprove requests for financial assistance for asbestos abatement programs on a school-by-school basis by June 6, 1985. Financial assistance may take the form of loans*and/or grants, but may only be awarded to those applicants who do not have resources adequate to support an appropriate asbestos abatement program. ------- -8- In determining who shall receive assistance, EPA is required to generate its own priority list on a school-by-school basis. The criteria for the establishment of such a list are discussed in Section V of this paper. The Agency is prohibited under section 505(g)(3) from awarding assistance for projects on which abatement was completed prior to January 1, 1984. Section 512(b)(1) states that States with qualified applicants shall receive no less than one-half of one percent of the money appropriated under ASHAA. "State" means each of the several States, the District of Columbia, the Commonwealth of Puerto Rico, the Bureau of Indian Affairs and, taken together, Guam, American Samoa, the Virgin Islands, the Northern Mariana Islands, and the Trust Territory of the Pacific Islands. 7. Procedures for Abatement Programs [Section 506(b)]. EPA must establish procedures to be used by LEAs in programs receiving financial assistance for abating asbestos-containing materials, replacing removed asbestos-containing materials with other appropriate materials, and restoring school buildings to conditions comparable to those which existed before abatement activities were undertaken. Guidance is contained in Unit V of this notice. 8. Contractor Qualifications (Section 506). EPA also must develop standards for determining which contractors have the qualifications for conducting asbestos abatement programs and what training, equipment, protective measures, and other information is necessary to protect and advise school employees who carry out abatement programs. Unit V of this notice addresses these issues in detail. 9. Suits on Behalf of LEAs (Section 508). By accepting financial assistance under ASHAA, recipients are agreeing to permit the United States to sue on their behalf persons the Government believes are liable to the recipient for the cost of any abatement activity taken under ASHAA. Money awarded to the U.S. as a result of such a suit must be used to repay the Government for any money which had been paid out in the form of loans or grants to the recipient. 10. Employee Protection. Section 509 provides that no States or LEAs may discharge or discriminate against any employees because the employee has brought to the attention of the public, information concerning any asbestos problem in a school building. 11. Legal Rights. Except as stated in ASHAA, section 510 provides that nothing in the statute will affect the right of any party to seek legal redress for any claim related to the purchase or installation of asbestos or any claim of disability or death related to exposure to asbestos in a school setting. ------- B. SUMMARY OF DEADLINES Requirement LEAs submit application to the Governor Governor submits priority list to EPA and Education Department EPA approves/disapproves application Governors submit to EPA an annual report of actions taken under ASHAA. Date no statutory deadline, but EPA recommends submission to Governor by February 15, 1985. March 15, 1985 June 6, 1985 Aug• 10, 1985 and annually thereafter ------- -10- III. GUIDANCE FOR LEAs This unit provides guidance to LEAs on determining whether to apply for financial assistance and on how to complete the application. As defined in Section 511 of ASHAA and in EPA's Asbestos-InSchoo1s Rule, local educational agency means (1) any local education agency as defined in section 198(a)(10) of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 2854); (2) the governing authority of any nonprofit elementary or secondary school, where the term "nonprofit" means owned and operated by one or more nonprofit corporations or associations no part of net earnings of which inures, or may lawfully inure, to the benefit of any private shareholder or individual. A. OBTAINING APPLICATION FORMS EPA has prepared and distributed an application package to be used to request financial assistance for asbestos school abatement projects. This package has been distributed to all LEAs that are included on the Office of Toxic Substances' mailing list. The package provides detailed instructions for completing the application. State Governors' offices have been sent a copy of EPA's mailing list. Corrections or additions should be sent to the Asbestos Action Program Office, EPA Office of Pesticides and Toxic Substances, TS-788, 401 M Street S.W., Washington, D.C. 20460. Application must include the information required under section 505(g)(2), which requires the submission of information on (1) the nature and extent of the asbestos problem, (2) the asbestos content of the material to be abated, (3) the methods which will be used to abate materials, (4) the amount and type of financial assistance requested, (5) a description of the financial resources available to the LEA, and (6) a justification of the need for the requested assistance. Applicants must also certify under section 505(g)(2)(B) that persons performing abatement projects will be properly trained and equipped and that no student or inadequately informed or protected employee will be permitted in the vicinity of an abatement project. Finally, section 505(g)(2)(C) requires all applications to contain assurances that the LEA will supply the information EPA will need for preparing its annual report to Congress under section 507. Unit V discusses EPA procedures for reviewing applications and Unit IV discusses guidance for Governors; each should be consulted by LEAs before filling out this application. Questions concerning specific Items on the application form may be answered by the Governors' designees in charge of the loan and grant program, EPA Regional Asbestos Coordinators (RACs), and by specialists answering the following 800 number: (800) 424-9065, or In Washington, D.C. 554-1404. Questions on the Agency program and policies under ASHAA should be directed to the Regional Asbestos Coordinators (RACs). RACs are listed in the EPA Guidance Document included in the application package. ------- -11- B. DETERMINING WHETHER ASBESTOS IS PRESENT AND WHETHER ABATEMENT IS REQUIRED In complying with the As bestos-in-SchooIs Rule, individual schools should have completed inspections to determine whether asbestos-containing materials were present in schools and should have notified parents and employees if friable asbestos was found. Those schools which have not completed an inspection and analysis program in accordance with this rule should consult the FEDERAL REGISTER of May 27, 1982 (47 FR 23360) for specific guidance. States must certify that each applicant has complied with this rule on or before March 15, 1985 when the priority list is due to EPA. The information obtained by inspections is necessary for making the initial determination of whether an abatement program should be undertaken. To supplement the guidance on inspections, which EPA provided in the Asbestos-in-Schools Rule, the Agency has compiled additional information in Unit V.E. of this paper. The agency has also included in the application package "Guidance for Controlling Friable Asbestos-Containing Materials in Buildings," March 1983 (EPA 560/5-83-002). In addition, the following document contains important information: "Asbestos Containing Materials in School Buildings: A Guidance Document" Parts I and II, June 1984 (EPA-450/2-78-0014). C. MAINTAINING RECORDS Careful records should be maintained of all asbestos detection and analysis activities. The Asbestos-in-Schools Rule identifies those records which are to be maintained by persons conducting the activities required under that Rule (40 CFR 763). Governors may request that copies of these records be forwarded to them since much of the information required to be kept as part of State recordkeeping plans under Section 504 (a) of ASHAA will have already been generated by schools complying with the Asbestos-in-Schools Rule. See Section IV of this paper for further discussion of State recordkeeping plans. In addition, records detailing any action taken under this program to abate asbestos problems should also be maintained to assist Governors in completing State records under section 504(a) and to document the proper use of any Federal assistance monies. D. SELECTING AN ABATEMENT PROGRAM If a school determines that there are asbestos-containing materials present in a school building which are or may become friable, the proper strategy must be selected Control tech- niques are discussed in detail in Section V of this paper. Four control actions should be considered: (1) a special operations, maintenance, and reinspection program; (2) encapsu- lation; (3) enclosure; and (4) asbestos removal, disposal, and replacement. The appropriateness and cost £f each alter- native will depend on the amount and condition of the asbestos- containing materials to be treated and structural characteristics of the particular school. A brief explanation of the basis for ------- -12- selecting the control action is requested as part of the application form. All control measures except the special operations and maintenance program should be undertaken only with proper work area containment and worker protection. Protection for maintenance workers also may be necessary. For the purposes of evaluating the qualifications of contractors who may perform asbestos abatement activities, EPA has provided standards in Section V of this paper. Implementing the standards may be easier if LEAs identify a coordinator who will assist schools applying for federal assistance. This person could serve as a resource to schools in determining the choice of the correct control strategy, to provide information on contractor qualifications as well as the training and protection of school employees, and to follow up on completed projects. Section V discusses these Issues in greater detail. Schools and LEA Coordinators are also encouraged to contact the RACs in EPA's regional offices for additional guidance. E. PUBLIC PARTICIPATION The Agency considers public participation to be essential to the process of assessing the need for taking abatement action, determining the best course of action, and implementing that choice. The Asbestos-in-Schools Rule contains procedures for informing parents and school employees of the presence of asbestos- containing materials in schools. In addition to informing these persons, LEAs should invite participation in the process of selecting a control alternative. Information regarding public participation is required to be included in the application form. F. ELIGIBILITY FOR AID 1. General. One of EPA's primary objectives is to expeditiously provide financial assistance to LEAs where asbestos problems present the greatest risk of exposure to students and school employees, and which have a demonstrated financial need. As required by the statute, the Agency may not provide financial assistance to any LEA, regardless of the nature of the asbestos risk, if such LEA has adequate resources to support an appropriate asbestos abatement program. Many LEAs have already commenced abatement activities. In the light of the limited funds available, and the health risks associated with exposure to asbestos in a deteriorated condition, the Aqency strongly encourages LEAs and State governments to continue these efforts without delaying or revising current plans in anticipation of Federal assistance. LEAs that have a clear and demonstrated financial need should identify the most cost-effective abatement strategy that is appropriate to their situation. In ranking schools with equivalent exposure potential for financial assistance under Section 505 of ASHAA, EPA is required to consider the extent t$. which the corrective action proposed is cost-effective compared to other available techniques. By establishing priorities in this manner, EPA intends ------- -13- to provide the maximum amount of protection or exposure reduction per dollar of financial assistance. Several different asbestos abatement techniques should be considered including development of an operations and maintenance plan to keep track of asbestos material which is in good condition. These are discussed in the EPA guidance document titled, "Guidance for Controlling Friable Asbestos-Containing Materials in Buildings," which was included in the application package. LEAs that apply for assistance should note that in many cases, removal of asbestos-containing materials may not be the most cost-effective approach. 2. Projects Completed Prior to January 1, 1984. Section 505(g)(3) of ASHAA prohibits EPA from providing financial assistance for projects completed prior to January 1, 1984. For the purposes of this section, EPA will interpret the term "project" on the basis of the intended scope of a given abatement activity. Factors indicating whether activities are within the same project will include the location of the projects (activities abating asbestps in the same room or wing of a building may be in the same "project"), the proximity of the commencement dates of the activities, the use of the same contractor under a single contract or transaction, the schedule of payments, intended completion dates, and how the activities were financially accounted for in a school's operating budge t. 3. Financial Need. To become eligible for financial assistance under ASHAA, LEAs must demonstrate a financial need. All LEAs, public and private, must certify that the financiail information provided in the application is accurate. This certification is contained in Part VI, page 6 of the application form. Initially, Governors must certify that the applicant/LEA' s have signed the statement of financial need in the application. Later, Governors will need to perform a more detailed certification for those applicants most likely to receive awards* In addition, the Secretary of Education may choose to review the information regarding financial need contained in the applications to make recommendations to EPA. Governors should refer to Unit IV for guidance. The individual State priority lists submitted to EPA by the Governors and factors considered by the Agency will be based upon the seriousness of the asbestos problem concerned. However, the award of funds will ultimately depend upon financial need. In fact, Section 505(d) expressly forbids the Agency from providing assistance to applicants who have adequate resources to support an abatement program. Therefore, schools with an ongoing abatement activity which was included within a school's operating budget at the time of enactment of ASHAA may not be able to establish a sufficient basis for financial need to be eligible for financial assistance. ------- -14- Federal assistance may come in the form of loans or grants. The factors EPA will examine in determining the need for financial assistance are discussed in greater detail in Section V of this paper. G. SUBMISSION OF APPLICATION Applications should be completed by LEAs on a school-by- school basis and be submitted to the Governor of the State (or designee) in which the LEA is located. Governors must review the applications, prioritize them, certify the accuracy of the statement of need, and submit them to EPA by March 15, 1985. Applications not received by March 15 may not be considered for funding. EPA has recommended that LEA1 s submit applications to the Governor's designee by February 15, 1985. H. EPA GRANTS REGULATIONS The EPA program for financial assistance for asbestos abatement in schools is subject to the Agency's general regulations concerning financial assistance programs. The application packet contains copies of the relevant EPA regulations, they are: 1. EPA's "General Regulation for Assistance Programs" (40 CFR Part 30). This regulation provides guidance on submitting an application, procedural issues, grantee accountability, and settlement of disputes relating to EPA Federal assistance programs. 2. Potential assistance recipients should consult EPA's regulations on "Procurement Under Assistance Agreement" at 40 CFR Part 33, published in the FEDERAL REGISTER on March 28, 1983 (48 FR 12922). This regulation contains information on procurements made by persons who receive Federal assistance from EPA. The regulation discusses soliciting bids on projects using EPA funds, a code of conduct for recipients of EPA funds, cost principles for purchasing with awarded funds, and protests relating to contract awards. Under 40 CFR Part 33, much of the responsibility for conducting procurment is shifted to the recipent. The regulation places the responsibility to evaluate and certify a recipient's procurement system with the recipient. Applicants/recipients must evaluate their procurement practices and policies and compare them to the requirements stated in Part 33. Afterwards they must complete an EPA Form 5700-48, " Procurement System Certification," (which is included in the application packet) and submit the completed form with their application. This form indicates to the Award Official whether the recipient/applicant certifies that its procurement system: (1) conforms to the requirements in Part 33 ------- -15- and that it will use its own procurement procedures in place of EPA's; or (2) does not meet the requirements in Part 33 and therefore, it will follow the requirements in Appendix A of the regulation, and will allow EPA to review its proposed subagreements. 3. At 40 CFR Part 32, the Agency has promulgated its "Debar- ment and Suspension Under EPA Assistance Programs" regulations. These regulations give procedural and substantive guidance to award recipients regarding EPA provisions for oversight and enforcement of assistance programs. For further information on the EPA financial assistance regulations contact: Paul F. Wagner, Grants Policy Specialist Grants Policy and Procedures Branch (PM-216) Grants Administration Division U.S. Environmental Protection Agency 401 M Street, S.W. Washington, D.C. 20460 (202) 382-5292 IV. GUIDANCE FOR GOVERNORS This unit provides guidance for State Governors for preparing a State recordkeeping plan, receiving applications, prioritizing applications, certifying the accuracy of financial information contained in applications, and submitting information to the Secretary of the Department of Education and to EPA. A. RECORDKEEPING AND REPORTING 1. General. Section 504 of ASHAA requires the Governor of each State to submit a recordkeeping plan to the Administrator describing procedures the State will be using for maintaining records regarding the presence of asbestos in local schools and abatement activities. This requirement applies specifically to schools applying for loans or grants. State plans should be forwarded to EPA in the form of a letter addressed to the appro- priate Regional Administrator. 2. Contents of Plan. As previously discussed, state plans should include a description of plans for maintaining records on: (1) the presence of asbestos-containing materials in schools, (2) asbestos detection and abatement activities conducted by LEAs, and (3) repairs made to restore school buildings to conditions comparable to those which existed before abatement activities were undertaken. Information on the presence of asbestos and detection and abatement actions may be taken directly from the application form. Information on repairs being undertaken will have to be collected by the Governors during oversight of the loan and grant program. ------- -16- Recordkeeping plans could also require the actual submission of records created and maintained by LEA applicants to the Governor where a single file will be maintained, or the entry of these data on local computerized information systems to which central access is available at a single location on a State-wide level. The requirement of maintaining information for schools applying for financial assistance is intended to assist the Governors in reviewing the relevant data when assigning relative priorities to abatement projects and to facilitate oversight by both State and Federal officials. The plan should also contain a statement of intent to annually update information on school abatement activities including: (1) the number of applications received from LEAs and forwarded to EPA; (2) the number of projects begun and the number of projects completed during a given year; and (3) the persons responsible (on the LEA and state levels) for overseeing project performance. Section 504(c) requires Governors to submit updated information on actions taken under ASHAA by August 10, 1985 and annually thereafter. While the recor^keeeping requirement specifically applies for loans or grants, the Agency believes that LEAs which complied with the requirements of EPA's Asbestos-in-Schools Rule should have already generated data similar to that specified in Section 504. Therefore, EPA is recommending that Governors implement a recordkeeping plan which, in part, includes the centralization of all the information which has been previously compiled on the LEA level. B. RANKING APPLICATIONS 1. General. Section 504(b)(1) requires Governors to submit to EPA: (1) a priority list of all schools within the State that are candidates for abatement, (2) all applications for financial assistance prepared by LEAs, and (3) for each school listed, a certification that the statement of need contained in the application accurately reflects the financial resources available to the LEA for the abatement program. 2. Assigning Priorities. Section 504(b)(2) states that the criteria for assigning priorities among potential candidates for abatement should be based on the nature and magnitude of the existing and potential exposures presented by the asbestos-containing materials. "Potential candidates" for abatement are those schools within LEAs for which application for financial assistance has been made . To assist Governor in assigning priorities, EPA will distribute a uniform hazard ranking method in the near future. Unit V of this paper contains interim guidance on classifying and evaluating a potential asbestos problem in a building's environment. ------- -17- C. CERTIFICATION OF FINANCIAL INFORMATION Under section 504(b)(3) of ASHAA, Governors must certify that the statement of need contained in an application accurately reflects the financial resources available to the LEA for the asbestos abatement program. Due to the tight deadlines associated with the June 6, 1985 award date for loans and grants, EPA is requiring only that Governors certify by March 15, 1985 that each applicant LEA, public and private, has itself certified on Part VI page 6 of the application form that the submitted financial information is accurate. However, EPA will require that Governors to perform a detailed certification that the financial information on those applications most likely to receive awards (those which fall into the highest priority category) is accurate. For this year alone, EPA will allow Govenors until April 15, 1985 to provide this detailed certification. Re-certification should come in the form of a supplemental, signed, statement submitted by the Governor (or designee) to EPA. Applications in a Governor's highest priority category must be completely certified by April 15, 1985 to be considered for awards. Section 504(b)(4) lists the factors the Governor should consider when certifying an application's accuracy. The factors are: (1) a measure of financial need used by the State in which the LEA is located; (2) the estimated per capita income of the locality of such agency or of those directly or indirectly providing financial support for such agency; (3) the extent to which the local school millage rate falls above or below the millage rate average of the State and the millage rate of other local LEAs with comparable enrollment, per capita income, and resource base; (4) the ratio, expressed as a percentage, of the estimated cost of the project to the total budget of the LEA; (5) the borrowing capacity of the LEA; and (6) any other factor that demonstrates that the LEA has limited financial resources. In summary, for the 1985 awards, The Governors certification form will be used to certify that LEAs have signed Part VI Page 6 of the application package. The Governors' April 15, 1985 letter to EPA should list all LEAs with the highest priority projects and certify the accuracy of the financial information. If there is information which a Governor is unwilling to certify in a specific applicant's statement, the situation should be described in the letter. ------- -18- V. EPA PROGRAM ASHAA establishes a program within EPA for implementing the major goals of the statute. This unit describes the Agency's plans for creating such a program. A. REVIEW OF APPLICATIONS FOR FINANCIAL ASSISTANCE 1. Procedures. Upon receipt of a State's package of applica- tions, EPA will acknowledge receipt by mail to the Governor (or designee). EPA cannot guarantee complete review of applications which are not submitted by March 15. These projects may not be eligible for the June 6, 1985 funding. If during the EPA review applications are found incomplete, or filled out improperly, the Agency contact person will notify the applicant and State designee. This may delay a decision on the application. 2. EPA Priority List. In the course of EPA's review of applications for financial assistance, the Agency must also set priorities. The factors to be considered include, but are not limited to: (1) the Governors' own priority lists, (2) the likelihood of release of asbestos fibers in the school environment, (3) any other evidence of risk caused by the presence of asbestos (for example, the existence of dry, loose asbestos-containing materials or situations where there is asbestos-containing material in an air plenum or high traffic area), (4) whether the proposed corrective action will reduce exposure to asbestos, and (5) the extent to which the corrective action proposed is cost-effective relative to other techniques. 3. Financial Assistance. Finally, the Agency will determine whether to provide financial assistance for specific abatement projects. Section 505(c) requires EPA to provide financial assistance on a school-by-school basis to LEAs. When determining eligibility for financial assistance, section 505(c)(3) requires the Agency to consider: (1) the funds available to the applicant as certified by the Governor, and (2) any report submitted by the Secretary of Education. In accordance with section 505(d), monies will not be made available to any applicant which has resources available to support an asbestos abatement program. Section 505(e) allows EPA to award to applicants a loan of up to one hundred percent of the cost of a specific abatement project. As required by Section 505(e)(1), only If the Agency determines that an applicant is unable to undertake and complete an abatement program with a loan, will that applicant be eligible for a grant (or a grant/loan combination). Grants may not exceed fifty percent of the cost of an abatement project. When approving a grant, EPA is required by section 505(e)(2) to give its reasons for believing the applicant is unable to complete a project with loan funds alone. ------- -19- Loans will be Interest free and will mature in a designated period of time not to exceed 20 years. In accordance with Section 505(g), EPA will provide assistance to LEAs in order of priority, assuming eligibility is established, until all funds are expended; however, ASHAA does not require EPA to provide recipients the total funding necessary to complete an abatement project. ASHAA does assure that every State can be eligible to receive funding for specific asbestos projects. In accordance with Section 512(b)(1), any State with a qualified applicant shall receive no less than one-half of one percent of the money appropriated under ASHAA. This amounts to $225,000 per state in the funding to be awarded on June 6, 1985. 4. Use of Funds. Section 505(c)(1) limits the Agency to awarding assistance for the following projects: (1) abating asbestos-related hazards In schools, (2) replacing asbestos- containing materials removed from school buildings with other appropriate building materials, and (3) restoring school buildings to conditions comparable to those existing before abatement activities were undertaken. EPA General Regulation for Assistance Programs (40 CFR 30.308) prohibits reimbursement of costs a reci- pient incurs before the award official and the the recipient sign the EPA assistance agreement. However, because EPA wishes to encourage LEAs in making sound independent evaluations of asbestos- related problems, the Agency is exploring methods which would allow successful applicants for Federal assistance to be reimbursed for all or part of expenditures Incurred in obtaining expert inspections and evaluations, necessary in preparing applications for ASHAA Federal assistance. Therefore, EPA is considering whether an exception to its rule is advisable. Should EPA determine that a deviation should be granted, only those costs incurred after August 10, 1984 (the date of ASHAA's enactment) and which are directly related to obtaining technical advice necessary for the preparation of the application would be eligible for reimbursement. Applicants are cautioned that EPA is not considering reimbursement of costs incurred in inspecting or evaluating an abatement project which is not ultimately selected for funding by EPA under the ASHAA program. If such a deviation is granted, successful applicants will be notified. B. COMPLIANCE MONITORING EPA will take steps to ensure that recipients of loans and grants comply with the requirements of the Asbestos-in-Schools rule, ASHAA, and EPA's grant and loan conditions. Therefore, applicants will be required to certify that they are in compliance with the Asbestos-In-SchooIs Rule upon the date of submission of the loan or grant application to EPA. ------- -20- EPA personnel will monitor compliance with ASHAA by auditing records of funded projects to ensure the funds were properly spent on the abatement project as described in the application approved by EPA. If EPA discovers that loan or grant funds were used for activities outside the scope of the approved abatement project, EPA may determine that these costs are nonallowable under the loan or grant and seek the return of those funds. EPA will also inspect and audit records to determine whether conditions of a loan or grant, such as proper disposal of any asbestos removed as part of the abatement project, were followed. EPA inspectors may also note, in the course of an inspection, whether persons have complied with the Asbestos-in-Schools Rule. In addition to audits of records, EPA may also inspect actual abatement sites. These site Inspections will monitor compliance with the work practice and waste removal requirements of the National Emissions Standard for Asbestos promulgated under the Clean Air Act (40 CFR 61 et seq. ). If EPA discovers a violation of the National Emissions Standard, EPA may initiate appropriate enforcement action. During site inspections, EPA will also monitor compliance with conditions of the grant or loan that financed the abatement at the site. Any action taken against persons misusing Federally awarded funds will be conducted in accordance with EPA1s "Debarment and Suspension Under EPA Assistance Programs" regulation (40 CFR Part 29). C. STANDARDS FOR DETERMINING CONTRACTOR QUALIFICATIONS The choice of an asbestos abatement contractor is vitally important in minimizing the chance for incorrect project perfor- mance. Therefore, the award recipient and the abatement contractor must have a clear and complete understanding of the magnitude and type of project to be completed. In addition, contractors who perform abatement projects must be knowledgeable in the field, and have experience and/or training in performing abatement activities. Therefore, In accordance with section 506(b)(2) of ASHAA, EPA is establishing the following standards and procedures to be used in determining contractor qualifications for performing asbestos abatement projects under ASHAA. 1. Standards for Determining Qualifications. The following are standards to be employed when evaluating the qualifications of potential contractors: a. Contractors shall demonstrate reliability in performance of general contracting activities through the submission of a list of references of persons who can attest to the quality of work performed by the contractor. b. Contractors must demonstrate ability to perform asbestos abatement activities by submitting evidence of the successful completion of training courses covering asbestos abatement. Further, the contractor shall furnish proof that employees have had«instruction on the dangers of asbestos exposure, on respirator use, decontamination, and OSHA regulations. ------- -21- c) Contractors must be able to demonstrate prior experience in performing previous abatement projects through the submission of a list of prior contracts, including: the names, addresses, and telephone numbers of building owners for whom the projects were performed. In rare circumstances inexperienced contractors may be qualified if they can demonstrate exceptional qualifications in the other contractor standards. d. Additional evidence of successful completion of prior abatement projects should be demonstrated by contractors through the submission of air monitoring data, if any, taken during and after completion of previous projects in accordance with 29 CFR 1910.1001(e). e. Contractors must possess written standard operating procedures and employee protection plans which include specific reference to OSHA medical monitoring and respirator training programs. In addition, the contractor must be prepared to make available for viewing at the job site a copy of OSHA regulations at 29 CFR 1910.001 governing asbestos controls, and Environmental Protection Agency regulations at 40 CFR Part 61, Subpart B, governing National Emission Standard for asbestos, asbestos stripping work practices, and disposal of asbestos waste. f. In those States which have contractors certification programs, contractors must possess State certifications for the performance of asbestos abatement projects. g. Contractors must be able to provide a description of any asbestos abatement projects which have been prematurely terminated, including the circumstances surrounding the termination. h. Contractors must provide a list of any contractual penalties which the contractor has paid for breach or noncompliance with contract specifications, such as overruns of completion time or liquidated damages. i. Any citations levied against the contractor by any Federal, State, or local government agencies for violations related to asbestos abatement, shall be identified by contractors, including the name or location of the project, the date(s), and how the allegations were resolved. j. Contractors must submit a description detailing all legal proceedings, lawsuits or claims which have been filed or levied against the contractor or any of his past or present employees for asbestos-related activities. ------- -22- 2. Procedures. EPA recommends that LEAs or States, or both as a joint effort, identify an Asbestos Coordinator. This person could be responsible for providing advice on: (a) whether asbestos abatement action should be recommended, (b) what action is most appropriate, (c) the selection of a suitable person to perform abatement activities, and (d) the oversight and evaluation of abatement projects. Coordinators should become familiar with EPA and OSHA regulations and any State or local government regulations that apply to abatement of asbestos-containing material. For example, LEAs must determine if the State has a contractor certification program and what a contractor must do to obtain certification. Advice is available to Coordinators through EPA's Regional Asbestos Coordinators. Coordinators should become familiar with the needs of the schools within the LEA with asbestos related problems. There- fore, Coordinators may wish to review records compiled under the Asbestos-in-Schoo1s Rule and contact school principals to determine if conditions have changed since the records were compiled. In accordance with EPA procurement regulations (40 CFR 33), Coordinators or the appropriate contract supervisors should invite bidding for consideration for future abatement activity contracts. This may involve announcing the potential availability of future contracts and soliciting of information upon which qualified contractors can be identified. EPA recommends that any contracts awarded using ASHAA financial assistance be limited to those qualified persons who have submitted the required information called for in the standards for contractor qualification listed above in Section C.l. Coordinators could use this information to generate a rating of potential contractors. Contractors could be ranked on the basis on their demonstrated ability considering equally the factors of training, experience, and a successful record of performance without incidence of reported poor quality or conduct. This ranking could be periodically amended to comply with EPA regulations on prequa1ification lists (40 CFR Part 33.230). To help LEA's and States, EPA intends to develop a model certification program including standards and guidance for training and certification of individual contractors interested in engaging in asbestos abatement operations. This model will be offered to States which desire such assistance. Employing the model created by EPA, interested States could establish and operate their own training courses on a local level. EPA also has an extensive program of technical assistance in this area. The Agency recommends that school officials contact RACs for further advice regarding contractor qualifications. ------- -23- D. INTERIM GUIDELINES FOR EVALUATING ASBESTOS HAZARDS AND APPROPRIATE ABATEMENT ACTIONS Congress directed that the Agency develop guidelines for classifying and evaluating asbestos hazards and appropriate abatement options. To supplement the information provided in the documents cited in Unit IV.B.2. of this notice, EPA is providing the following interim guidance. Final guidance will be provided in June of 1985 which will supercede this guidance and will be useful in classifying and evaluating asbestos hazards in the future. The purpose of this section is to assist school officials and other persons In identifying and evaluating potential asbestos hazards and in selecting appropriate measures to effectively reduce the risk to which people are exposed. The process of identifying and evaluating asbestos hazards and selecting abatement actions involves three basic questions which will serve as the1 framework of this document. The three questions are: ° Is asbestos actually present? ° If it is present, how significant is existing or potential exposure ? ° What actions are most appropriate to prevent or reduce exposure? Below are factors to consider and procedures to use in answering these questions. Much of the information contained here was drawn from the EPA publication entitled "Guidance for Controlling Friable AsbestosContaining Materials in Buildings." EPA recommends use of that publication by persons dealing with asbestos hazards. 1. Detecting Asbestos: Is Asbestos Actually Present? The first task in an asbestos control plan is to determine whether asbestos-containing materials are present. Professional assistance such as from an engineering or architectural firm, may be useful for this and other tasks. Asbestos-containing materials may be found in schools in the form of sprayed on acoustical and thermal insulation, cement products, acoustical plaster, fireproofing textiles, vinyl floor tiles, and other construction materials. EPA recommends the following steps for detecting the presence of asbestos: ------- -24- a) Check Building Records: Investigate building plans, remodeling records, and other sources (such as personal knowledge) for specification of asbestos-containing materials. Information on the type and location of asbestos-containing materials will help target a building inspection. Figure 1 provides more information about the type of building materials which could contain asbestos. Building records may not always be a conclusive source of information. EPA experience shows that the actual composition of building products and their description in building records can differ significantly. b) Inspect for Friable Materials: Friable materials are those which can be crumbled, pulverized or reduced to powder by hand pressure. Typically, friable materials have been sprayed or trowelled onto surfaces for fireproofing, insulation soundproofing, or decoration. A building inspection should start with those areas where asbestos-containing materials are reported to be present and then expand to all parts of the building. If friable materials are found they should be sampled and analyzed in accor- dance with procedures described in Figure 2. If the presence of asbestos in the friable materials is confirmed, then the assessment of corrective action is begun. (such assessment is discussed in Section 2 of this document). c) Inspect for Nonfriable Materials: 1. If the inspection of building records or the building inspection indicates that nonfriable asbestos-containing materials are present, these materials should be inspected periodically for changes in their condition. Reinspection is especially important for friable materials that have been painted or covered with a hard wrapping (and thus would be classified as "nonfriable") such as pipe and boiler insulation. If the painted or wrapped material is not damaged the best course of action is to be aware of its location and leave it undisturbed. Damage or slow deterioration of the wrapping or paint however could cause release of asbestos fibers, thus periodic maintenance and reinspection Is required. If the sampling and analysis of bulk material show that asbestos Is not present, there is no need for further action, although documentation of the assessment should be retained. 2. Evaluating the Asbestos Hazard: How Significant are Existing or Potential Exposure Problems? After determining that asbestos is present in friable materials or in damaged nonfriable materials, an assessment of the existing or potential hazard must be made. EPA recommends the following in evaluating the exposure problem. ------- -25- a) Evaluate friable asbestos first: Because friable materials have a greater potential for asbestos-fiber release, they pose a greater hazard, and special attention should be given to them. b) Evaluate the condition of Asbestos-containing materials: EPA believes three factors regarding condition of material are most useful in assessing exposure problems: i) evidence of deterioration or delamination (i.e., separation into layers) from the underlying surface; ii) evidence of phyical damage; iii) evidence of water damage. If any of these conditions is evident, then fiber release has occurred, is occurring, or is likely to occur in the future. Evidence is obtained from the appearance of the material and from the presence of asbestos-containing dust, broken or crumbled material on the floor, tables, or other surfaces. If none of these three factors is present the best course of action may be to leave the materials alone and to periodically 1 reinspect the area to assure that damage has not occurred. c) Assess potential for exposure, particularly in locations where materials may be subject to further disturbance or erosion. Once the condition of the material is evaluated, its location is an important factor in further evaluating the potential risk from asbestos, since it affects the number of people exposed, and the magnitude of the exposure. EPA believes that the presence of friable asbestos-containing material in four types of locations should receive special attention: (note: these locations are not ranked in any priority. i) air plenums (when returned or conditioned air moves at low pressure through a space between the actual ceiling and suspended ceiling or ducts); ii) high-traffic areas (e.g., hallways, gymnasiums, classrooms, dining areas ) ; iii) areas within easy reach of passersby (e.g., low ceilings above stairways); iiii) confined spaces (e.g., boiler rooms, supply closets). Asbestos-containing materials located in an air plenum or near a forced airsteam (such as an air conditioning or heating duct intake) are likely to suffer surface erosion. Fibers released into an airsteam may be transported to other parts of the building, possibly increasing the number of people exposed. The presence of asbestos-containing dust, debris or damaged material in a supply air plenum or in a direct air stream, presents the greatest concern. ------- -26- The presence of fibers in ventilation ductwork or louvers can be confirmed by physical inspection, or more thoroughly, by taking wipe samples of the suspected areas and having them analyzed by Polarized Light Microscopy (PLM) for asbestos content. (A draft protocol for taking wipe samples is available from EPA upon request by calling 1-800-424-9065. The presence of asbestos in ducts, on return registers or louvers, or on horizontal surfaces in occupied areas is evidence that occupants are currently exposed to asbestos. Asbestos materials located in high traffic areas are more directly exposed or easily visible than materials in air plenums. The release of asbestos fibers into heavily traveled or occupied areas presents a high risk due to the number of people exposed and the increased potential for distribution of asbestos fibers throughout the building. Fibers in these areas are regularly disturbed and therefore do not settle out of the air. In addition, exposed and highly accessible materials in areas frequented by building occupants or subject to maintenance activities are more vulnerable to physical damage than materials in other locations. In this category are high traffic areas such as hallways and dining areas. This category also includes materials subject to vibration from mechanical equipment, sound or athletic activities. Examples include materials near a gymnasium or band room, or materials in buildings near an airport or highway. Damaged or deteriorated asbestos-containing material which is within easy reach of passersby or occupants of a room also pose increased potential for release of asbestos fibers through contact with persons or objects. Confined spaces present a particular hazard to maintenance and custodial employees because of the limited circulation of external air. The concentration of asbestos fibers in such areas can increase due to poor air circulation. Finally, a change in building use can affect the extent and severity of exposure and the potential for material erosion. For example, the change in use of a room from a classroom or cafeteria to a gymnasium could significantly increase the number of people exposed and the potential for erosion from objects such as basket- balls striking the ceiling. d) Using the Assessment Factors: EPA's evaluation of several proposed "formulas" or indices of assessment factors indicate that numerical ratings derived from subjective assessments of fiber release potential are not consistently accurate indicators of measured airborne asbestos levels. However, employing the assessment factors specified in this Section in a qualitative Banner can help identify a high potential for present or future fiber release and help determine whether potential asbestos problems are severe, moderate, minor, or non-existent. ------- -27- For example, small quantities of as bestos-containing materials which are badly damaged and located in a high traffic area would warrant a higher priority than similar amounts of asbestos-con- taining materials which are newer, in good condition, and are less accessible to a large number of persons (e.g., we11-insu1a ted pipes contained in a space between ceiling tiles and a building's roof.) However, the absolute number of persons potentially exposed should not be the single controlling factor. High concen- trations of friable asbestos-containing materials in a frequently serviced boiler room may present a more serious exposure hazard to maintenance workers than would be the case with a large number of students in a large space exposed to smaller amounts of asbestos- containing materials. The presence of any one of the conditions (friability, poor condition of material, potential for disturbance or erosion, and location of material in high exposure areas) may present a condition necessitating corrective action. However, the presence of two or more of these conditions may dramatically increase the potential for release of fibers to which students and school employees may be exposed. These situations should receive priority ranking for the most immediate attention. 3. Response to the Presence of Asbestos: What Abatement Action is Most Appropriate? Since each situation possesses special circumstances, attempts to develop a set of definitive decision rules with broad applicabilty are of little value. Therefore, deciding which abatement action is most appropriate involves careful analysis of the circumstances of each situation. Four approaches to asbestos control can be used, individually or in combination: 1) special operations and maintenance practices combined with periodic reassessment of asbestos-containing materials; 2) material encapsulation; 3) material enclosure; and 4) material removal. Figure 3 provides a guide to selecting a course of action. a) Special Operations and Maintenance Programs: Where asbestos-containing material is in good condition and has a low potential for disturbance or erosion, an active program of proper maintenance and periodic reassessment of the need for other control measures is appropriate. Other control measures will depend on the results of future reassessments. This choice minimizes current costs (although there are recurring costs from re ins pection) while providing reasonable assurance of protection to building occupants. If this alternative is selected, a periodic reinspection program is required to assess the material's condition and the potential for erosion or disturbance. This option is advised when the friable material is in good condition and has a low potential for erosion or disturbance. It is also advised when the material is nonfriable. Operations and maintenance ------- -28- programs should also be established when encapsulation or enclosure is selected as the preferred abatement alternative (see below). b) Encapsulation: This involves spraying asbestos-containing material with a sealant. Encapsulation is appropriate when the material still retains its bonding integrity, when damage to the material is not likely, when the material is not highly accessible to building users, or the material is granular or cementitious, (e.g., friable materials that are densely packed and non-fibrous). Ideally, this activity helps bind together the asbesotos fibers and other material components and offers some resistance to Impact damage. The asbestos-containing materials will still have to be removed before building demolition. The advantages of encapsulation include temporary elimination of asbestos fiber release from materials and lower initial costs than other abatement methods because the replacement of materials with substitutes is not required. Encapsulation will require an operation and maintenance program including periodic reinspection to check for damage or deterioration of the materials. Repair of damaged or deteriorating encapsulated surfaces may eventually be necessary. Because encapsulation surfaces are generally difficult to remove, and will not easily asbsorb water they may ultimately require use of removal techniques without wetting solutions. Such dry removal may increase the amount of fiber release during abatement work. c) Enclosure: Enclosure involves construction of airtight walls and ceilings around surfaces coated with asbestos-containing materials. Enclosure is an appropriate choice when materials need to be isolated from building occupants and disturbance or entry into the enclosed area is unlikely. Enclosures should be constructed with impact-resistant materials. Since the asbestos-containing materials will have to be removed when the building is remodeled or demolished, enclosure may only be a temporary solution. On the other hand, carefully constructed, airtight enclosures may reduce, if not eliminate, emission of fibers within the building for its remaining life. The initial cost of enclosure may be lower than removal, unless it necessitates the relocation of utilities or other major changes. Replacement of materials with substitutes will usually not be required. Decision makers should be aware that fiber release will continue behind the enclosed surface. The choice of enclosure requires a special operations program to control access to the enclosure for maintenance and renovation work. Periodic reinspection should be conducted and repair of enclosures will be necessary if damage occurs. Enclosure may be inappropriate when damaged or deteriorating materials are causing rapid fiber release, where water damage is evident, if damage or entry into enclosure is likely, or if a ceiling is to be enclosed which is low to the ground and accessible. Containment barriers and worker protection equipment will be necessary during the enclosure process. ------- -29- d) Removal: The removal of friable asbestos-containing materials significantly reduces or eliminates the asbestos. Replacement of the removed material with substitutes may be necessary. However, improper removal will result in an in- creased level of airborne asbestos fibers. Therefore, the choice of removal must carry with it a strong commitment to worker and occupant protection. Containment barriers will be needed as will worker protection equipment. Wet removal (e.g., use of water and a wetting agent to reduce fiber release) is required for all types of asbestos. Proper disposal is required by EPA regulation and, therefore, approved facilities must be identified in advance- It is important to reiterate that removal of asbestos- containing materials may not be appropriate if the material is in good condition or another abatement option would provide equal protection. If improperly performed, removal projects may result in much higher airborne levels of asbestos fibers than would be expected if the materials had been left in place and a management program instituted. Therefore, a building owner, using EPA guidance and professional advice, (such as an engineering or architectural firm), must carefully consider each abatement option before deciding an appropriate course of action. In summary,if friable asbestos-containing materials are present and determined to be 1) in bad condition (e.g., damaged), or 2) subject to erosion or disturbance, then the material should be removed, enclosed or encapsulated. Periodic reinspection and special maintenance should also be conducted. If the material is in good condition and unlikely to be disturbed or eroded, a special operations, maintenance, and periodic reinspec- tion program should be selected as the corrective action. If the asbestos-containing materials are nonfriable, no corrective action is needed. Instead, the nature and location of these materials should be documented and their condition should be reassessed periodically. ------- -30- E. ADVISING AND PROTECTING SCHOOL EMPLOYEES PERFORMING ABATEMENT PROJECTS Under Section 506 (b)(2)(B), the Administrator is establishing standards for determining what training, equipment, protective clothing and other information and material should be supplied to adequately advise and protect school employees who carry out asbestos abatement activities. These standards are intended to supplement existing regulations promulgated by OSHA (29 CFR 1910.1001) which should be read in their entirety by persons supervising the conduct of asbestos abatement projects. Workplace controls and worker protection measures discussed In this section apply to special operation and maintenance programs, asbestos containment efforts (enclosures and encapsulation), and removal operations. In addition, once the presence of asbestos containing materials has been confirmed, any employee who may potentially be exposed to these materials must be given training and information. 1. Worker Training and Information. All employees who may be exposed to asbestos-containing materials in schools must be given training (for which written records of attendance are retained) before engaging in any clean-up of asbestos-containing debris; maintenance work on equipment (including pipes, fixtures, walls, or ceilings) which has asbestos-containing materials; or special operations, containment, or abatement progects. The training program shall inform employees of the following: a) the health effects associated with asbestos exposure;. b) the relationship between smoking, asbestos exposure, and lung cancer; c) the Importance of protective controls to minimize exposure including, as applicable, engineering controls, work practices, respirators, housekeeping practices, and pro- tective clothing, including any special instructions in the use of these controls (including respirator fitting instructions and limitations) should be included. This should include equipment, decontamination procedures and work sequences prescribed by OSHA regualtions 29 CRF 1910. 1001 . ; and d) an identification of those building materials which contain asbestos fibers. 2. Interim Control Measures. During the interval between detection and resolution of an asbestos exposure problem, exposure can be significantly reduced by careful control of maintenance, custodial, and repair activities. In addition to training employees according to the standards set forth above, the following measures should be taken: ------- -31- a) Maintenance workers must be told which building areas contain asbestos* b) Workers should be cautioned against disturbing suspended ceilings, installing lighting, repairing air handlers, or otherwise disturbing materials where fibers may have collected without using proper protective equipment. c) Wet cleaning methods rather than conventional brooms and dry mops must be used to clean dust which may contain asbestos fibers, as dry methods may only circulate these fibers into the air. d) Building user and bystander exposure should be minimized by rescheduling necessary custodial work during non-use hours. e) Dust on school carpets which may contain asbestos fibers should be steam cleaned or vacuumed with a High-Efficiency Particulate Air filtered vacuum cleaner (these may v occasionally be rented from construction companies or industrial cleaning supply companies). f) Normal work repairs which may result in disturbance of asbestos-containing materials must only be conducted in accordance with the procedures specified for containment activities below including worker protection, decontami- nation, clean-up and disposal specifications. 3. Special Operations and Maintenance. Where asbestos- containing materials are in good condition and there is a low probability for disturbance or erosion of these materials, periodic reassessment may be the best alternative for controlling exposure. In addition to informing workers of the information specified in the training program already discussed, those measures described as interim standards, above, should be followed. 4. Asbestos Abatement Projects. The activities associated with asbestos abatement projects involve disturbance of the asbestos-containing materials with the potential for dispersal of fibers into the environment. Without adequate controls, release of asbestos fibers could result in high levels of air-borne asbestos during removal of loose, friable materials. Levels of air-borne asbestos may also be high, during installation of barrier systems for enclosure if the enclosure is directly anchored to the friable materials, and it can be significant even when spraying a sealant onto a friable asbestos surface during encapsulation. ------- -32- Therefore, whatever course of action Is selected for asbestos abatement, work area containment and personnel protection are required by EPA guidance and regulations and OSHA regulations to prevent exposure of workers, bystanders, building users, and the community. Proper work area containment minimizes fiber dispersal in the removal area, fiber emissions to the outside environment, and residual asbestos contamination. Further information on asbestos abatement is available in the documents cited in Unit III.B. The basic steps are: a) Work area preparation. Barriers will prevent movement of fibers to other building spaces. Barrier systems should be used to enclose every work area and should be used to isolate a room or an entire building. Ventilation and heating systems must be shut down and all openings and vents sealed, and any building equipment or furniture enclosed in a protective cocoon. Any object, duct, window, or passageway that could be contaminated should be isolated. Special care must be taken to locate and seal all possible openings. b) Work practices. Wetting the asbestos-containing material will reduce friability and change the aerodynamics of the released fibers. The addition of a wetting agent will enhance penetration, reduce the amount of water needed, and generally increase the control effectiveness. Since fiber dispersal probability and concentrations are potentially high during containment or removal activities, school employees who will be conducting the abatement action as well as other persons who enter the removal site must be protected. Protection measures include the instruction program described above, as well as respiratory protection, supervision, and decontamination procedures. These measures are: c) Respiratory protection: In containment operations, each worker must be afforded respiratory protection as appropriate to anticipated fiber levels according to the OSHA regulations at 29 CFR 1910.1001. d) Additional worker protection: During removal operations, eight-hour time-weighted averages for airborne concentrations of asbestos fibers should be anticipated to exceed two fibers? (longer than five micrometers) per cubic centimeter of air, requiring the use of respirators (where permitted), special clothing, changing rooms, and clothing laundering under OSHA regulations at 29 CFR 1910.1001(d). e) Supervision: Adequate supervision will be provided to maintain the performance required for safety. Continuously effective respirator use and decontamination depend upon continuous and effective supervision. ------- -33- f) Personnel decontamination: Following each day's activities, decontamination must be conducted to prevent exposure of family and personnel contacts. A decontamination facility should be provided and include a changing room, shower room, and equipment storage area. An outline of a decontamination procedure is provided in Appendix D to Part 2 of EPA's Guidance Document on Asbestos-Containing Materials in School Buildings (EPA- 450/2-78-014 ) . There is growing concern on the part of experts that OSHA's current standards may not provide adequate protection to workers who may be repeatedly exposed to asbestos fibers at the levels permitted by the existing standards (see the FEDERAL REGISTER of April 10, 1984 at 49 FR 14116). Accordingly, OSHA has proposed amendments to the standards which, among other things, would lower the fiber concentration levels triggering the use of special controls, in order to lower human exposure levels (49 FR 14116). It is essential that persons supervising abatement actions consult these proposed amendments and consider them carefully when selecting appropriate protective measures. F. DISPOSAL OF REMOVED ASBESTOS-CONTAINING MATERIALS Disposal of removed asbestos-containing materials should be undertaken with the same caution employed during actual removal operations. EPA's National Emissions Standards for Hazardous Pollutants (40 CFR Part 61, Subparts A and B) govern the disposal of asbestos-containing materials. Generally, these regulations require that the asbestos-containing materials be packed while still wet into sealable plastic bags (6-mil minimum). EPA recom- mends that they also be placed into fiber or metal drums or skips for transport. Bags, drums, and skips shall be marked with the label prescribed by OSHA regulations at 29 CFR 1910.93a(g)(2 ) (i1 ) . The outside of all containers must be cleaned before they leave the project area. All plastic sheeting, tape, cleaning material, clothing, and all other disposable material or items used in the work should also be packed into sealable plastic bags (6-mil minimum). Again, EPA recommends they be placed into metal or fiber drums or skips for transport. The drums and skips should also be marked with the label prescribed by OSHA. Asbestos-containing materials should be disposed of at approved waste disposal sites. The sealed plastic bags may be dumped into the burial site unless the bags have been broken or damaged. Uncontaminated drums may be recycled. Damaged bags should remain In the drums in which they were transported and the entire contami- nated drum should be buried. The Agency has observed that disposal and transport of removed material has occasionally been a problem. Containers full of wet material are very heavy and difficult to transport. ------- -34- Spilled materials both in and outside the work area have been spotted. Therefore, care must be exercised in sealing and handling these containers. Approved disposal sites may be difficult to locate. EPA recommends that an approved site be identified before abatement begins. Additional EPA guidance on asbestos disposal should be available by the summer of 1985. G. EVALUATION OF PROJECT COMPLETION Determining successful performance on Individual abatement projects Is one of the most difficult problems to be faced by school administrators. Insistence on specific work practices and continuing surveillance during abatement are essential to a successful abatement project Successful completion of a project should depend on specific criteria being met. EPA recommends two types of criteria be evaluated: visual inspection of the worksite, and air monitoring after completion of the project. 1. Visual Inspection. Regardless of other abatement performance measures considered, a visual inspection should always be made. The nature of visual inspecstion will vary with the type of abatement activity. The inspection should detect Incomplete work, damage caused by the abatement activity, and inadequate cleanup of the worksite. 2. Air Monitoring. Measurement of total airborne fibers should supplement visual inspection to confirm adequate job cleanup. These measurements can determine whether elevated levels of airborne fibers generated during the abatement project have been sufficiently reduced. Because of the complicated nature of these two factors, it is essential that Asbestos Coordinators and other school officials responsible for the oversight of abatement projects become familiar with existing evaluation criteria. Therefore, Chapter A of EPA's "Guidance for Controlling Asbestos-Containing Materials in Buildings" should be consulted directly. Additional guidance may be obtained from EPA Regional Asbestos Coordinators. The Agency is also working with several states to develop a set of guide specifications for asbestos abatement. These specifications will provide additional details on evaluating project completion. EPA will announce the availability of these materials in the near future. ------- Types of building materials which could contain asbestos Materials in Buildings Fibrous, fluffy Friable Nonfriable Contain asbestos Contain asbestos No asbestos No asbestos Surfacing materials Wrapped insulation Construction materials Surfacing materials Granular, cementitious (acoustical plaster) Other Pipe and boiler covering Wallboard cement pipe, floor and ceiling tiles, etc. Textiles Concrete- like Aprons curtains fWrapped insulation that is damaged may be friable. ------- Figure 2 Key Elements of a Sampling and Analysis Plan Appoint a sampling and analysis coordinator to oversee the entire sampling and analysis operation and quality assurance program. The asbestos coordinator could assume this role. Identify homogeneous sampling areas of friable material. These are areas covered with material that has the same appearance and texture. If an area that appears homogeneous is known to consist of different materials, perhaps due to remodeling or building expansion, the area should be subdivided for sampling purposes. Damaged or exposed parts of pipe and boiler insulation should also be considered distinct "sampling areas." Collect at least three core samples of material in each homogeneous sampling area. The method of random selection should be used to identify locations where samples will be taken. Random selection will assure an established statistical level of confidence in the estimates of asbestos content. Note that pipe and boiler insulation in good condition should not be sampled, since sampling requires breaking the Insulation jacket. Develop a quality assurance program which features the use of split samples, that is, duplicate samples from the same sampling location, to confirm laboratory analyses. Submit samples to a qualified laboratory for analysis. A list of laboratories that participated in the EPA quality assurance program for bulk sample analysis is periodically updated. A current list and additional information on laboratory qualifications may be obtained by calling the EPA Technical Information Service, (800) 334-8571, or EPA's Regional Asbestos Coordinators. The approved method of bulk sample analysis for asbestos is polarized light microscopy. A supplementary method, X-ray diffration, may- be required in certain cases. The laboratory report should include : (1) sample identification number; (2) analytical method used; (3) sample appearance and treatment; (4) type and percent of both asbestos and nonasbestos constituents; (5) method of quantification; and (6) analyst's name The type of asbestos mineral present may be important information when the asbestos-containing material is eventually removed. To determine whether the samples have more than 1 percent asbestos, the laboratory results should be interpreted using statistical procedures described in previous EPA guidance. NOTE - The ASHAA application form distributed to LEAs (on page 10) mis- states §763.109 of EPA's Asbestos in Schools Rule. The rule and the application both require samples to be analyzed by Polorized Light Microscopy. For more detailed guidance on these elements see: the Asbestos in Schools Rule (40 CFR Part 763, Subpart F); Lucas D. Hartwell T., Rao AV. 1980a. "Asbestos-Containing Materials in School Buildings: Guidance for Asbestos Analytical Programs." Washington, D.C.: Office of Toxic Substances, U.S. Environmental Protection Agency: U.S. Environmental Protection Agency, "AsbestosContaining Materials in School Buildings: A Guidance Document, Patts I and II," June 1984 (EPA-*4 50 / 2-7 8-001 4 ) ; and "Guidance for Controlling Friable As bestos-Containing Materials in Buildings . " ------- Figure 3 A guide to selecting a course of action asbestos present? [Yes] ^ Are ^ materials friable? Yes] Material condition Evidence of deterioration or delammation from substrate? Yes] Evidence of physical damaQe? Evidence of water damage? No Potential for erosion or disturbance Materials near an air plenum or airstream? Materials exposed, accessible' Yes] Materials m an area of high activity or subject to vibration? Will planned changes in building use affect the above factors' No Keep records, schools prepare a negative certification* Remove, enclose, or encapsulate material Remove, enclose, or encapsulate material 1 Keep records for remodeling and demolition, reinspect materials periodically Adopt special operations and maintenance program, reinspect materials periodically ------- ATTACHMENT: STATE CONTACTS — ASHAA PROGRAM (as of 1-7-85) Alabama John Terry Alabama Building Commission 800 South McDonough Street Montgomery, Alabama 36130 (205) 261-4882 Alaska Jim Tozer Alaska Dept. of Education Pouch "F" Juneau, Alaska 99811 Arizona Dr. Lloyd Novick, Director Arizona Dept. of Health Services 1740 Wes t Adams Phoenix, Arizona 85007 (602) 255-1024 Arkan s a s Mr. James Albright, Coordinator School Plant Services Dept. of Education State Capitol Grounds, East Bldg. Little Rock, Arkansas 72201 (501) 371-1617 California Art Kevorkian Executive Officer Office of Local Assistance 1025 P Street Sacremento, CA 95812 (916) 445-3377 Colorado Roy Brubacher Assist. Commissioner of Education 303 West Colfax Denver, Colorado 80204 Connecticutt Department of Education P.O. Box 2219 Hartford, Connecticut 06115 Delaware Dr. William B. Keene Superintendent of the Dept. of Public Instruction Townsend Building, P.O. Box 1402 Dover, Delaware 19901 (302) 736-4601 Florida Mr. Charles E. Chick, Director Florida St. Dept. of Education Knott Building Tallahassee, Florida 32301 (904) 488-4751 Georgia Dr. Charles McDaniel Georgia State Dept. of Ed. 2066 Twin Towers East Atlanta, Georgia 30334 (404) 656-2804 Hawaii Mr. Thomas Nakai, Director Facilities and Support Services Branch Office of Business Services' Dept. of Education 809 Eighth Ave. Honolulu, Hawaii 96816 (808) 737-2796 Idaho Honorable John V. Evans Governor of Idaho Boise, Idaho 83720 (208) 334-2100 Illinois Illinois Dept. of Public Health 535 West Jefferson St. 4th floor Springfield, Illinois 62761 Indiana Virgil Konopinski Indiana St. Board of Health 1330 West Michigan Indianapolis, IN 46206 (317) 633-0146 Iowa Honorable Terry Branstad Governor of Iowa Des Moines, Iowa 50319 (515) 281-5211 Kansas Honorable John Carlin Governor of Kansas Topeka, Kansas 66612 (913) 296-3232 ------- Kentucky Missouri Ms. Alice McDonald, Director Superintendent of Public Instructions Capital Plaza Tower, First Floor Frankfort, Kentucky 40601 (502) 564-4770 Lous tana Patricia L. Norton, Secty. Dept. of Env. Quality P.O. Box 44064 Baton Rouge, Louisiana 70804 (504) 342-1265 Maine Dept. of Ed. & Cultural Services Bureau of School Management Division of School Facilities Education Building Station 23 Augusta, Maine 04333 Atten: Roy Nisbett Maryland Win. M. Elchbaum, Assist. Secty. Md. Dept. Health & Mental Hygiene 201 West Preston Baltimore, MD 21201 (301) 383-7328 Massachuetts Dr. John Calabro, Director School Assist. Bureau, Dept. of Ed. 1385 Hancock Street Quincy, Massachuetts 02169 Howard Miller, Dept. of Elem. and Secondary Education 515 East High Street Jefferson City, Missouri 65102 (314) 751-2586 Montana Larry L. Lloyd Occupation Health Bureau Dept. of Health & Env. Science Cogswell Bldg. Rm A113 Helena, Montana 59620 Nebraska Honorable J. Robert Kerry Governor of Nebraska Lincoln, Nebraska 68509 (402) 471-2244 Nevada Ted Sanders, Superintendent of Public Instruction Nevada Dept. of Education 400 W. King Street Carson City, Nevada 89710 New Hampshire William Wallace, MD Division of Public Health Serv. Health and Welfare Building Hazen Drive Concord, New Hampshire 03301 New Jersey Michigan Dr. Phillip O'Leary Dept. of Education P.O. Box 30008 Lansing, Michigan 48909 (517) 373-3314 Minnesota Ron Laii be r te Minn. Dept. of Ed. 550 Cedar Street Saint Paul, Minnesota 55101 (612) 296-1382 Mississippi Mr. Gerald Pevey, Director State Dept. of Education Div. of School Bldgs. & Transportation P.O. Box 771 Jackson, MS 39205 (601) 359-3557 Vincent B. Calabrese Assist. Commissioner Dept. of Education 225 West State Street Trenton, New Jersey 08625 (609) 292-4422 New Mexico Dr. Luciano Baca Tapia Building 515 Don Gaspar Santa Fe, New Mexico 87501 (505) 827-3860 New York Bryan P. Walsh, Administrator Div. of Ed. Facilities and Mgmt Service* Room 3071 Cultural Education Center Albany, New York 12230 (518) 474-4383 ------- North Carolina South Carolina Darrell Spencer, Director |N.C. Dept of Public Instruction 114 Edenton Street Raleigh, North Carolina 27611 (919) 733-3700 North Dakota Roland Larson, Director of School Construction Dept. of Public Construction State Capitol Bismark, North Dakota 58505 Ohio Herdon Cummings Ohio Dept. of Adrainis. Services State Architect Office 30 East Broad St. 35th Floor Columbus, Ohio 43215 (614) 466-9043 Oklahoma Mr. J. Dale McHard, Chief Radiation & Special Hazards }State Dept. of Health N.E. 10th & Stonewall P.O. Box 53551 Oklahoma City, Oklahoma 73152 (405) 271-5221 Oregon Scott Carter, Exec. Assist. Oregon Dept. of Education 700 Pringle Parkway, S.E. Salem, Oregon 97310 Pennsylvania Margaret A. Smith Secretary of Education 333 Market Street, rtarristown Bldg. //2 flarrisburg, Pennsylvania 17120 (717) 787-5820 frhode Island 4r. Orestes P. Monterecy j)ept. of Education 22 Hayes Street Providence, Rhode Island 02903 Robert S. Jackson, Dir. Div. of Health & Env. Control 2600 Bull Street Columbia, South Carolina 29101 (803) 758-5443 South Dakota Mr. Merwin Larson, Dir. Office of Energy Policy State Capitol Bldg. Pierre, South Dakota, 57501 Tennessee Dr. Nile D. McCrary Tennessee Dept. of Education Director of School Plant 126 Cordell-Hull Building Nashville, TN 37219 (615) 741-3489 Texas Mr. Jerry Lauderdale Occupational Health Program Texas Dept. of Health 1100 W. 49th St. Austin, Texas 78756 (512) 458-7254 Utah Ken Alkeraa, Division Dir. Div. of Env. Health Dept. of Health 150 West North Temple Saltlake City, Utah 84110 Vermont Steven Kaagan Commissioner of Education State Dept. of Education 120 State Street Montpelier, Vermont 05602 (802) 828-3333 Virginia Honorable Charles S. Robb Governor of Virgina Richmond^ Virginia 23219 (804) 786-2211 ------- Washington, D.C. Bureau of Indian Affairs John E. Touchstone, Director |!)ept. of Public Works 415-12th Street. N.W. Rm 508 Washington, D.C. 20004 (202) 727-5847 Washington Dr. Perry Keithley Assist. Superintendent for Finance Old Capitol Building FG-11 Olympia, Washington, 98504 (206) 753-6742 West Virginia Dr. Roy Truby Dept. of Ed. Building 6 Rm. State Capitol Charleston, W. (304) 348-2681 Wisconsin ^Cate Morrison Wisconsin State Dept. of Health and Social Services 1 West Wilson, P.O. Box 309 Madison, Wisconsin 53701 Wyoming Lynn Simmons State Superintendent of Public Instruction Wyoming Dept of Ed. Hathaway Bldg. Cheyenne, Wyoming 82002 Dick Glynn, Exec. Assist, to the Secretary for Indian Affairs Bureau of Indian Affairs Room 4140 Interior Building 18 & C Streets N.W. Washington, D.C. 20240 Guam James B. Branch, Administrator Guam Environmental Protection Agency Agana, Guam 96910 Nothern Mariana Islands William B. Lopp, Chief, Div. of Env. Quality Dept. of Public Health & Env. Serv. P.O. Box 1304 (CK) Saipan, CM 96950 Puerto Rico Honorable Carlos Romero-Barce1o Governor of Puerto Rico San Juan, Puerto Rico 00901 (809) 721-7000 Trust Territory of the Pacific Island Neiman Craley, Exec. Assist to the High Commissioner Office of the High Commissioner Saipan, Mariana Islands Trust Territories 96950 American Somoa Pati Faiai, Spec. Assistant Office of the Governor Pago Pago, American Samoa 96799 The Virgin Island Mr. Vernon Polite Dept. of Education Office of Federal Program Training and Dessemination Activities P.O. Box 6872 St. Thomas, Virgin Island 00801 358 Virginia 25305 ------- |