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U.S. Environmental Protection Agency
Office of Enforcement and Compliance Assurance
Compliance Monitoring Strategy
for the
Toxic Substances Control Act (TSCA)
2016
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Office nf r.nfo (cement suit] Compliance Assurance
Tuvie Substances Control Act (TSCA) Compliance Monituriii" StraU'gv
Foreword
!"his document is a publication of the I'.S. bin ironmenlal Protection Agency (! 'PA or Agency >
Office oi'linforeemenl and Compliance Assurance lOIX'A). ft was developed in consultation
with HPA's Office of Chemical Safety and Pollution Preveniion: EPA Regions; and state
enforcement agencies authorized to administer programs pursuant to the ( \S. Toxic Substances
Control Act (1SCA),
1 his document provides guidance to employees ofl-PA and authorized states with respect to
administering and implementing an Agency program for TSCA compliance monitoring. Any
statutory and regulatory provisions cited in this document contain legally binding requirements,
litis document does not substitute for those provisions, and is not a regulation itself. Thus, it
does not impose legally binding requirements on hPA. states, federal!)-recogni/.ed tribes, or the
regulated community: and does not create any rights or benefits enforceable by any person. I-PA
may revise this policy at any time without public notice and after consultation with authorized
slate agencies.
Revisions
2 (>16- ?-A pan Jed (he Jeliniiion o/'uhaf eousiilufes "compliance moniiormg aeli vities." Made a
few program updates to the document, fixed spelling and grammatical mistakes. Fixed the
formatting of certain sections.
The TSCA ('ompliance Monitoring StnrtL'w (('MS) cites a variety of Agency guidance documents. Most of
these are available via the Internet, and Internet addresses are provided. Certain documents, however, were
developed for Agency personnel, and may be posted only on HPA's Intranet or distributed directly to Agency
personnel. For documents not posted on the Internet, authorized states ina> consult their respective Regional
1 SCA contact per^ins. _ _
Ul IV
TSCA CMS
i
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Office of [.iiiorcLiiU'iii ;nn! £ nmpfiauri/ Vsmii ance
!o\if SuliNliiiiccv Contrail Act ( I'SC ,\i ( "iiiplijitcc Mtntiloriii" Str;iti*u>
Contents
Executive Summary , iv
I. Introduction .. .. !
A. Oven, iew i
II Legal Background 2
C. Purpose of!he (, MS 3
II. Strategic Approach for TSCA Compliance Monitoring 4
A. ( Ker\ iew 4
II Strategic One- TSCA Approach 4
(". I he iSCA Challenge 6
III. C )rgam/aucm» Leadership, and Implementation of the I St'A
Compliance Monitoring Program
A. I'SC A "Core" Compliance Monitoring Program versus National Areas of Focns lJ
B. Coordination with 1 Headquarters l>
C. Regional versus State Roles 10
1, federal1 Implementation. 10
2, State Implementation 10
3, Implementation b\ Program Area i 1
IV. Strategic I se of Resources.... 13
\. (her\kn\ 15
B. Prioritizing tlte Work 13
1. federal Implementation 13
2. State implementation.... 13
C. Resource Allocation M
1. ( t ilical (, riteria 14
2. Additional Criteria 14
V. Program I lements 16
A. ()\ erv iew 16
B. Targeting 16
1. (h erv ieu 16
2. Pargeting Principles 17
C. Compliance Monitoring l ools 18
1. Criteria-based Inspections 18
2. Por-Cause Inspections..... - ll>
3. Inlbimation Request Letters (IRl.s) ll>
I. Subpoenas
5. felephotte Inquiries 20
ty I ips and Complaints (Tips) 20
Random Inspections 22
X < ft her C ompliance Monitoring \etiv ities 23
I). Program Priorities - 2>
I . Program Planning 25
1. ( h en tew - 25
2. federal implementation 2b
V State Implementation 2
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Office of Kni'orcernent ami C om[liiunee Assurance
Toxic Substances C'ontnil Act ( I SC'A) Compliance Monitoring Strategy
F. Program Ova sight. 27
G. National Reporting 29
1. Overview 29
2. Data Management and Reporting Requirements 30
H. Indian Country.. 30
1. Overview 30
2. Federal Implementation 30
3. Tribal Implementation Jurisdictions 31
Appendix A. Acronyms and Generic Terms i
Appendix B, New and Existing Chemicals... , viii
Appendix C. PCBs u
Appendix D. Asbestos xxii
Appendix E. 1 cad-based Paint ................. xxx\ i
Appendix F, Lead-based Paint Program Resources hi
TSCA CMS iii
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Office of F.isforeenH'iit :mtl Compliance Assurance
Tu\tc Substances Control Act (TSt A) Compliance Monitoring Strategy
L:\eeuli\e Summary
l he Office of Compliance worked closely with the Office oi'Civil Enforcement. EPA Regions,
and the Office of Chemical Safety and Pollution Prevention to develop this Compliance
Monitoring Strategy (CMS) for the Toxic Substances Control Act (TSCA) to help EPA Regions
better understand and implement compliance monitoring for the four TSCA program areas: New
and Existing Chemicals. PCRs. Asbestos, and Lead-based Paint. 1 lie CMS creates a "One-
TSCA" program framework for regional compliance monitoring programs.
One-TSCA means that each Region is expected to use all available compliance monitoring
capabilities (within all rele\ant offices in the Region, at Headquarters, and among participating
states) to address the Region's most signilieant I'SCA challenges, while sustaining essential
capaeit) in all of its TSCA program areas.
fhe CMS is comprised of:
• The CMS {main document) describes the scope and purpose of the CMS; presents the One-
i SCA approach and regional expectations: describes the operation ol the national 1 SCA
program, and each of the four I'SCA program areas: and discusses the program elements
applicable to all four program areas (targeting and compliance monitoring tools; program
priorities, planning, and oversight: reporting: and special approaches in Indian country).
• four program-specific appendices, one for each of the TSCA program areas.
• A lead-based paint resources appendix that provides a sample information-sharing
Memorandum of Understanding and a hypothetical Regional integrated strategy for lead,
• Appendices, referenced in the foregoing documents, which provide relevant and helpful
information.
for further information regarding TSCA compliance monitoring, contact -" ¦ = _ at 202-564-
2425 of the Monitoring. Assistance and Media Programs Division of OECA's Ofiteeo!
Compliance.
TSCA CMS IV
"One-TSCA" Program Approach
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Office of Knforccmcn! and ( 0111pliancc Assurance
Toxic Substances Omirol Act (TSCA) Compliance Monitoring Strategy
I. Introduction
A. ()\ er\ icu
This Compliance Monitoring Strateg} (the CMS) for the I oxic Substances Control .Act ( l'SC.\)L
covers compliance monitoring for the Ibllouing I NCA pro'jnun (or "focus") ureas:
• I'SCA New and bxisting Chemicals I I'SCA X!:,C"). also known lis Core TSCA:
• Poiychloririated Btpbenyis (PCBs>:
• Asbestos, including the Asbestos ) ki/,ard imiergencv Response Act (Alil-RAh Worker
Protection Rule (WPR). and Model .Accreditation Program (MAP)" ': and
• l ead-based Paint (I.BP),!
CompliiiiH'c Monitoring
The term "compliance monitoring" in the CMS is not limited to inspections. It
encompasses the array of methods I.PA uses to determine the compliance status of a
regulated "operation" and gather evidence for potential enforcement, including but not
limited to field inspections: information request letters (IRI.s) and so-called "desk
inspections": subpoenas: and other measures to determine and promote compliance.'
The CMS presents an overarching (multi-year) framework and principles for TSCA compliance
monitoring. Also it presents a strategic approach which will nunc I SCA compliance monitoring
Jrom primarih a program-by-program perspective to a "one-TS( A-program" (One-TSCA)
approach. As discussed below. Section II. this approach means that each Region is expected to
ha\e an overarching approach in allocating its resources to ensure that the Region focuses on its
most signiltcant en\ ironmental problem!s) vet sustains essential capaeit} in each of its TSCA
focus areas by. for example, responding appropriately to tips and complaints (collectively.
Tips).6
'15 ti.SC. §§ 2601 -2695d, See Appendix A for acronyms and generic terms (unofficial nomenclature) in the CMS.
2 In the CMS. "MAP" refers to the Model Accreditation compliance monitoring/voyriHw. rather than to the "model
accreditation plan" which establishes accreditation requirements. See Appendix A for acronyms and generic terms.
' Collectively, the Asbestos and PCB programs are known as the TSCA Legacv Chemicals Program.
' See the program-specific appendices to the CMS for details on each TSCA program area: Appendices H-l'. FSCA
NEC. PCBs, Asbestos, and LBP, respectively.
? See also Appendix A. The CMS does not examine OECA policv or practice with respect to accounting for (or
giving Regions credit for) the various compliance monitoring methods.
*' The appropriate compliance response to a Tip, if any. depends on the circumstances and. for instance, may entail
referring the matter to the appropriate State or Headquarters office. See Section V.C.7. Taraeting, below.
TSCA CMS 1
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OllK-1'!>n:iifenpii:irsct- Vwni'aitee
I o\ic Stjhstafiees Control \et ( I SC \ f ( ompliance Munitoritiu Mnitc;:)
I he Region's < )ne-1 SC. A approach is expected 10 be consistent with the principles in the CMS.
the performance expectations in the National Program Managers Guidance t\PM(i). and the
accountability requirements of applicable grant guidance.* The N!FM(i sets two-year compliance
program priorities and'or other regional commitments, and is the primary means by which die
CMS is implemented. Furthermore, the Region's One- I'SCA approach should be evident in both
direct implementation compliance monitoring,4 and owrsi^hi of TSCA compliance monitoring
programs as implemented by States and Tribes (collectively. "States"
1 he CMS is intended for Regions.11 but also provides useful information for States empowered
(cither through an HPA agreement to conduct inspections on behalf of I'PA or authorized to
implement their own federally-equivalent Slate program) to conduct TSCA compliance
monitoring. The CMS is effective immediately upon issuance.1*
B. I cual Background
I S( 'A was enacted in 1 <>7(> to pre\ em unreasonable risk of injun to human health or the
cm ironment associated with the manufacture, processing, distribution in commerce, use. or
disposal of chemical substances.1* EPA conducts compliance monitoring of regulated
operations (facilities, activities, and entities) pursuant to I SCA:
• 1 hie I. sections of which comprise the New and Hxisting Chemicals program.N
• Section b i\\ithin I itle I). which regulates PCBs. and asbestos t WPR and MAP).
• I itle 11. which regulates asbestos in schools, and public and commercial buildings.
• 1 itle IV. which regulates 1.15P. Title IV operates in conjunction with the Section 1018 Lead
Disclosure Rule (I. DRi of the Residential Lead-Based Paint 1 la/ard Reduction Act of 19l)2,
fhe program-specilic Appendices provide detailed legal background on each 1 SCA focus area.
" wwwA'p.tgm oeto npmguidanee index.htm.
* I lie CMS does not change the Regions obligation to follow other applicable iniklaticc, such as rele\am inspector
guidance and policies
" Dtn\ ; tmpismcnhiiunt compliance monitoring means inspections (and other monitoring acth ities'i primarih to
ciimiic adequate monitoring (coverage! of the regulated unnerve and identity \ lolations h\ regulated operations,
distinguished ftom nwt M^iir compliance monitoring t.P-\ ma> conduct to assess a Stated program,
1 1 I lie CMS does not distinguish or examine whether LP A has determined that certain 1 St \ eompliance
monitoring aeti\ itics or programs are delegable onh to Slates hut not I'ribes, or \ iee versa.
'1 l ederal inspection* include those conducted b\ Ff'A's Senior i mironmernal !'mplo\ees (SO.si.
Although the CMS is scheduled to be reissued during Hr 2oln. it does not nt«dii\ !• Y20l*» regional or State
agreements or commitments.
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TSCA CMS
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Office of Enforcemi'iil iiml Complin nee Assurance
loue Substances Omtrol Act (TSCA) Complmnce \I(mili>riii« Strategy
C. Purpose of the CMS
Laeh of the lour TSCA program areas is distinctly prescribed to govern a unique subset of the
arrav of chemicals and chemicai-relatcd activities that are pervasive throughout our society.
These diverse programs, however, share au overarching goal: to protect people and the
em ironment from chemical risks. The (.'MS is intended to pro\ ide a unified conceptual
framework that empowers Regions to act slralegica!l> to advance this overarching goal.
Specifically. the CMS aims to:
® Promote national consistency: and a belter understanding of, and compliance with,
expectations for the national program.
• Articulate guiding principles of the ()ne- 1'SC.A approach to help Regions prioritise their
efforts and allocate resources across the I SCA program areas.
• Promote coordination between TSCA compliance monitoring and other TSCA-related
activities.
• Help Regions effectively target regulated operations for potential compliance monitoring
(and enforcement).
• Clarify the respective roles and responsibilities of I leadquarlers. Regions, and States; and
strengthen regional ov ersight of State compliance monitoring programs.
• Shift the focus of the national program, from a concentration on "stove-pipe" (rule-specific)
outputs (number of inspections) to a focus on getting strategic results.
• Clarifv the Regions" responsibilities for TSCA compliance monitoring in Indian country.
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TSCA CMS
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Office (fl KitfortcnK'nt urn! t'diiipliiiiuT' AvMiniiKT
Toxic Substances ( ontrol Ac I (I S( A) C'(MH|)li;iiKc Monitoring Strategy
II. Strategic Approach I or TSC'A Compliance Monitoring
A, 0\ er\ iew
The primary objectives of the national TSC'A compliance monitoring program are to:
• Address the most significant TSCA-regulated problems: and
• Promote compliance generally throughout the various TSCA-regulated universes.
Thereby, both EPA's national enforcement goal and I SC A priorities established by EPA's
Office of Chemical Safety and Pollution Prevention (OCSPP) are advanced by TSCA
compliance monitoring,1 >
1SCA covers vast and diverse regulated universes. Thus, EPA compliance monitoring can
directly reach only a small portion of the regulated entities. The CMS adopts the strategic One-
TSCA approach to give each Region the flexibility, consistent with the National Program
Managers Guidance, to shift its priority focus as needed to address its most significant
compliance, human health, and em ironmental issue* s). It is important for the Region to also
maintain capacity in each TSCA program tinder the Region's purview.
B. Strategic (>nc-I SCA Approach
Hach Region is expected to have a strategic One-TSC A approach for its TSCA compliance
monitoring program whereby the Region looks at its entire capacity as a means to address its
most important environmental issue(s), while sustaining its various TSCA program areas. The
Region's approach is expected to be consistent with the following documents:
• T he CMS, which provides overarching, multi-year guidance for developing and
implementing regional TSCA compliance monitoring programs.
« The which >ets two-year compliance monitoring and enforcement priorities, and
inspection or other output expectations,
• (inrnt (ruidmuT. as applicable, which establish accountability. and other obligations tor
States receiving federal funds; and oversight responsibility for Regions to ensure the States"
appropriate use of such funds.
Figure I, below, illustrates the relationship among these three controlling documents. Also,
regional programs are expected to follow other applicable guidance, such as relevant inspector
guidance and policies.
15 See Section III.B. below. rctianjinsz OCSPP's mission and activities,
TSCA CMS
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Office of Fn (orcein cut ami ( oinpiiarsee Assurance
Toxic Substances Control Act (1 S('A) Compliance Monitoring Mratogx
Fig. 1. One-1 St A Approach: Reiact»»nsliiji and Distinctions \mnn^ Controlling Documents
Durntinn
Content
Krli\ mice
CMS
Multiple Yeuis
Principles for all
compliance
monitoring program
elements 1
Affects all compliance I
monitoring program
elements1
One- TSC'A Approach
m'm<;
1 wo I iscal Years
Annual inspection
outputs and prog rum
priorities
Allects compliance
monitoring. enforcement
ami directs other national
priori!) activities
(iiant (.uidnm-i.1
Spec i tic Cirant Period
Criteria for Slates' use of
federal funds and I .PA
oversight
Affects program
oversight
1 t ompltance monitoring "program elements" include inspection outputs, targeting and monilonng. program
planning, program oversight, reporting. See Section V. Program I-lenient-., below.
Under a Onc-TSCA approach. Regions should use their available TSCA compliance monitoring
resources (including any PCB resources that may have shifted to lhe regional Resource
Conservation and Recovery Act [RCRA] programs"1) to focus on the priorities identified in the
NPN'I guidance and on the most signi(leant regional environmental problem(s). Those resources
include capacity within the Region's TSCA compliance monitoring office, in other relevant
offices within the Region, at Headquarters.11 and among participating States. To the extent
possible, the Region should lev erage those various resources through the use of innovative
approaches, such as checklists or other screening tools for other media inspectors to use to help
cover TSCA compliance issues.!S
In applying the Onc-TSCA approach, the Region is expected to make several informed
judgments regarding its program.'" For example, the Region is expected to be knowledgeable
about the array of environmental problems across the Region and the regulated universe subject
to each of its TSCA focus areas (e.g., the universe size, constituent sectors, compliance level).
Also, the Region is to consider, and address, the potential impact that directing most of its
resources to its priority issue! s) likely will have on its other TSCA programs and activities. See
For example, in some Regions. 1'SCA resources are located in the hazardous waste (RCRA) office, so that RCRA
and TSCA compliance monitoring should be integrated, for instance, by including PCB monitoring during
inspections at RCRA facilities that store dispose of PCBs.
17 For example, certain Regions may refer Tips to OFCA's Core TSCA Enforcement Program jCTEPk See
Appendix B, New and fixisting Chemicals.
!s See e.g.. Section V.C.7.d (and note therein). Compliance Response Options, below.
The FY201fi-l 7 NPMG. for example, establishes expectations regarding how Regions are to allocate their
inspection resources across the various TSCA program areas. In future years when NPMG allocation expectations
change, if a Region wants to allocate its resources differently than the NPMG, then the Region should explain its
rationale for such deviation and negotiate its proposed inspection outputs through the ACS process.
TSCA CMS f
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Offite (if Knforcemciil and Cmnpliiiitcc Ass unmet'
Toxic Substances Control Act (TSCA} Compliance Monitoring Strate»v
also Section IY.C. Resource Allocation, nn page 14. Although the Region may focus its efforts
on one (or several) significant issuefs). the Region also is expected to sustain each of its TSCA
program areas. For instance, at a minimum, the Region is expected to maintain inspector
expertise and capacity (whether (hat expertise capacity resides within the Region or is obtained
through agreements with oilier entitiesl to respond appropriately to tips in each 1 SCA area.""
The One-TSCA approach should be evident in the Region's direct implementation compliance
monitoring, and in its working collaboratively with States to plan program priorities. See
Program Planning. Section V,b.. on page 25, Oxer time, ihe Region is expected to modify its
priorities {and resource allocation) as necessary to respond to new and emerging issues.
As part of the ACS negotiation process, if a Region does not adhere to the allocation of resources
outlined in the NPM guidance, the Region will need to prov ide a rationale (in whatever detail is
necessary to support the Region's inspection activ ities hid) that explains how the Region plans to
address its major challenges. Also, the Region should be able to explain to OfX'A the basis for
selecting its priority issue(s): how directing its resources to the priority tssue(s) likely will affect
the other TSCA program areas: and how the Region plans to sustain those oilier areas.
The One-TSCA approach means that HPA will manage the national compliance monitoring
program as a single-1 SCA program, rather than relying primarily on the number of inspections a
Region conducts annually in the separate I'SCA focus areas. Accordingly. OHC'A will focus
increasingly on the extent lo which the Region's compliance monitoring outputs iinspections.
Information Request betters (IRI.s). etc.) obtain strategic results.
C. The l'SCA Challenge
Despite the significant distinctions among the four TSCA program areas, they share a common
goal: to protect human health and the environment from risks associated with chemicals. This
goal is the unifying principle for the One-fSt'A approach.
first, each I SCA locus area governs a distinct set of chemicals, activities, and regulated
operations. 'I he challenge, therefore, is to maintain the breadth of expertise and activities needed
to concurrently operate effective compliance monitoring across multiple focus areas, some of
which involve State participation, figure 2 summarizes this complexity. fhe program-specific
appendices on page i provide details.
While the One-TSCA approach gives the Region flexibility to allocate its resources, the approach is not intended
allow a K
TSCA CMS
to allow a Region to unilaterallv disinv es.t indofinitelv from anv of its TSCA focus areas.
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Office of rnforeemenl and Compliance Assurance
T(i\ic Substances Control Act (TSCA) Compliance Monitoris)" Strategy
Fi«. 2. Distinctions \iuuiis; tlu1 1*
ji \ ieu of the iour
ISC \ Pro«ram Areas
Scope of
\R
Chemicals
New & existing
chemical substances
PCBs
Ashestos-
eoiitainini!
i nr
LBP
material l ACM)
Activities
- Manufacture
- Use
Presence of
- Abatements, Risk
Sale or lease of
- Import
- Storage
triable ACM
Assessments.
"target housing"
-1 lsc / Processing
- Disposal
Inspections
- Distribution in
- Renovations
commerce
- Dust Sampling
Operations
- Manufacturers
An\ user, or
-1 ocai
- Abatement
-1 andlords
- Importers
storage disposal
1 ducation
contractors
- Sellers
- Processors
fad I in
Agencies
- 1 raining
Providcrs
- Asbestos
Professionals
- federal & State
asbestos
operations
- Risk assessors
- Inspectors
- Renovators & firms
- Dust Sampling
Technicians
* I raining providers &
Emplov ees
- Project managers
- Agents
1 TSCA I.BP includes three separate regulator}' programs. Sec Appendix E, Lead-based Paint.
... .
Second, the Region's primary function and activities in each jurisdiction (state, territory, etc.) for
each particular TS( .1 program urea vary depending upon whether I d\\. or a Slate (or I'rihe).
has responsibility lor direct implementation compliance monitoring (i.e.. monitoring to cover the
regulated uni\erse and determine the compliance status of individual operations). This means
that for each particular 7\( 'A program area, each jurisdiction is cither a '!• ederal
Implementation Jurisdiction" or "State (or Tribal) Implementation Jurisdiction * for
compliance monitoring lor that program area.
"Federal Implementation Jurisdictions" versus "State Implementation Jurisdictions"
j
t The CMS frequently references the distinction between Federal, versus State, Implementation
jj Jurisdictions because this difference affects the Region's compliance monitoring
[ responsibilities, priorities, and activities. The distinction is particular!} relevant with respect to
I the "program elements" of the TSCA compliance monitoring program, such as targeting,
program planning, direct implementation compliance monitoring, and oversight. See Section
i V. Program Elements, below.
TSCA CMS
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OITkt nl" riilVci-mi'in arid ( imijiiiaiHT Wtir.imx
lfi\ic SsihxiMiK't". Omtnil Xc! 0 St Al< iniijiliano.- Mnftinn'tmi str;»H'si>
Section lll.C", Regional \crsus State Roles, on page Hi describes how this distinction pla\ s out.
and allecls the Region, in each TKCA program area.
TSCA CMS
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Office of t'.nfort'cinetH am! Compliance Asmihinee
Tmic Substances Control Act (TSCA) Compliance Monitoring Strategy
III. Organization, Leadership, and Implementation of the i'SCA
Compliance Monitoring Program
A. i'SCA "Core" Compliance Monitoring Program \ersus National Areas olT'ocus
EPA's national TSCA compliance monitoring program encompasses both the "core" compliance
monitoring program.21 and any OECA "national areas of locus'" that might periodical!}' include a
I SCA program area.
• The I'SCA core program encompasses ongoing compliance monitoring activities aimed at
achieving and maintaining compliance with all applicable requirements, by all types of
regulated operations.
• National areas of focus include OECA's official National Enforcement Initiatives, and any
nationally significant compliance problems thai OECA may. from time-to-time. designate as
warranting a response by all or most Regions. National areas of focus may or may not
include a I'SCA program area.
B. Coordination with Headquarters
Regions are encouraged to coordinate their monitoring efforts with other compliance assurance
activities (assistance, incentives, and enforcement), and to coordinate with affected Headquarters
offices, as appropriate.
• OECA's Office of Compliance (OC) has primary responsibility for 1 SCA compliance
monitoring and assistance. OC issues the TSCA CMS.
• OECA's Office of Civil Enforcement (OCE) is responsible for TSCA civil enforcement and
compliance monitoring for new and existing chemicals. OCE and OC work eooperati\ely
and through complementary efforts.22
• OECA's Office of Criminal Enforcement, forensics and I raining {OCEFT) is responsible for
"I'SCA criminal enforcement. ()CE and (>C1TT coordinate as necessary and appropriate on
potential criminal violations of I'SCA.
• EPA's Office of Chemical Safely and Pollution Prevention (OCSPP) administers the
Agency's "program" activities for i SCA, such as rule development, voluntary prevention
Note that the "core" compliance monitoring program is distinguished from the '"Core I'SCA" program area (now
known as the TSCA New and Existing Chemicals [TSCA NHCj program). As of FY2015, OCF, and Regions 2. 4.
and 5 impiemen! the TSCA NEC program,
22 Other OECA offices include; the Office of Site Remediation Enforcement (OSRK), which handles cleanup of
Superfund and other sites contaminated with PCBs and other hazardous substances: and the Federal Facilities
Enforcement Office (FFliO), which has compliance assurance roponsihihrv for federal facilities.
•asm s™ ¦—»¦ ¦ ¦ ¦
TSCA CMS 9
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Office i>f Knfom-ineni am! C oinpiniiift' Usui mux
ii'\ic Substance* C mtiroi Vet 1ls{ A) ( uinpiianee "Monitoring Str;ik'U>
initiatives. permuting, regulatory orders, research, testing, demonstration projects, and
outreach.
C. Regional \ersus State Rules
Implementation of TSCA compliance monitoring is a collaborative effort between Regions and
States. I he Region's primary responsibility depends upon the partieular TSCA program area.
1. Federal Implementation
EPA has responsibility for direct implementation of the compliance monitoring (and
enforcement) program for;
• All Indian eooniry for all TSCA program areas-
• Federal-onl\ programs implementing the compliance monitoring program. Federal inspections in
these stales should be primarily focused on state oversight, but may also be for the purpose of
determining compliance. States that have received a grant to perform inspections in the PCB.
Asbestos, and TSCA FRP programs are responsible for performing inspections consistent with
the grant, (ieneralh. F PA supports the State's activity under a Performance Partnership
Agreement tPPAI. Performance Partnership Grant (PPC),-*1 or other form of cooperative
agreement"1' where FPA provides federal funding.
Ml Indian countries arc f cdercil Implementation JuriMJictions since l-.PA conduct* compliance monitoring in
Indian country, unless ;i t ribe is empowered to do so, such as under ,1 t St' \ 1 BP authorization. See Section \',l 1,
Indian t 'ounnv. he low
1 hi'A aho lias direct implementation re.sportsibilit} where ;i tederal. stale or tribal go\eminent is the regulated
operation f or example, even though a State niav he authorized (o implement its own ISC A-equivaient LBP
program. IP A would conduct the LBP inspection ot sUrtc-owvted turret SHuumu,
The t MS docs not examine the various grant mechanisms spccificall) applicable to each program area.
Regions negotiate inspection goals with States, and memorialize the agreed-upon »onls in documents such as
PI'As and 1T< is or other grant agreements. Some Regions it-port uMtii: other tonus of coopcrati\c agreements in
work tin: u ith a stale as;eiic\ other iluvi the state's ein ironmental agencv Ml such documents are v ital tools in the
Rei;ion's oversight of State programs See Section V.I-. Prouram < >\ erstuht, bekrn
TSCA CMS 10
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Office of l.n force men! and < 'mnplianee Assurance
Toxic Snhstances Control Act (TSC'A) C oniplianee Monitoring Strate
The Region is expected to provide leadership and support to the State where federal intervention
is needed to address complex or multfjunsdictiona! issues: whereas the Slate t\pieall\ alerts
1\PA lo regulatory implementation issues on-the-ground (e.g.. regulator) interpretation
problems), and identifies new and emerging issues tiiat ma\ warrant a national locus, figure 3
summari/es these distinctions.
Fi«. . Primary Object i\ esjifjtcgiwiat vcrsns SuUe Compliance Monitoring
' 1 !n Federal Implementation .Jurisdictions in S!:ite Implementation Jurisdictions
Objectives: i _ " i
Region - Direct implementation ! - State program oversight enforcement that ma\ arise from State inspections.
• Asbestos
In "waiver jurisdictions." State inspectors conduct inspections under the Suite's fl'A-
approved AIlfRA-equivalent law. Stale, rather than federal requirements appl>: and the
State conducls its own enforcement. In "non-waiver" States. fPA engages a Slate to
conduct inspections (but not enforcement) on l l'A's behalf: and f'PA conducts any
enforcement that may arise from State inspections.
o The Worker Protection Rule (\\ PR) program requirements applv if a state or local
government employer is not subject to either a state asbestos standard approved by the
U.S. Occupational Health and Safety Administration (OS1IA). or a state asbestos plan
exempted b> HPA. Approximate!) half of the stales have OSII A-approved stale asbestos
standards: and there is no f.PA program oversight. A slate subject lo WPR (i.e.. without
TSCA CMS
11
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OHii'l'|)L'0(i(lllS
i.nforcvinciH
Vni i
JaKIiiir
( "hiwiiraK
.U l
l'< IK
VHF-.R V
\\ ;iiv cr
StiiU",
No
No
Yes 3
\i>n-«:ii\ lt
Sl;ltl'v
Yt'S '
No
jsj_\
\h:i(i iHi (il UKI'
liiili- ittili'
jS 4tl2(ai ,J ¦lO^ici
Yes ' ! Yes 1
I.Bi*
i'Ri.
iillk'
§ -tdwti)
Yes
1 federal-onh program
• IP A tna> engage State inspectors to inspect on ERAS behalf.
Stales nnist implement IPA-upproved AlIFRA-equhuleit! programs.
1 State must he authorized to implement an EPA-approved 1 St A i.BI'-cijuivaleni piojiram.
i nk- It)
1.11K
j 1H]S
No
™ vc-ior.i .it ph}.\2}.
As I Y2II1 \ more than luill of the states have obtained MAC appimai. Sec also Appendix D. Asbestos,
Section I.C, Introduction.
TSCA CMS 12
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Office (if KnfotTL'iiK'nt anit Compliance Asm,ir;inee
To\ic Siit)stance.s Control Act (TSCA) ( onipliance Monitoring Strait*;}
I
; IV. Strategic Use of Resources
A, < )\ lt\
in empkn ing the One-TSCA approach on page -4 (Section III. the Region will need lo annually:
• Prioritize its work lo ensure the Region addresses its most important TSCA isstie(s): and
® Ensure iis resources support the NPM guidance and Ihe Region's mosl significant
environmental or liuman health concern.white sustaining its remaining i'SCA focus areas;
and to support' oversight of State programs.
The guidance below Is Intended to help Regions make strategic prioritization and allocation
decisions.
B. Prioritizing the Work
Prioritization requires collaborative planning between Headquarters and Regions, and between
Regions and States, to ensure that regional and State plans arc consistent with and support
national goals and expectations.
1. Federal Implementation
The Region's first priority is lo ensure that it meets its annual commitments for direct
implementation compliance monitoring consistent with the NPMCi. with an appropriate le\ei of
Held presence for its priority issue; s). The Region also is expected to sustain the TSCA
programs under its purview consistent with the CMS b\. at a minimum, responding appropriately
to 1 ips. See Section Y.C.7. on page 22, Additional!}, the Region is to provide adequate
o\ersighl of State programs consistent with the CMS and applicable principles for state oversight
in Section Y.!;. on page 27. KPA is authorized to unilaterall} inspect an_\ regulated operation at
an}" time: these unilateral inspections may be used for o\ersight purposes.
2, State Implementation
The Region and State should work in concert to determine ihe State's annual program priorities;
address any program deficiencies; and ensure that State performance Is consistent with grant
guidance, and an\ applicable PPA PPCs or other agreements. See Sections Y.k and Y.K on
page 25. Program Planning and Program Oversight, respective!}.
For example, in a given year, a Region ma\ (lev ote most of its resources to inspections for the LBP RRP Rule.
versus for AHhRA or PCBs.because the Region determines that RRP non-compliance P^ses a greater risk of harm. ^
TSCA CMS 13
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Office offCllfoiTLmtnS ;sm! ( <;i!i |>i ia ut't1 Assiirniifi
I fi\ic Si!b\{;iocl's ( t'lili fil Ac! ("f Sf \) C iMii(Hi;iiKT Nliinil to meet its commitments and address its priorities.
1, Critical Criteria
Regions arc expected to always consider the following critical criteria:
• Human 11 tutllh and Ijivinnimental Benefit I he Return must allocate its resources so
that it can direct!) address the most serious environmental problems in the Region consistent
with the NPM guidance and the One-1SCA approach in the ('MS (Section II, on page 4).
• I lu'nrrvcted or Repeat Non-Compliance I lie Region should iv\ icw compliance data
each year to identify significant trends and recurring non-compliance, including reviewing
data reported or maintained by States, in particular. Regions should take action where
uncorrected non-compliance results in exposure risks, or unfair and inconsistent enforcement
across States. In addition. Regions should consider taking federal action (along with
appropriate oversight and guidance to States! where States arc not meeting minimum
program expectations.
2. Additional Criteria
Regions also should consider the following additional criteria, which nun influence the balance
of resources across the four 1 SCA focus areas.
• New Rules and I'rogrums - Hie introduction ol new rules and accompanying program:- ma\
necessitate an investment of extra resources for a start-up period. I his may require
temporarily diverting some resources from an established TSCA program to the new one.
Such diversions should be of limited duration (typicalh. a single program year), and should
not prevent the Region from meeting its primarx responsibilities (e.g.. NPMtj expectations, if
different)/" Within a short period of lime, the need for diverting resources to the new
program should diminish, as the regulated community becomes familiar with the new
requirements, and the Region becomes more efficient in compliance monitoring for the new
program.
• Kffcctiv v I sc of Alternate cs to Inspections W here a Region contemplates significant!)
reducing the number of inspections for a particular i'St "A focus area, especially for a fcderal-
orih program (1 i)R and TSCA \K"). then the Region should ensure that alternative
M The Onc-TSCA approach is not intended to allow a Region to unilaterally disinvest indefinitely from any TSCA
jgrograur^ire^Linder^tK^^egion^^^ij^lew.
TSCA CMS 14
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Office of i\[sforeement ;hh! Compliance Assurance
To\ie Substances Control -Vet (TSC A} Compliance Monitoring Str;ite«\
activities arc implemented to maintain a presence among the regulated community which
encourage and facilitate compliance. For example, the Region ma\:
o [Establish or expand partnerships or initiatives with other enforcement and regulator)
agencies that have a similar locus and mission, to encourage them to conduct compliance
monitoring activities.31
o Employ screening tools that enable inspectors from non-TSCA programs to spot potential
TSCA hazards and violations.3*
o Issue Information Request Letters (IRI.s),
o Review records in other agencies" possession (e.g., local health departments, local
building departments).
• Additional Activities to Promote Compliance I he Region may also conduct other
activ ities that maintain a federal presence in the regulated eommunit\ v\hieh encourages and
facilitates compliance, l or example, the Region ma):
f.mploy integrated strategies that include compliance assistance and compliance
incentives in combination with traditional inspection and enforcement approaches.
Partner with f.PA's programmatic oDices to combine outreach with compliance and
enforcement. The Region is encouraged to focus such coordinated efforts on particular
regulated sectors, geographic areas and'or \ulnerahle populations.
For instance, the Region could partner with the tJ.S Department ot'Mousing and Urban Development (HUD), and
state/local health, sanitation, and housing code enforcement agencies concerning 1.1?P. and w ith .school systems and
parent-teacher associations for Alli RA compliance
See Section V.C.7.d, iance Response Options, below.
TSCA CMS
MMMH
15
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Office of Enforcement ami Compliance Assurance
1 o\ti- siilivtanct^ ( nmrol Ut j i s( \j ( mnplhiuce Moiiitunm; Mt atcLn
V. Program U ononis
A. Overview
Although the four TSCA compliance monitoring program areas are distinct, the) share certain
common {cross-cutting j elements;
• Compliance monitoring output expectations {inspections or other agreed-upon activities),
which are established in the NPMCiA1 M
• Targeting.
• Compliance monitoring tools.
• Program Priorities.
• Program Planning.
• Program (hcrsight.
• National Reporting.
• Special approaches in Indian eountrs,
1 his section discusses these cross-cutting elements. The program-specific appendices discuss
their application, any variations, and additional principles for each program area/'1
B Targeting
1. Oveniew
1 SCA compliance monitoring commences with targeting, i.e.. the pro-active identification and
pviuvili'/ation of regulated operations for potential monitoring (usually inspection). Through
targeting, the Region should strive to identify those operations which, if non-compliant, pose the
greatest risk of harm to human health and < or the environment. Effective targeting requires that
the Region possess accurate and up-to-date knowledge of its regulated unhorses (e.g.. si/e.
sectors, compliance issues).
l lfeciive targeting is important for both the Region's direct implementation inspections, and am
oversight inspections the Region ma> conduct. Also, since both Regions and States should use
targeting to pursue the most significant problems, regional targeting f for any oversight
inspections) and State targeting (for direct implementation inspections) generally should result in
identifying the same high-priority operations. Consequently, the Region generally should find
that when it independent!) identifies an operation lor an oversight inspection, the State ordinarily
Relet' to the current NI'NHi lor details. Set also Section II.B, Figure 1. abo\e.
'1 See also Appendix A i generic lerrnsi for examples «»i various compliance montuvw}! outputs.
Ve Appendices B-I , ] M A \'l t . Pi Bs. ANTRA, and IBP, resneeUveh.
TKCA CMS lb
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Office of En force men! ami ( ompliancc Assurance
To\ic Substances Control Act {TSCA} Compliance Monitoring Strategy
should haw already inspected the same operation/See also. Section V.F. Program ()\ersight,
on page 27,
2, targeting Principles
Region's should luue an overall annual slrateg> ['or its 1 SCA compliance monitoring efforts,
i.e.. how the Region targets operations for potential inspection, prioritizes its compliance
monitoring activities, balances its use of the various compliance monitoring options (discussed
below ). and otherwise deploys its resources. 1 he Region should select the most appropriate and
effective compliance monitoring tools, e.g. on-site inspection. IRI.. or partnering with local
authorities.
The Region's targeting efforts should classilX inspections as either '"neutral scheme" inspections.
which encompass both criteria-based and random inspections; or "for-eause" inspections, which
includes Tips. The Region's targeting should:
• Consist predominant!) of criteria-based inspections in which the Region uses relevant
targeting factors to identify operations most likely to be in violation or posing a risk of harm
to human health and/or the environment.
• Include lbr-eausc inspections, based on tips and other information that indicates non-
compliance.
• Provide an appropriate response to lips. See Section Y.C.6. on page 2d.
• Make limited use of completely "'random" inspections. See Section V.C.7. on page 22.
The Region's targeting scheme should also be consistent with the following principles:
® Focused Effort - (jeneralh deplo) inspection resources in a few high-priorit\ geographical
areas, or among particular regulated sectors or populations, for an appropriate duration
(usualh. one \ear)/' Concentrating the Region's effort allows the Region to maximize its
impact on the selected area. I he Region, however, should retain sufficient flexibility, on a
case-b\-case basis, to conduct compliance monitoring outside of its priority area. For
instance, to respond to violations elsewhere that may pose an imminent and substantial risk
of harm to human heallh and/or the environment.
• Vulnerable Communities - Pay particular attention to disproportionately impacted
communities, such as Indian country and environmental justice (EJ) areas, by taking into
account whether regulated operations arc impacting communities that are already vulnerable
to other environmental and'or human health risks.
7" Generally. States that apply to EPA to administer a TSCA-equivalcnt program (l.BI1 authorization or AHERA
"waiver" status) must demonstrate the ability to target inspections to ensure compliance with their rules. See e.g.,
40 C.F.K. § 745.327(e)(5)(LBP). Therefore, although States need not adopt the targeting strategy in this CMS. they
can use its principles in developing their own targeting approaches to provide adequate monitoring (and
enforcement)'.
Foi example, in a given year, the Region may focus on particular EJ areas for LRP. industry sectors for TSCA
NFC or PCBs, or tvpe of LEA for A! IERA.
.'I 'I , »M 1 I'iMIB U
TSCA CMS 17
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Toxic
Office 11 f F.nforoenu'ni and ( cmjtluiiHi
M(bsl;mct\s C (HiSrol U'i I ISt A) (. muplmiicv
\SM!f illK'l1
Mmiitoritiii Mriitc'.jv
• Data-mining - \ >se available LPA databases and other information s\ stems to pro-aetivel}
search tor potential \ iolators,
• Baseline - I J'practicable, establish a baseline of know n or suspected \ iolators. risks, or
ha/ards against which to later assess outcomes and compare Suture aetiv ities, l:\ers it'the
Region is unable lo establish an initial baseline, it should proceed with compliance
monitoring, since the Region can later measure outcomes e\e» if it cannot compare those
outcomes to a baseline.,s
• Partnerships - Leverage inspection resources by addressing problems holistically with other
offices within the Region, at Headquarters, and'or with other regulatory partners.
• Prevention - Focus on preventing exposure to potential hazards. H(Torts should be focused
on proactive activities that achieve strategic results.
Additional, pi oumm-specific guidance is provided as follows:
TSC'A NIC PCBs Asbestos 1.cad-based Paint
(Appendix B (Appendix C (Appendix D §1V on (Appendix V ^ 1 \'
J?!V on page \in) ij 1V on page xv) page xxii) on page xxxvi)
L Compliance Monitoring Tools
Compliance monitoring serves a dual purpose:
* lo determine the compliance status of a regulated operation: and
• Where potential non-compliance exists, to obtain specific, objective evidence to support a
potential enforcement action.
1 he Region should select the compliance monitoring tool which best serves to fulfill these
purposes relative to available resources. (Also, having an effective compliance monitoring
presence has a deterrent effect throughout a regulated community.)
I. Criteria-based Inspections
Criteria-based inspections are particularly relev ant for I'SCA because the Region can target
based on criteria pertinent to each particular focus area, for example, to find Local Education
Agencies j I HAs) likely to have schools with asbestos risks subject to AIILRA. the Region's
targeting criteria could include the age and condition of the LLA's school building inventory or
the I LA's compliance history. Similarly, the targeting criteria for the I BP program should
include whether an area has widespread childhood lead poisoning la so-called "Lead Mot
Spot *' \ or In »m f J community.
I hi inMancc. even if a Region cannot estimate the baseline number of properties with LBP hu/ard> in a target
urea, the Region nonetheless can measure the number of prupeities .it which I BP ha/ards were eliminated as a result
of regional intervention.
"I'SCA CMS 18
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Office t»f riiforci-uu'iil mul < 'muplt:titcc VsMinmci'
! hmc Siilist:iiici"» C niitrd! \s't ( 1M" M ( iimjjIi.iiH'c Monitn i"i"U Str;ili's>
()f ("A encourages Regions to confirm and address the extent and nature of,suspected non-
compliance. For example, the Region might explore the extent of non-compliance among
certain operations assumed to he subject to the TSCA NF.C's Chemical Data Reporting (CDR)
Rule.4" To do so. the Region could "mine" liPA's CDR database lo identify the universe of
former CDR reporters thai, without apparent change in status, failed to submit an updated tiling,
I hen. the Region would conduct exploratory activities (e.g.. inspections or screening activities I
aiming a subset of such operations, such as those that process the highest-risk chemicals. If the
exploratory inspections confirm a pattern of non-compliance among this subset, then the Region
might broaden its search to inspect other CDR non-reporters based on the pattern of non-
compliance indicated by the exploratory inspections.
2. I or-Cause Inspections
1'he Region's compliance monitoring regime should include an appropriate portion of for-eause
inspections. For-eause inspections are those for which hl'A has a basis to suspect non-
compliance b\ a regulated operation. Regions use for-eause inspections pnkuiirvly when they
select inspection subjects based on EPA targeting research and analysis that indicates non-
compliance - and reiiciirely when they inspect in response to Tips.
Information Request Letters (IR1 s)
The Region should use IRl.s where appropriate. IRI.s request the submission of records, and can
be particular!)1 effective when followed by on-site inspections of all or a selected subset, of the
IRI recipients. Generally, the Region should use an fRI when it has a basis lo suspect a
violation, such as a tip or other indicator of non-compliance. As with any compliance
monitoring tool inspections, as well as lRLs and other methods (e.g.. self-certifications) - the
aim is to obtain sufficient information lo determine compliance. Therefore, the Region should
subject an\' documents it receives in response to the IRI to the same level of scrutiny and
analysis the Region employs for documents obtained via an on-site inspection.
As of 1-Y2011, OFCA policy does not equate the issuance of an IRI, to the performance of a full
on-site inspection.11 Nonetheless. IRI s help the Region maximi/e its resources, expanding its
monitoring activities to reach greater numbers of regulated entities and Regions are encouraged
to use them.
4. Subpoenas
A Region may choose to issue a subpoena pursuant to Section 11 of TSCA rather than conduct
an inspection.4* When an operation fails to respond to a subpoena, then the Region may request
!' See general k Appendix li. Seelum II.
41 The CMS does not examine OECA policy with respect to "crediting" regional compliance monitoring activities.
"
TSCA CMS " 19
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Oflki- of Kllfisrii/mciil ami Cumnturiee \\\iii-;iirv
lime Siihsi-jiici*s ("nnmil \cl <1 S( \H um[tjiance Mmritin-iii" Sjrattuv
thai ihe I ;.S, Department of Justice (D( )J) seek judicial enforcement 1 here fore. prior to issuing
a subpoena, the regional TSCA office should consult v\ ith its ()ffice of Regional Counsel (()RC I
and its assigned I)()J contact person,
5. Telephone Inquiries
1 elephone contact with a potential violator may provide the Region with useful information
regarding compliance, but it does not count as a formal TSCA inspection, TSCA requires a
notice of inspection (N( )I) for all inspections.44 Furthermore, requesting regulated operations to
send I I'A records that arc required to be mu'mtamcii but not submitted under the regulations may
require submission of an Information Collection Request to. and approval by. the U.S. Office of
Management and Budget (OMB) pursuant to the Paperwork Reduction Act (PR A ).
6. I ips and Complaints (Tips)
a. (hen icn
Pto\ iding appropriate responses to tips4-1 is important. It advances i P.Vs ability to pursue
pollution problems that matter to communities: increases the credibility of the
compliance'enforcement program: promotes a level playing-field among the regulated
community: and may be the primary means b\ which a Region is able to sustain a program when
resources must be diverted to address more significant ISCA problems. See also Section II,
Strategic Approach, on page 4.
As explained below. Regions have a range of response options, and the appropriateness of a
particular option depends upon a variety of factors specilie to each tip. Inspections based on tips
should constitute a minor component of the Region's pro-active targeting regime, since the
Region can only react to tips. Upon receiving a tip. the Region generally should perform three
functions:
• In loi'nKition-tiatlicriii^: Decide whether and. if so. how -- in gather additional
information about the alleged violation.4''
• Triage: Triage the lip to make an informed judgment about the priority of the tip and the
compliance response, if any, Triaging is particularly important where a Region is inundated
with tips, such as when a new rule or requirement first becomes effective.
' 1 infer certain circumstance;.. I PA has authorift to seek a comH-ksuciI warrant t« obtain access for an on-site
inspection, it'Ilk- Region's I St'A compliance monitoring tit'ilcc contemplates seeking a warrant, then the office
should prompth consult with URC an J DOJ
44 15 tlS.i..', $ JfilUtat.
'' I ips include, hut ut\ inn limited to. informal "referrals" from stales See \ppendK A lor acromms and generic
terms.
In some instances, a Region ma> decide ho/ to seek further information, such as where a Hp efcurlv pertains onh
lo an unregulated acti\ il\. See e.u.. note 55, intra,
TSCA CMS 20
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Office nf F.nfurccmeiil :nu! C ompliance Assurance
To\ic Substances COnfrol Act (TS('A) Compliance Monitoriii" Siratcuv
• Compliance Response: Select and implement the appropriate compliance response option,
which ma\ or may not entail compliance monitoring b\ the Region.
b. I iiforni a l ion G ath erin 2
Often, a tip provides insufficient information for the Region to immediately make an informed
judgment about the appropriate response. Typically, to obtain such information, a Region:
• Contacts the "tipster" or alleged violator {b\ telephone, e-mail, or I '.S. mail) to obtain
rele\ant details and corroborating documentation:
® Re\ iews compliance records to ascertain the alleged \ iolator's compliance history. if any:
a nd /or
• Contacts relevant regulatory agencies to determine whether the} have pertinent
information,47
c. Triage
(ieneralh. Regions should triage each tip to determine the priori!} to place on performing a
compliance monitoring response, if an}1.
• ,\o Action - 'f'he Region general!} should triage a lip lor "No .Action" where: (ai the tip
pertains to an unregulated or exempt activity: !'s or (h) the Region is unable to obtain
sufficient information about the alleged violation, and has no apparent basis upon which to
conclude that any compliance response is in order (e.g.. has no independent information
about non-compliance).
• Possible A ction - General!}, the Region should apply this classification if it needs additional
or corroborating information to make an informed judgment about whether - and if so. how -
to proceed. Upon receipt of such information, the Region can make an Action or No Action
determination.
• Action - General!}, the Region should use this classification when the Region has sufficient
information to conclude that the alleged misconduct involves a violation and/or risk of harm
to human health and. or the environment, 'file Region ma} rank Action items from low-to-
high priori!}, depending upon a \ariety of factors. Ordinarily, a Region conducts on-site
inspections only Ibr its highesl-prioril} Action items, e.g.. when the \ iolalion is ongoing, aiht
presents an imminent and substantial risk of harm to human health und'or I he environment.
For example, the U.S. Customs Department may have information about a chemical importer subject to ISCA
NFC; or a local health or housing agency nun have information, or even have issued an abatement order to, a
landlord concerning lead-related housing or sanitation violations.
For example, a LBP Tip that does not involve "target housing" or a "child-occupied facility" is not subject to the
I.BP rules. Even where a Tip involves a regulated activity, the Region may elect to triage the Tip as a Av; Action
item based upon the totality of the circumstances. For instance, the Region may find widespread tie minimis
technical errors which suggest the regulated community hat. misinterpreted a rule. In such case, the Region may-
advise Headquarters that EPA should clarify the rule as an appropriate first course of action. Alternatively, the
Resiion could designate such de minimis technical errors as low- ** "terns.
TSCA CMS
... -
SSH
21
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Office I jifoiTCUK'ii! and (. nmpfiaiu1l' \wtr.inee
I "Me "Mibsiam'es ( onfroi \cS ( I S( \) ( mtipitance Monitor nili NtraK^
d. ('mnpliiUK-c Response Options
1 he Region's compliance response options include, but are nut necessarily limited to;
• No action (discussed above).
• Sending a compliance assistance letter to the alleged \ iolatot*.
• Sending an IRI,, show cause letter, or subpoena to the alleged \ iolator,
• Conducting a documental"} ("desk") inspection (e.g.. review and analy/e documents
submitted in response to an IRI.).
• Arranging for "screening" of the potential TSCA \ iolation in the course of another
ins pec I ion,1''
• Conducting a full on-site TSCA inspection.
1 he appropriateness of a particular response to a tip depends upon the totality of circumstances,
considering factors such as:
• I he source of the tip.'1"
• I he timeliness of the tip (e.g.. whether the violation is ongoing or recent, versus long ago).
• 1 he nature and extent of the reported misconduct.
• 1 he alleged violator (e.g.. its si/e. sophistication, compliance historv !.
» The nature and source of corroborating information, if am.
• I he known or apparent risk of harm to human health or the environment associated with the
alleged misconduct.
• Where the alleged violation occurred. If the alleged violation occurs in a State thai is
authorized or waived or that has received a grant to inspect, then the Region should refer the
matter to the appropriate State and follow-up with the State to confirm that appropriate action
has been taken. (Such follow-up should be a routine aspect of the Region's o\ ersight of the
Stale's program. See Section V.F. Program Oversight, on page 27,}
7. Random Inspections
Random inspections based on neither evidence of non-compliance nor targeting criteria should
constitute a very minor component of the Region's pro-active targeting regime, since such forays
offer little likelihood of finding actual or significant non-compliance.
In limited circumstances, however, random inspections ma\ be justifiable, for example, to
establish an initial federal presence to promote compliance with a new rule, the Region might use
risk-based criteria to select a geographical area with widespread childhood lead poisoning (Lead
*'' I-or instance, screening might occur when an inspector uses a I St A sciccmnu kh»! (c g . checklist) to spot
oin urns potential 1 St" \ violation';: no in the course ot conducting .in inspection at the same facility under Mimlu-r
media program such as Rt'R A (for PCBs) or the Clean Air Act (for asheMos i; or (hi when the inspector conducts a
lull I'St'A inspection at one operation, and makes a brief mmi tfur screening purposes! ;if a second, neighboring
I St'A operation
*" I-or example, the Region mas decide that, as a general principle, an I BP I ip from a local health or housing
agency thai iinoKes I.Hi" hazards and lead poisoned children merits a higher priority than does an individual's
complaint about a contractual lea.se dispute that at I eyes an 1 J)R v iolation.
TSCA CMS 22
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Office of KriloreeriU'iit and Compliance Assurance
To vie Substances Control Act (TSCA) Compliance Monitoring Str;itc«\
1 lot Spot), unci then conduct a brief campaign within that area which includes random
inspections for their general deterrent effect. Also for instance, a Region might use risk-bused
criteria to identify a group of potential inspection subjects, and then randomly select individual
subjects for inspection from among that group (e.g.. where a Region uses criteria to select an
A1IHRA Li'A. and then randomly pick the schools within that I.HA to be inspected}.'1'
Additional, promam-snccific guidance is provided as follows:
Lead-based Paint
(Appendix E §IV
on page xxxvi)
8. Other Compliance Monitoring Activities
Compliance monitoring encompasses all activities performed to determine compliance with
I SCA and applicable rules. I he primarv goals of compliance monitoring include:
• Assessing and documenting compliance with regulations or orders.
• Supporting the enforcement process through e\ idenee collection.
• Monitoring compliance with enforcement orders and decrees.
• Creating deterrence, and
• Prov iding feedback on implementation challenges to permit and rule writers.
Compliance monitoring includes:
• formulation and implementation of compliance monitoring strategies.
• Compliance inspections, evaluations, audits and investigations
® Data collection, rev iew. and reporting.
• Program coordination, review, oversight, and suppori.
• Support for 35(H). 1 on the job training (OJ i ) requirements.
Additionally, an expanded definition of compliance monitoring activities encompasses all of the
means used to make a compliance determination, ranging for example from off-site record
reviews to an on-site compliance evaluation.
On-site — On-site activities may include compliance activities that will help assess
compliance of the facility as a whole. The on-site evaluations may include any of the
following activities:
Rev iew regulated activities.
51 On rare occasions, individual random inspections might be appropriate, such as to fill minor schedule gaps in an
inspection campaign at a distant location where there are unplanned gaps in a schedule set up fot criteria-based or
lor-cause inspections, and using those gaps for a random inspection maximizes the Region's use of its travel
resources.
TSCA CMS
23
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Office of FnlDrcL-mcnt am) (.'oinplhinci' As>ui-iiiicv
1 o\ic Substances Control Acl (TSCA) Compliance Monitoring Stnitc«\
o Review required reports, records or other relevant documents.
Off-Site — Off-site acli\ ities also ma\ include compliance evaluations designed u> assess
compliance of the facilitx. The off-site evaluations may include any of the following
activities:
Re\ iew or audit reports, records or other relevant documents,
l-'vaiuatc responses to formal information requests such as IRL's.
o Assess or triage tips and complaints that enable a closeout of the complaint.
The decision to utilize the new categories included in the expanded definition of compliance
monitoring is optional and voluntary for state/local agencies. However, if a state/local agency
decides lo utilize the expanded definition and wants to reeei\e credit lor the acti\ tl\ from J-PA.
the following conditions apply:
A. The activity must he conducted for the purpose of making a compliance
determination.
B. "On-site acti\ ities" must he conducted by an authorized representative of the
Administrator: (consistent with appropriate federal, state, or tribal authority) that
includes giving notice (i.e. issuing an NOI} and showing credentials.
C. "Off-site activities" must be conducted by an authorized representative of the
Administrator (consistent with appropriate federal, state or tribal authority) or other
credible regulator (e.g.. an individual with sufficient knowledge, training, or
experience to assess compliance).
D. The activity should be documented to ensure transparency, accountability, and
appropriate follow-up.
Compliance monitoring is one dimension of OI CA's Compliance Assurance program.
Compliance monitoring does not include (and this document does not cover) the other
components of compliance assurance, i.e.:
• Compliance assistance:" '
• Compliance inccnti\cv such as Compliance Assistance Program (CAP) initiathes: or
• Case Development and hnforcement (e.g.. preparing notices of violation, warning letters, or
formal complaints: or developing evidence where an area of concern or potential violation
has been identified).
Authorized inspector could include an approved 3rd party.
Agency policy limits the extent to which an inspector may provide compliance assistance in connection with an
inspection. See S'utionul Policy: Rule of the EPA Inspector in P> milling Compliance Assistance During Inspections
(June 25, 2(X)3). nr>. 'l.oduLHr miihujvi ciiuip;>iyij,>rt- ni--p.vuii.pU:.
TSCA CMS
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Office (if Enforcement ;nul Omisitianec Assurance
Toxic Sulis Unices Control Act (TSCA) Compliance Monitonn;; StriHc^j
I). Program Priorities
HP A announces national priorities tor the I SCA compliance monitoring program through a
varietv of communications, including:
• The CMS. which discusses oxerarehing. long-term priorities tor each "I SCA program area^:
• The NPMti. which pro\ ides two-year program priorities;
• The "\aiiotuij_j n'orcemciii iniiiatixc- priority-setting process. OECA sets national
enforcement initiatixes e\er\ three years to focus resources toward the most significant
en\ ironmenlai problems and human health challenges identified by EPA staff. States, tribes,
and the public. Establishing focus areas helps OECA address high prioritx en\ ironmemal and
human health problems in a timclx manner through inspections, compliance assistance, and
enforcement actions over a three year time period, for each of the national priority areas.
EPA Je\clops a stratcgx to aehiexe specific goals and
• Other communiques which OECA ma> use from time-to-time to announce TSCA efforts to
address environmental problems that warrant national response, direction, or involvement.
Additional, program-specific guidance is provided as follows:
TSCA NEC PCBs Asbestos Lead-based Paint
(Appendix B (Appendix C (Appendix I) $}IV on (Appendix E §IV
5IV on page viii) JjlY on page xx ) page xxii) on page \x\\ i)
I Program Planning
1. Overview
Program planning covers the processes and mechanisms Regions use in setting regional (and
State) priorities and expectations. (In turn. Regions conduct program oversight to confirm the
SIMM's fulfillment of those expectations.)
Effective program planning requires collaboration at multiple levels to ensure that expectations
reflect a shared vision for the TSCA compliance monitoring program. Therefore, there should be
regular communication about program objectives, activities, and anticipated outcomes between
and among:
• OLCA. OCSPP. and the Regions:
TSCA CMS
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Office of F.nfnreeinent and Compliance AsMtranec
Toxic S»i)slances C'oiKrol Act (TSCA) Compliance Monitoring Strategy
• 1 ho \arious i'SCA program ureas within the Region {even if these programs reside in
different offices within the same Region^); and
• The Region and its respective States.
i he nature of such planning \aries depending upon whether I'PA. or the Slate, has responsibilit)
for direct implementation compliance monitoring, and upon the legal authority under which the
Slate is empowered to conduct monitoring."6
2. Federal Implementation
Regions should use the NPM guidance as a starling point in the planning process. The Regional
1 SCA enforcement program should work collaborateely with other relevant offices within the
Region, and with its States to identify both the most significant TSCA-regulated problems to be
addressed over the year, and new and emerging issues that may need attention in the near future.
3, State Implementation
1 he Region is responsible lor ensuring thai KI'A and Stales make joint progress toward attaining
compliance, so the Region should work with authorized or waiver States to plan compliance
monitoring. The scope and details of planning will vary depending upon the particular TSCA
focus area/ All program planning, however, should focus on both inspection outputs and on
obtaining strategic results, such as the violator's prompt return to compliance, pollution
prevention, and process/behavioral changes to avoid future violations.
f or States receiving grants, the Region should ensure that State priorities are consistent with
applicable grant guidance. Also, since much of the Region's planning with States occurs in
connection with the TSCA State-Tribal Assistance Grant (STAG) funding program. Regions
should revisit State planning annually as part of grant negotiations, and periodically throughout
the \ ear. to monitor performance.
Regions should use availahie mechanisms to plan (and memorialize) expectations for the Stale.
including:
• Training and Credentials: l eisure that agreements which authorize Stale employees u>
conduct inspections on hPA's behalf are in place with the State and speeih the minimum
training requirements for State inspectors in accordance wilfr ' (or comparable to^ ) EPA
^ For example, where a Region's TSCA compliance monitoring resources arc located in the Region's RCRA office.
See Section 1I.C. TSCA Challenge; and Section III.C, Regional versus State Roles, above.
57 For example, regional planning with a State that has its own inspection and enforcement authority {e.g., AHERA
"waiver" or LBP "authorization" status) will differ from that with a State that onh lias federallv-credentialed
inspectors to inspect on EPA's behalf (i.e.. AIIERA non-waiver, or PCR inspection-only authority!.
5S framing for any inspector using federal credentials must comply with Order 3500.1, without regard to uhether
HI'A provides funding for the inspector's compliance monitoring activities.
?l> Training for any inspector nut using federal credentials (but implementing a I SC'A-equivalent program) must he
coiiipanihh' to the requiremenls of Order 35i)t),l. since FPA views Order 3500.1 as setting the minimum qiuilihitive
standards for inspector training (although the form of State training may differ from EPA's).
TSCA CMS 26
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Office of Enforce men I and Compliance Assurance
Toxic Substances C ontrol Ac! (TSCA) C ompliance [Monitoring Strategy
Order 3500. / Inspector Training arid any other applicable policies governing the issuance of
federal credentials to State inspectors.6"
• Targeting: Determines high-prioril\ geographical areas, industry sectors, and or \uincrable
populations that should be the locus of the State's efforts. Regional and State targeting
regimes should he coinplementan to ensure adequate coverage of the regulated universe
through the combination of State direct implementation and any regional o\crsight
inspections.1''
• Inspection Commitments: Plan the appropriate mix of federal and State compliance
monitoring aetivilies with the State, such as the number of regional direct implementation
and oversight inspections, including those conducted in response to tips. Note that EPA
alone is responsible for inspections in Indian eountr\ (see Section II. Indian Country, on page
• Oversight Inspections: Coordinate an\ o\crsighl inspections the Region elects to conduct
with the State. (However. HP A is authorized to unilaterally inspect any regulated operation
at an> time: and to use such unilateral inspections for o\ersight purposes.)
• Reporting: Reach and memorialize agreements with Slate grantees for mid-year and end-of-
\ear reporting.
Additional, pro gram-sped fie i^U'dance is provided as follows:
Asbestos Lead-based Paint
(Appendix D ijlV on (Appendix E §IV
page x\ii) on page sxx\ i)
F. Program Oversight
Program o\ersight applies onl\ in authorized or waiver States and States that receive TSCA
grants, One of EPA's goals is to ensure that EPA and States deliver on our joint commitment to
a clean and heahm environment. Effective program o\ersiyhl advances this goal since it helps
Regions ensure that States maintain the capacity for. and actual!} implement, effecti\e I'SCA
compliance monitoring programs. Also, program oversight \eriiie.s and reinlorees the Region s
expectations, and State's commitments, as determined through the collaborative program
planning process (see Section Y.E. on page 25). Similarly. OECA's oversight of regional
programs helps ensure national consistency and qualin across the Regions.
Regions are expected to communicate regular!} with States regarding overall performance and
progress toward meeting commitments: and lo identity and resobe obstacles to program
EPA Memorandum by Michael M. Stahl. ""Guidance For Issuing Federal EPA Inspector Credentials to Authorize
Fmployces of State Governments to Conduct Inspections on Behalf of EPA" (Sept, 30, 20Q4){GiiiJtuue on
Inspector Credentials, See also EPA Memorandum, Process for Rctfiiesiin^ EPA C 'reJentials for State Inspectors
('inducting Inspecthms on EPA's Behalf (Aug. 5. 2005).
See also Section V.B. 1, , Overview, above.
30).
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Office of imftircc'MHuf and ( 'mipiiancc
Iifxii1 ^tiitMnni'ts ( mnnii \ct ( f S("Ct)iii|iiiam-e Mmiifitriii" Mratcu>
implementation. I hus. Regions need to evaluate the qualih of State compliance monitoring h>.
lor example. rev ievv ing inspection reports, conducting oversight inspections as appropriate, and
using other means (see below), particular!} where a Stale receives grant funds to conduct ISC A
compliance monitoring. Where States are not meeting expectations. Region:-* should take action
to address serious \ Solutions: focus oversight resources on the most pressing program
performance problems; and work with the State to demonstrably improve program performance.
Also. Regions need to take action when necessary to communicate with the Stale what things
need attention to achieve the federal program goals and ensure a level playing-field across the
regulated community in the State.
Specillealh. Regional oversight should ensure that each State's program maintains:
• Adequate inspector program knowledge, training and eredentialing. consistent with (or
comparable to, as appropriate) Order 3500.1 and State performance agreements;
• adequate coverage (identification of violations) of the regulated universe:
• sufficient resources to operate effecthely;(,?
• appropriate documentation and reporting:
• general program accountahilitv. as required by applicable grant guidance, necessary for
reliable program audits from within and bevotid the Agene\; and
• appropriate and timely enforcement responses b\ States with Al II R \ waher status or ISC' A
LBl' authorization: and in such enforcement actions, include penalties that properly consider
gnnit) and economic bene tit.
furthermore, since l-FA seeks to qtiiekh address violations that pose die greatest risk to human
health or the environment. Regions are expected to consider the following in assessing a State's
program:
• The number of inspections the State conducts.
• The number of tips to which the State responds, and the appropriateness of those responses.
• The number and type of regulated operations inspected, and the percent ofthe regulated
universe these operations comprise (i.e.. the extent of "coverage" the State provides).
• 'I he number of violations, and percent ofthe universe, addressed and resolved in a timely and
appropriate manner: and for A11 BR A waiver and I Bl'-auihori/ed States, the enforcement
actions taken.
II'A will also consider the types of outcomes the State is obtaining from its compliance
assurance program if this information is available, such as whether as a result of inspections (and
any enforcement) violators promptly and completely return to compliance, or make process or
behavioral changes to avoid future violations.
(icneralh. when a State opplies to FPA fur approval to administer ;t f S(.'A-ei|ui\alent mui program j A HI: K A
waiver i>r 1 xc'A I BP authorisationI. ii must identify the resource-, ipersonnel, monies) it will commit to its
program. < her lime, the actual State resources ma\ change. The Region should be aware at whether such changes
occur aiki. ii \o. whether the change.* are contrary to the State's resource commitment and detrimental to its ability
to conduct ;m effective program, If so, then the Region sboukl discuss these matters with the State, and OECA, to
determine him best to help the State maintain an effective- program.
TSf A (IMS 28
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Office of Kuforcement and Compliance Assurance
T(i\ic Substances Control Act (TS( A) Compliance Monitoring Strategy
The Region should use a varietv of available mechanisms to ensure adequate oversight,
including:
• Regular meetings, consultations, an J (raining opportunities with Slales.
• Reviews (if State inspection reports.
• Reviews of data and (rends of Slate activities.
• Vtid-vear and end-ol-year grant rev iews.
• Oversight inspections, alone or in collaboration with State inspectors.
The Region mav elect to conduct oversight inspections. These inspections help the Region
assess the quality and effectiveness of a Slate's compliance monitoring program and its
inspection capabilityallow the Region to acquire first-hand knowledge regarding
compliance issues in-the-iieid: and provide a federal presence and general deterrent effect
among die regulated eommunitv.
Additional, program-specific guidance is provided us follows:
PC Us Asbestos Lead-based Paint
(Appendix C (Appendix D $1V" on ( Appendix V ;jlY
£IY on page x\ } page \.\ii) on page x.vw i)
G. National Reporting'0
1. Overview
Increased transparency to the public and affected communities is one of CPA's goals and, thus,
an important program element for a!! four 1SCA programs areas, furthermore, the PW3
Government Performance and Results Act l GPRA} holds federal agencies accountable for using
resources prudently and achiev ing program results. GPRA requires agencies to communicate
information about their performance to Congress and the public. Therefore, appropriate,
accurate, and timely reporting of i:PA"s objectives, activities, and accomplishments is
instrumental to ensuring that EPA has data readily-available to meet its goal of increased
transparency and eomplv with GPRA.
The Region's role in States is not limited to oversight, since the Agencv is authorized to inspect any regulated
operation in any State and in Indian country, at am time.
For example, the Region should not he the first regulator to identify obvious and longstanding (or widespread)
non-compliance in areas where the State has already conducted compliance monitoring. If. through oversight
inspections, the Region finds the State should have alreadv found, but did not find, such non-compliance, then the
Region should work with the State to analyze the non-compliance and the State's inspection capabilities. The
Region also should increase training and support to the State program. See also Section V.B.I. Targeting, on page
15."
''*¦ Regional compliance assurance reporting obligations vary. Depending upon the Region, reporting may include
hard copy reporting (e.g.. inspection reports, case documents, compliance assistance documentation) and or entry
into regional data systems tor tracking purposes.
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Office of KnlWct'menl aiui C ompliancc Assuranee
Toxic Substances Control Act (TSCA) ( ompliance Monitoriii" Stealers
2. Data Management ami Reporting Requirements
Regions arc expected to enter information concerning all federal TSCA inspections (and
enforcement actions) into the Integrated Compliance Information System (ICIS). Data from !('IS
help monitor and track the status of ACS measures for TSCA compliance monitoring activities
and target future activities. Since OhCA uses 1C1S data-pulls to monitor regional implementation
ofTSCA compliance monitoring activities and fulfillment of ACS commitments, accurate and
timely data entry into ICIS is important,
Additional, nrogram-snecifk guidance is provided as follows:
PCBs Asbestos Lead-based Paint
(Appendix C (Appendix D §IV on (Appendix 1: §IV
§IV on page xv) page \xii> on page xxwi)
H. Indian Coumrv
I. Overview
KPA has direct implementation responsibility in Indian country. (States general!) do not inspect
in Indian country even if the State otherwise has TSCA inspection authority.) A tribe, however,
might receive a grant to conduct inspections on 1'P.Vs behalf or obtain waiver status or
authorization'""1-67. Regional compliance monitoring should complement tribal environmental
programs implemented under tribal laws.
2. federal Implementation
In Indian country, the Region should provide inspection coverage comparable to that which the
Region provides outside of Indian country, to ensure that the lev el of proteetiveness on tribal
land is no less robust than elsewhere in a State. To do this, the Region may elect to conduct an
iik'ndca/ number of inspections in each Indian j urisdiction as it does in the State, if practicable,
Generally however, since the size of the regulated universe in Indian country is substantially
smaller than that in a State as a whole, the Region may be able to provide comparable coverage
and proteetiveness without necessarily providing i tic mica I coverage to that provided in the
Several Tribes have TSCA I .BP authorization: and this program area has the largest number of Tribal
Implementation Jurisdictions.
'" Also, a Tribe ma\ be subject to EPA inspection and enforcement where the I ribe itself is the regulated entity.
When this is the case, the Region should follow established Agency policy concerning inspections and enforcement.
ilh li"^j*'. fi!"i .a ' . it and' .. t •'
/ jj ¦ ''n iiictH ' -i
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Office of Knforeemeist ;inti Compliance Assurance
!*o\ie Substance1' Control Act (TSC'A) Compliance Monitoring Strategy
State."K The Region is expected to use an appropriate method to determine how best to provide
equivalent proteethencss in Indian countn .
3, Tribal implementation Jurisdictions
The Region should work collaboratively with a tribe that is authorized or has waiver status on
program planning and oversight similar! \ to how the Region would work with a State. See
Section V.h.. Program Planning, and Section YT.. Program Oversight, on page 27.
Additional, program-specific guidance is provided as follows:
PCRs Asheslos
(Appendix C (Appendix D §IV on
SIV on page \\ ) page xxii)
"s For example, the Region may determine the appropriate number of inspections by counting multiple small Indian
TSCA CMS 31
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UlTkc of rnftnTt-nu-m ;nu] t tiinpiuiiicc \sMiniiu-i-
[ d\ic Snhstjiu-fv <'uiUnH Ui i i'S( K) ( Mnjslmnci.- Moiiitorm;: Mr.iU'»\
Appendix A, Atroii) ms mid Generic Terms
it: 11 LI IA 11
4, Acronyms and Generic Term;
i
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Office of F,n force mint niu! Compliance Assurance
Tli;inee Monitoring Str;itesj\
AppcndK A. Acroimns ami < .ciierie Terms
11
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Oiiiee of I.nfortcincsil and Compliance Assurance
Toxic Substances Control Act (TSCA) Compliance Monitorin" Strategy
Appendix A, Acronyms and Generic Terms
I. Acronyms Used in the CMS
Abatement Rule
TSCA ^402(a> Lead-Based Paint Activities, Certification, and training Rule
ACS
Annual Commitment System
ACM
Asbestos-containing Material
A HERA
Asbestos 1 fa/ard Emergency Response Act
ASMARA
Asbestos School Hazard Abatement Reauthorization Act of 1990
BIA
Bureau oflndian Affairs, U.S. Department of the Interior
B1E
Bureau of'Indian Education. U.S. Department of the Interior
C \C DS
Compliance Assistance Conclusion Data Sheet
CHI
Confidential Business Information
CCDS
Ca^e Conclusion Data Sheet
CDC
U.S. Centers for Disease Control and Prevention
CERCLA
Comprehensive Environmental Response, Compensation, and Liability Act (known
also as the Superfund act)
C1D
Criminal Investigation Division
CMS
Compliance Monitoring Strategy
COF
Child-occupied Facility (TSCA Lead-based Paint program)
t psc
U.S. Consumer Product Safety Commission
CTLP
Core TSCA Enforcement Program (TSCA New and Existing Chemicals program)
DOE
U.S. Department of Energy
DOI
U.S. Department of the Interior
F.J
Environmental Justice
EJSEA F
Environmental Justice Strategic Enforcement Assessment Tool
EPA
U.S. Environmental Protection Agency (or Agency)
t j PR A
Government Performance and Results Act
HIPAA
Health Insurance Portabilit) and Accountability Act
HUD
U.S. Department of I lousing and Urban Development
1CDS
Inspection Conclusion Data Sheet
1RL
Information Request Letter
IIJR
Inventory Update Rule (TSCA New and Existing Chemicals program)
EBP
Lead-based Paint
LDR
Lead Disclosure Rule (formally, the Title X § 1018 Lead-based Paint Real EState
Notification and Disclosure Rule)
l.EA
Local Education Agency (Asbestos program)
V1AMPD
Monitoring, Assistance and Media Programs Division (within OCEA OC)
MAP
Asbestos Model Accreditation Program (distinguished front "model accreditation
plan")
vtou
Memorandum of Understanding
NA1S
Neutral Administrative Inspection Scheme
NESHAP
National Emission Standard for I lazardous Air Pollutants (Clean Air Act standard for
asbestos: Asbestos Nt^SHAP)
NPCD
National Program Chemicals Division (within OCSPP)
NPMG
OECA's National Program Managers Guidance
OC
Office of Compliance (within OECA)
OCSPP
Office of Chemical Safety and Pollution Prevention
(K'l
Office of Civil Enforcement (within OECA)
OECA
Office of Enforcement and Compliance Assurance
OPPTS
Office of Pollution Prevention and foxics (within OCSPP)
TSCA CMS Appendix A, Acronyms and Generic Terms
iii
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Office of I nforccment and Compliance Assurance
To.\ie Subsiani't-.s CmslruJ Art {TSCA) Compliance .Moniioriny Strategy
Appendi\ A. Acronyms and Generic Terms
OS] 1A
U.S. Office of Safety and Health Administration
PCBs
Poh chlorinated Biphenv Is
PMN
Pre-manufacture Notification (TSCA New and Existing Chemicals program)
PKL-: Rule
TSCA § 406(b) Pre-reiiovation Education Rule
RCRA
Resource Conservation and Recov er) Act
RLBPHRA
Residential Lead-based Paint Hazard Reduction Act of !
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Office olT.iiforcenu'iil anil Compliance Assure nee
Toxic Sui)sla.aees Control Act (TSCA) Compliance Mouit
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Of fice iif faiforcenient and Compliance Assurance
Tovic Substances Control Act ('I SCA) Compliance Monitoring Strategy
Appendix A. Acronyms anii Ceneric Terms
• "Micro Enterprise" or "Micro Business" (FBI' program) means a verv small regulated
"operation," such as a sole proprietorship, or a business that has fewer than five employees
and a \er\ limited business portfolio (e.g.. owns controls as lew as ten dwellings: or has a>
few as ien regulated projects valued a? no more than $100,000 collectively per year).
• ".\ational urea of focus" or "national focus area" means any issue that FI'A designates for
national compliance monitoring attention for a finite period of time (distinguished from
ongoing "core" compliance monitoring). National locus areas include OI.CA National
i'nforcement Initiatives: Federal Facility Integrated Strategics: and anv other issue that
OFCA identifies as Inning national significance and in need of nationwide (or multi-
regional} HPA response, direction, or involvement. A national area of focus may or ma\ not
include a TSCA program area.
• "Operation" means am thing thai is subject to TSCA compliance monitoring, i.e.. am
regulated aetivitv. propertv (faeilitv. plant, dwelling, etc.). or cntitv (person, compart v .
enterprise, etc.).
• "Oversight" or "Program Oversight" means the various acli\ ilics F PA ma\ conduct to
determine and ensure the adequacy and effectiveness of State (or Tribal} compliance
monitoring ami enforcement activ ities and programs.
• "Program area" means one of the lour 1 SCA compliance monitoring programs examined in
the CMS. i.e.: the New and Fxisting Chemicals I TSCA NFC) program: PCB program;
Asbestos program; or Lead-based Faint (LBP) program.
• "Regulated Universe" or "Universe" means the regulated community (i.e.. the '"operations")
subject to I SCA compliance monitoring.
• "State (or Tribal) implementation Jurisdiction" means a Stale (or Indian cotintrv) in which
the State (or Tribe) has responsibility lor direct implementation compliance monitoring fur a.
particular i SCA program area under some sort ofconstrueL (CMS Section IH.C describes
the various constructs.) Certain I'SCA program areas include both Slate implementalion
Jurisdictions and "Federal Implementation Jurisdictions."
• "State " means a State. District of Columbia. Tribe, or I :.S. i erritorv in which the
government of that jurisdiction is empowered so conduct compliance monitoring for a
parlieular TSCA "program area" under some sort of construct, such as LBP authorization.
A J JFRA waiver slams, or an agreement to inspect for FP.A. fhe lerm "Mate" (uneapilaiized)
means the term in its normal sense, i.e.. an> State in the nation, regardless whether (hat
jurisdiction conducts 1 SCA compliance monitoring. (A particular "State" may be
TSCA CMS Appendix A. Acronyms and Generic Terms
vi
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Office of Lnl'oreenient and Compliance Assurance
Toxic Su lis lances f onhol Act (TSCA) Com pliancc Monitoring Strate«>
_____ A[>pendi\ A. Acronyms find Generic Terms
empowered to conduct PCB compliance monitoring whereas even- "State" in the nation faces
em ironmenial challenges.) (CMS Section III.C describes the \ annus constructs. I
• "Tip" means any information that KPA nui> receive from an external source which indicates
potential non-compliance, including any citizen tip or complaint, lead (which may result in a
criminal investigation), or in formal "referral" from a State or other regulator (e.g.. a local
health, housing, or building department).
• "Toxic Dwelling*' (in ihc LB I5 program) means a ivgsilaled duelling (target housing) thai
associated with multiple and/or successive cases of childhood lead poisoning, or that has
significant or longstanding I.BP hazards.
• "Tribe " means a federally"-recognized I ribe in which the Tribal go\ eminent is empowered
to conduct compliance monitoring for a particular TSCA "program area" under some sort of
construe!. (CMS Section lll.C describes the various constructs.)
TSCA CMS Appendix A. Acronyms and (ieticric Terms
vii
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Office ofF.nforcemerH mid Compliance Assurance
!D\ic Substances Control \ct (TSCA) Compliance Monitoring S(ratc«\
Appendix I}. New and Fxistin" Chemicals
Appendix R, New nnd Chvmia^'
TSCA CMS - Appendix B, New and Existing Chemicals
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OITkt (if ijiformiu-nl ;nul ( oiitplniiHx Usunutt'i'
I
!i. Nut ami [¦"\tsunu C'fK-micaK
TSCA CMS Appendix B. New and Existing Chemicals
ix
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Office of" Enforcement ami Compl ianee Assurance
Toxic Substances Control Act {TSCA) Compliance Monitoring Stmte^>
Appendix B. Ne\v and F.xistin" Chemicals
I. Introduction
Jurisdictional FnuiK-nork fur Complin net* Monitoring''"
I he I'SCA New and l-.xisting Chemicals I I SC.\ NFC 11) program is a federal-onh program,
i.e.. all Stales (and Indian eountiy) are Federal Implementation Jurisdictions.
The Core I'SCA Fnibreemens Program fC J'f'P?. based in Olr'C.Ws Office ol'Civil
1 enforcement (OCh). and participating Regions'' conduct compliance monitoring and
; enforcement for 1 he 1 SCA NFC progjajn. , ________
1'ille I of'I SCA eo\ers she TSCA New and Fxisting Chemicals program. Sec Legal
Background. Section II. below. 1'itle 1 empowers I -"PA tit regulate the manufacture (which
includes importation), processing, distribution in commerce, use. disposal, and export of
thousands of chemicals. Also. Title I authorizes FPA to test chemicals for potential health
and/or environmental effects prior to introduction into commerce: collect, analyze, and review
data concerning chemicals prior to and after release to the environment: and regulate these
substances if they pose an unreasonable risk of harm to human health and/or the environment.
The objective of the TSCA NEC program is to reduce risks posed by the highest priority
chemicals, and eliminate voids in F.PA's understanding of the safety of large volume chemicals
(i.e.. those in amounts exceeding 25.00(1 pounds per \ear in commerce).
CTFP and Regions 2. 4 and 5 collaborate on 1 SCA NFC compliance monitoring: and work with
FP.Vs Ofike of Chemical Safe!} and Pollution Prevention (OOSPP) jo identify program
priorities and target potential entities for inspection. Other Regions ma\ elect to conduct 1 SCA
NFC compliance monitoring and enforcement. Regions that neither participate with C'iT.P nor
elect to implement their own I'SCA NKC programs ma\ make referrals to ("ITP.
"" See CMS Sections II.C and Ill.C regarding EPA versus State implementation.
The New and Existing Chemicals program is also known as the ""Core TSCA" program (distinguished from the
""core program" for I SCA compliance monitoring discussed in CMS Section 11 LA).
See Appendix A for acromnis and generic terms used in the CMS.
~7 OCE's Waste and Chemical Enforcement Division (WCED) operates CTEP. and is responsible for TSCA NEC
activities in the seven Regions that do not participate with CTEP {Regions 1. 3. 6-10).
"*3 As of FY2011. Regions 2, 4 and 5 have active TSCA NEC programs and participate with CTEP.
TSCA CMS Appendix B. New and Existing Chemicals
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Offici* fit FnSVirevmeiit ami { iHispluHiei' Vwimuiev1
I D\ic Substances Control Aei ( I'.xC \ I ( iHiijilisuict' Monitunii" strateuv
\j)f!L')uii\ 15. mid [r\iMin» Clu'mii'iiN
II. Legai Background
The TSIW New and hxisting Chemicals program - com prised of Sections 4. 5. i\ S. 12 and 13
ui'l itlc I ! goxems ""chemical substances" and "mixtures," v
Section 4 - i'eslimj of present an
unreasonable risk of injur} to health or the em ironment"; or "will be produced in substantial
quantities" such that there may be significant human or em ironmental exposure. KPA also max
require testing where there is insufficient data and experience to determine the effects of a
chemical.
Section 5 - Manufacturing and Processing Notices - Scctiuii ^ esiahlishcs ihe Premanuiaeiure
Notification tPMNi requirement tor new chemical substances, under which a manufacturer must
submit a PMN io l;PA no later than 90 days prior to commencing manufacture of a new
chemical, 1 his 90-da\ period enables I;PA lo determine the safety of the new chemical prior to
its introduction into commerce. Section 5 also empowers I PA to issue Significant New I Ne
Rules iSNl 'Rs) to regulate significant new uses of existing chemicals.
Section 6 - Regulation of Hazardous Chemical Substances and Mixtures - Section o direct
1 PA to promulgate rules to prohibit or limit production, or impose labeling or other requirements
on a chemical when the manufacture, processing, use. distribution in commerce, or disposal of an
existing chemical presents an unreasonable risk of injury to human health or the em ironment.
I PA also max impose recordkeeping and testing requirements; restrict the commercial use and
disposal of the chemical; and require the notification of potential hazards to distributors, users
anil the public. Section 6 also specifically governs pol\chlorinated biphetn Is (PCBs) and
asbestos,'"
Section 8 - Reporting and Retention of Information Section X establishes reporting and
recordkeeping requirements for chemical manufacturers, importers, processors and. in certain
cases, distributors.
• Section 8(a) sets forth reporting requirements, including the quadrennial Inventory Update
Rule (JUR).
• Section S(bi requires that 1-PA maintain records and update the I SCA Chemical Substances
Imenion (TSC A Imentorx L which is I PAN list of oxer 84.000 existing chemicals.
ll s ( , 2hiJ3-2M>, 2607. 2612-2M3, respeemeh.
I he act hrvtudh »tctine«, ihese terms; hem ever several exclusion* apph pesticide*. u products. foods,
drug*). ice 15 U.S.C. §2<>l)2 (definitions}.
76 See Appendix C, PCBs; and Appendix D, Asbestos,
TSC A CMS - Appendix B. New and Existing Chemicals
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Appcmih B. New and K\is(in« C hemicals
• Section Sic) compels regulated operations (o maintain records of significant adverse
reactions to human health and/or the environment.
• {'infer Section fS'(d). I'PA may require regulated operations to submit lists anJ or copies of
ongoing and completed health and safely studies.
• Section Ste) requires that a person must immediately inform l:PA if the person obtains
information which reasonably supports the conclusion that a chemical presents a substantial
risk of injury to human health or the environment.
Section 12 - Kxports — Section 12(a)( 1 ) exempts from certain Section 5 requirements (e.g..
PiVJN or SX! JO any chemical intended only for export. TSCA .Section 12(h) requires thai
exporters notify EPA if the chemical has been subject to an EPA action that indicates the
chemical may present an unreasonable risk to human health or the environment, such as a
Section 4 or 5ih) testing requirement or a Section 5 order.
Section 13 — Imports — Since I SCA defines "manufacture" to include "import.' chemical
importers must eomplv with the same reporting and testing requirements as domestic
manufacturers. Therefore, prospective importers must certify to (he 1 ;.S. Customs Service that
all chemicals in their shipment either comply with, or are exempt from. TSCA. The Customs
Ser\ ice will refuse entry to chemicals that, according to the importer's certification, do not
comply with TSCA.
III. Regulated Universe
The TSCA NT.C regulated universe consists of operations that manufacture, import, export.
distribute, use. process, and/or dispose of chemicals. Currently, there are more than 84.000
chemicals on the TSCA Inventory, more than 13,000 domestic chemical manufacturers, and
literally millions of pounds of chemicals crossing C.S. borders each year through import export
firms and trading houses. Neither 1 SCA nor (he regulations governing its implementation
require companies to notify I-PA that they are in the business of manufacturing, importing, or
using chemicals. By introducing a new chemical into commerce, however, any facility may
become regulated.
IV. Targeting
1 he CMS States targeting principles generally applicable to all i SCA programs. See CMS
Section Y.B. The following additional guidance also applies to the TSCA NKC program for any
Region that implements this program (whether in connection with CTf.P or otherwise).
TSCA CMS - Appendix B. "New and lixisting Chemicals
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Appendix It. \o> and J-Aistin^ < hem ieals
To optimize I-PA's capacity to mitigate hazards to human health and the environment, the
Region's program should focus limited resources on significant, potentially enforceable, and
nationally important pollution problems. Traditionally. EPA has identified operations for
inspections based on their potential lor violating specific TSCA requirements. Therefore, since
reducing risk is a fundamental targeting principle for this program. Regions should target
primarih for the following:
• failure to submit a Section 5 {'MX. Noil-compliance with Section 5 presents a significant
risk because there may be unknown, but potentially significant risks, to human health and the
environment from chemicals introduced into commerce without a prior OCSPP safety
review.
• failure to notif) t he Agency of substantial risk information under TSCA 8(e). Prompt
submission of 8(e) information allows HP A to review chemical risks and implement
appropriate safety measures.
• Non-compliance with requirements for ()CSPP Action Plan chemicals, so that EPA can
implement an cffeclixe compliance enforcement response concerning chemicals lor which
OCSPP has identified human health and/or environmental concerns.
V. Program Priorities
The CMS States program priority principles generally applicable to all TSCA programs. See
CMS Section V.I). The following additional guidance also applies to the TSCA NKC program
for any Region that implements this program (whether in connection with OTP or otherwise).
Regions are expected to:
• focus on chemical manufacturing, distribution, processing, use. or disposal in emerging
technologies, and/or use of new chemicals, including imports and exports.
• focus on ensuring compliance with requirements for new chemicals (e.g.. PMN. SXl R). tor
Section 8(e). and for other priority or OCSPP Action Plan chemicals. See also Section IV.
largeting. above.
• Track and prioritize Tips, and respond as appropriate (see CMS Section V.C.7): and follow-
up on all referrals received from Headquarters. States, and the public.
Regions that do not implement TSCA NEC compliance monitoring programs are expected to
refer Tips to CTEP for follow-up and respond to questions from the regulated community.
TSCA CMS -- Appendix B. New and LxiMing Chemicals
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Toxic Substances Control Act (TSCA) Compliance Monitorinu S(ratc<;\
Appendix B. \cn and Txisiin^ Chemicals
VL Program Planning
The CMS Suites program planning principles generally applicable to all TSCA programs.
Regions thai implement 1'SCA Nf.C programs {in connection with C lin' or otherwise) should
lb]low (he general CMS guidance applicable to Federal Implementation Jurisdictions. See CMS
Section V.li.
VII. Program Oversight
Since the ISC A NIX' program is a lederal-onh program, there are no State Implementation
Jurisdictions and. thus, no oversight of State programs.
VIII. Reporting
The CMS States reporting principles generally applicable to all I SCA programs. Regions that
implement TSCA NEC programs (in connection with CTHP or otherwise) should follow the
general CMS guidance applicable to federal Implementation Jurisdictions. All f ederal actions
are reportable into IC1S. See CMS Section Y.(.i.
IX. Indian Country
1 he CMS States principles for compliance muniloring in Indian eountrx that are generally
applicable to all TSCA programs. Regions that implement I SCA Nl. C programs (in connection
with CI Id1 or otherwise) should follow the general CMS guidance applicable to federal
Implementation Jurisdictions. See CMS Section V.I I.
I'SCA CMS - Appendix B. New and Existing Chemicals
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Appendix C. PCBs
TSC'A CMS Appendix C. PCBs
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¦\[}pc'F!iii\ C. Pf !5s
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Toxic Substances Cimlrol Act (ISC A) C ompliimce Monitoring Strategy
_ Appendix C. PCBs
1. Introduction
Jurisdictional Framework fur Compliance Monitoring
The PCB s compliance monitoring (and enforcement) program is a federal-otih program. EPA.
however, may enter into an agreement with a State (general!} under a federal grant) whereby State
inspectors using federal credentials conduct PCB inspections on FPA's behalf. Any such State is. thus,
a State Implementation Jurisdiction for PCB inspections; and EPA conducts anv enforcement arising
from State inspections. All remaining jurisdictions, including all Indian country, are Federal
Implementation Jurisdictions for PCB compliance monitoring (and enforcement).
Polychlorinated hiphenyls {PCBs) are synthetic organic chemical compounds (aromatic
hydrocarbons). PCBs arc one of the most stable synthetic compounds known, are inflammable
and resistant to breakdown, exhibit low electrical conductiv in, extend the temperature range of
operating fluids, and can provide long-lasting heat at a consistent temperature. Since their
properties made them ideal dielectric and heat transfer lluids. the majority of PCBs manufactured
in the I :.S. were used in electrical equipment.
PCBs are persistent bio-accuinulati\e toxins (PBTs). l-xtensive research has linked PCBs to
various human health effects, including the formation of malignant and benign tumors, fetal
deaths, reproductive abnormalities, mutations, liver damage, and skin irritation. Also,
experiments have shown that PCBs attack the immunological system and affect the production of
enzymes. PCBs are pervasive throughout the environment. Measurable amounts of PCBs have
been found in soils, water, tish. milk of nursing mothers, and human tissue. Also. PCBs present
a serious threat to the env ironment. fhey are absorbed by organic matter and sediments, and
have been found in significant concentrations in waierwavs and sediments throughout the world.
PCBs have been identified in caulk and light ballasts, including caulk and light ballasts used in
schools, which rai^e concerns over potential exposure to school building occupants and others.
Furthermore. PCB exports for disposal are of international concern.
1 he objective of the national PCB compliance monitoring program is to ensure compliance with
federal requirements for PCB use. marking, storage, and disposal: and to promote
decommissioning of PCB-containing equipment.
See (.'VIS Sections II.C and III.C regarding I.P\ versus State implementation.
'K See Appendix A for acronyms and generic terms used in the CMS,
TSCA CMS - Appendix C, PCBs
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To\ic SubslaiictN Control Act (TSCA) Compliance MomSorinrohibit or limit the manufacture. processing, or distribution in commerce of the chemical:
« Require adequate warnings and instructions with respect to use. distribution, or disposal:
® Require manufacturers or processors to make and retain records:
• Prohibit or regulate am manner of commercial use. or disposal: and or
• Require manufacturers or processors' to give notice of the unreasonable risk of injury, and
recall products if required.
.Although I:PA has promulgated several Section rules. PC'Bs are unique in that the> are
specifically identified by statute as requiring regulator}' controls.5®1
III. Regulated Universe
I SC.'A Section 6 applies to operations that ha\e or use equipment or oilier items contaminated
with PC 'Bs. While industrial facilities and utilities were priman users of PC'Bs. any tvpe of
operation may have PC'Bs. for example. PC'Bs were used widely in transformers, transformer
bushings, capacitors. \ullage regulators, hydraulic systems, small capacitors in lluoreseent light
ballasts, and heal transfer systems. AImi. PC'Bs were sometimes used in electrical cable,
switches, breakers, natural gas pipelines, carbonless copy paper, paints, adhesives. caulking
compounds, and im eslmenl casting wax. 1 urlbernioiv. oilier types of equipment .such as electric
motors, vacuum pumps, and gas turbines have been contaminated with PC'Bs: and main oil
storage tanks (both above-ground and underground) have been found to be contaminated with
PCBs.
"" 15 U.S.C. § 2605(e).
*" Other statutes also directly or indirectly control or apply to the ibc. disposal or remediation of PCBs including, but
not limited to. the Clean Water Act. Clean Air Act. RCRA, CHRCLA (Superi'und), and OSHA laws. See Appendix
A for acronyms.
S1 See 40 C.F.R. 761 Subparts A through T,
ISC A CMS Appendix C. l'CB> ~~~ ——
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Appendix C, PCBs
In addition, PCB requirements apply to commercial facilities that transfer, store, and/or dispose
of PCBs. Some of these facilities also are Treatment, Storage and Disposal Facilities (TSDFs)
subject in [lie Resource Consenation and Recover} Act iRCRA).
IV. Targeting
I he CMS discusses general targeting principles applicable to all TSCA programs. See CMS
Section V.B. The following additional guidance also applies to PCB compliance monitoring.
Regions should use targeting tools to identify the most important sources of PCB pollution and
the most serious violations, including screening tools such as f.PAVs Environmental Justice
Strategic Enforcement Assessment Tool (F.IShAl ) and community input. Also, regional
targeting strategies should take the following situations and operations into account:
• Commercial PCB Storage/Disposal Facilities - Regions are encouraged to target for
commercial storage and disposal facilities thai accept PCBs. See Section VI. below
regarding inspecting such facilities at least once e\en ihree \ears. It is important that FPA
maintain a presence in this sector to ensure: (a) compliance with PCB marking, manifesting,
storage, disposal, and reporting rules: (b) proper handling and disposal of PCB waste, since
generators often rely on such facilities for these activities; and (e) proper handling of
unidentified (unmanilcsted) PCB waste, since proper testing bv these facilities ma\ be the
last chance to catch PCB waste before it is diluted or disposed in an unauthorized manner.
• I nmanifested Waste - follow-up on unmanifested waste reports from commercial
storage/disposal facilities.
• Recycling Facilities - Recycling facilities thai handle electrical transformers, capacitors, etc.
• Older Industries and Facilities - Older industries with an identified history uf heav\
electrical use. particularly with a focus on older facilities within those industries.
• Self Disclosures - Self-disclosures and audit policy disclosures.
• Other Facilities - Sites receiving ISC A disposal or remediation approxais. and other
permitted facilities, to determine compliance with the applicable approval conditions,
including certain spill sites operating under 40 t'.F.R. §,761.30{p).
• Repeat Violators.
• Tips - Operations that are the subject of a 1 ip.
rSC'A CMS Appendix C. PCBs
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Appendix C. PCBs
V. Program Priorities
The CMS discusses general program priori!) principles applicable to all TSCA programs. See CMS
Section Y.I). I he following additional principles also apply to PCB compliance monitoring:
• Tips 1 he Region is expected to follow-up on 1 ips concerning potential en\ ironmental and
public health risks, including spilk I he appropriate response max mean that the Region
implements a compliance monitoring option, or refers the I ip to the appropriate State for
follow -up,/"
• Inspection Coverage Regions should conduct inspections in even, federal Implementation
Jurisdiction (including Indian country) to ensure equitable protection. I he appropriate State
Implementation Jurisdiction may provide coverage in lieu of the Region {except in Indian
country). Also. Regions should ensure that ail PCB commercial storage and disposal
facilities are inspected at least once every three years (see Section IV. largeting. above). and
may conduct these inspections in conjunction with RCRA TSPP inspections provided the
inspector comprehensively evaluates compliance with both programs. Regions also may
inspoei iacililies oilier than commercial storage and disposal faeililies. .such as PCB waste
generator sites with on-site storage -- and. if so. should report those numbers separately.
• Caulk and Light Ball asts in Schools - Regions should address PCBs in caulk and in light
ballasts in schools h\ providing information to school systems (including but not limited to
Local hducation Agencies |Lk.\s] as defined by AIlhRASl) and to individual schools, and
responding to Tips,
• Inspection Technology Regions should continue to implement use of electronic
technology in the field, such as PCB Tablets and inspection software.
TP A promotes the phase-out of PCBs, wherever possible. Therefore. Regions should use
inspections to identity current users of equipment containing PCBs. with the goal of promoting
disposal of such equipment through compliance monitoring, or Supplemental Environmental
Projects {SEPs) in any enforcement actions, as appropriate,
VI. Program Planning
The CMS discusses general program planning principles applicable to all TSCA programs. See CMS
Section V.B. There are no additional principles for PCB compliance monitoring.
x? See CMS Section V.C.7. Taigeting, regarding compliance response options tor Tips.
s' The Region is encouraged to conduct combined (or coordinated) PCB-a.sbestos compliance monitoring for schools
subject to A11ERA-
I SCA CMS - Appendix C. PCBt.
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Toxic SnhMiiiui's COutroi Ac! (I SC A) C (inipliancc Muniioriri" Strati.»\
Appendix ( . i'( Bn
VIL Program Oversight
The CMS discusses general program o\ersighl principles applicable to all TSCA programs. See CMS
Section V.F. In addition. Regions are expected to ensure that States implement an adequate PCB
inspection program, provide a rationale where programs are not adequate, and specify adequate
corrective actions, since these jurisdictions conduct inspections on KPA"s behalf.
\ III. Reporting
The CMS discusses reporting principles applicable to all TSCA programs. See CMS Section V.G. In
addition, for State Implementation Jurisdictions. Regions ma}1 consider the State's compliance
monitoring efforts when reporting on Annual Commitment System commitments.
IX, Indian Country
The CMS discusses genera] principles for compliance monitoring in Indian country that are applicable to
all I SCA programs. See CMS Section V.I1. The following additional guidance also applies to PCB
compliance monitoring.
Although Tribes general!} are not major users of equipment containing PCRs. sonic Tribes own
PCB-containing equipment for use in electrical distribution systems or large buildings (e.g.
schools, hospitals, office buildings). Also, some non-tribal electric utility companies may own
PCB-containing equipment that is located on tribal land. The larger the Tribe, the more likely it
is that the Tribe owns the electrical equipment on its land and. thus, is subject to compliance
monitoring.
Regions are encouraged to use compliance assistance, as well as monitoring, to promote
environmental compliance in Indian country. For example, the Region could:
• Include language in tribal environmental agreements requesting that Tribes in\entor> their
oil-filled electrical equipment, which helps Tribes ensure proper handling of PCB-containing
equipment for spill response, storage, and disposal:
• Offer compliance assistance to help Tribes identify and properly handle such equipment: and
• When inspecting or working with an electric utility company that owns equipment on tribal
land, inquire about and encourage any programs the company may have to inspect and/or
remove PCB-containing equipment on thai land.
I SC'A CMS - Appendix C. PCBs
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Appendix I). Asbestos
^mmm.
Appendix H. Asbestos
TSCA CMS - Appendix E. I cad-Rased Paint
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Appendix I), Ashc^ioN
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ISC A CMS - Appendix E, Lead-Based Paint
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Toxic Substances Control Act ( I'SC'-V) Compliance Monitoring Strait;;)
Appendix 1). Asbestos
I. Introduction
I'PA's TSCA asbestos compliance moniloring program includes the:
* Title II Asbestos Hazard Emcrgcnex Response Act (Al ll'R.V program:
* Section 6 Worker Protection Ruic (WPR): and
* Section 0 Mode! Accreditation Program (\1APS").
The majority of TSCA asbestos compliance monitoring activity concerns AHHRA.S"
.jurisdictional Framework for Compliance Moi»torin»h
The asbestos compliance monitoring program encompasses both Federal Implementation Jurisdictions
and State Implementation Jurisdictions.
AH ERA
AHERA compliance monitoring includes both Federal Implementation Jurisdictions, and two types
of State Implementation Jurisdictions: "wahvr" imd "rton-w iuvcr" States.
• "\\ ui\cr" States — A State w ith its own AEIERA-equivalent law ma> apply to EPA for a
"waiver" from the federal requirements. If approved, the State is an Al 1ERA "waiver" State,
and a State Implementation Jurisdiction for AHERA compliance monitoring and enforcement.
EPA conducts oversight of the State program.
• "Non-waiver" States — EPA may enter into an agreement w ith a State whereby EPA will issue
federal inspection credentials to State inspectors to perform inspections on CPA's behalf. The
jurisdiction is then an AHERA "non-waiver" State, and a State Implementation Jurisdiction for
AHERA compliance monitoring. EPA handles any enforcement actions arising from State
inspections, and conducts oversight of the State program.
States that have neither wahcr nor non-waiver status are f ederal Implementation Jurisdictions for
AIIHRA compliance monitoring (and enforcement), i.e., EPA has responsibility for direct
implementation compliance monitoring in such jurisdictions.
WPR
As of FY 2011, every jurisdiction that is subject to WPR (about half of the States as of FY 201 ]) is
a Federal implementation Jurisdiction (i.e.. no State subject to WPR has yet obtained EPA-
approval to operate its own worker asbestos worker protection program). See Section l.B. below.
S;Sec Appendix A for acronyms and generic terms used in the CMS.
*5 In the CMS, "MAP" refers to the Model Accreditation compliance monitoring program, rather than to the "model
accreditation plan" which establishes specific accreditation requirements. See Appendix A for acromms and
generic terms.
s" The TSCA asbestos program also includes the I'SCA Section (i asbestos Ban Phase-out Rule, which is not
examined in the CMS,
S7 See CMS Sections II.C and III.C regarding EPA versus State implementation.
TSCA CMS Appendix E, Lead-Based Paint
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Toxic Substances Control Act (TSC.'A) Compliance Monitoring Strategy
Appendix D. Asbestos
.MAP
States that have elected to operate IHPA-npproved asbestos accreditation programs (about half of
the States as of FY2011) are State Implementation Jurisdictions, There is no federal direct
implementation; and EPA's act i v itv is limited to oversight of State programs.
A. AH ERA
AliiRA governs the managemenl of asbestos in Kindergarten through Grade 12 (K-12t schools
Asbestos-containing materia] (ACM) may be present in schools and, if disturbed and released
into the air. poses a potential health risk to students and other school building occupants. There
are no immediate s\mptoms of exposure: health effects ma\ manifest 15 or more vears after
exposure, The objective of AH ERA compliance monitoring is to ensure regulator)' compliance
and. thereby, minimize the risk of exposure to asbestos in schools.
AMKRA requires "local education agencies" i1 1 As; to inspect for asbestos and lake certain
actions when asbestos is found. See Section li. I.egal Background, below. 1 he AMKRA
program is founded on the principle of "in-place" management of ACM. This principle aims to
prevent asbestos exposure by educating people to recognize ACM. actively monitor it. and
manage il in place. I sualh. ACM removal is nol necessary, unless the material is severely
damaged or will be disturbed, such as by a building demolition or renovation project.
B. Worker Protection Rule
State and local employees involved in asbestos-related activities (e.g.. construction, certain
custodial jobs, or jobs associated with asbestos-containing brakes and clutch plates) perform
work that poses an increased risk of asbestos exposure.ss WPR extends the federal asbestos
standard of the U.S. Occupational Health and Safety Administration (OS11A) to State and local
employees who perform asbestos work but are not protected by either the federal OS HA
standard, or bv an K I5 A-approved State asbestos protection plan (which would exempt the State
from WPR*V
WPR requires that State and local government employers ensure that their employees comply
with the federal OSfTA asbestos standard. As of FY2011. approximately half of the States have
OSHA-approved State asbestos standards: there is no EPA program oversight. The remaining
half are subject to WPR (i.e.. none ofthc Slates subject to WPR have received an KPA
exemption to operate its own program).
^ In FY20IU. there were approximately 8,274.000 State and local government workers across the 50 States. See
v'> oi uc" oy.it I j Htm. Some of these workers arc involved in asbestos-related activities.
A State without an OSIIA-approved program - and, thus, subject to WPR - may apply to FPA (OCSPP) for an
exemption from WPR, to implement its own FPA-approved program. Sec 40 C.F.R. §763.123.
1 St A CMS - Appendix E. Lead-Based Paint
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Appendix D. Asbestos
C Model Accreditation Program
MAP sets minimum requirements lor training personnel (e.g.. contractors) who work on asbestos
activities in schools, and public and commercial buildings. Participating States obtain approval
from KPA to implement their own asbestos accreditation programs."1 HPA does not operate
accreditation programs: or directly approve or audit training courses."- Therefore, the Region's
compliance role is limited to o\ersight of HPA-approved Stale accreditation programs.
II. Legal Background
A. AH ERA
AI1HRA. which became law in 1^X6. requires "iocai education agencies"''' to take specific
actions with respect to ACM. 1 he regulations'" require IT'.As to:
* Perform an original inspection, and re-inspeciion. oi ACM even three years:
* Develop, maintain, and update an ashesios management plan and keep a copy at the school:
* Pro\ ide yearly notification to parent, teacher, and employee organizations regarding the
availability of the school's asbestos management plan and any asbestos abatement actions
taken or planned in the school:
* Designate a contact person to ensure that 1.1-A responsibilities are properly implemented:
* Perform surveillance of known or suspected ACM every six months:
* insure that pro fieri v-(ruined faceted i(ed"j professionals perform inspections and response
actions, and prepare management plans (see Section II.C. MAP. below): and
* Provide custodial staff with asbestos awareness training.
The Asbestos School Hazard Abatement Reauthorization Act of 1990 (ASMARA) amended
AHERA to stipulate that contractors working on asbestos abatement activities in schools, public
or commercial buildings need to ha\c received proper accreditation.'1,(1 Sec Section II.C. MAP.
below.
"" Sec uvvw.epa.gov.'region4'air asbestos inforni.htm.
As of FY2011, approximately half of the Stales have obtained MAP approval.
HPA, however. ma\ pursue de-aecreditation ot individuals without reliance on State (^accreditation authority or
actions. See 40 C.F.R. Part 763. Subpart E. Appendix C. §G{ 1 >(d)
1,3 See w u \\.epa.gov/asbestos'pubs asbestos in_schools.html.
n) See 40 C.F.R. § 763,83 (LEA definition).
40 C.F.R. Part 763. Subpart E.
15 U.S.C. 264(>a (TSCA Title II AH ERA)
TSCA CMS - Appendix F. I cad-Based Paint
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Apperuiiv I). Asbestos
B Worker Protection Rule
EPA promulgated WPR to protect State and local government employees who are not protected
h> tiie federal ()S11A asbestos standard. "1 he WPR regulations eross-re Terence the OS! IA
asbestos standard to ensure that any future amendments to the OSIIA standard will apply under
WPR. Also. WPR parallels the federal OSHA asbestos requirements, and covers medical
examinations, air monitoring and reporting, protective equipment, work practices, and record
keeping,1'!
WPR requires State and local government employers to:
• Comply with OS1IA standards in 29 C.F.R. §1926.1101 if their employees perform
construction activities as defined in 29 C.F.R. $1926.1101(a).^
• Submit notifications required for alternative control methods to OCSPP's National Program
Chemicals Division (NPCD) if employees perform construction activities.
• Comply with OSHA standards in 29 C.F.R. § 1910.1001w for employees who perform
custodial activities not associated with construction.
• Comply with OSHA standards in 29 C.F.R. §1910.1001 for employees who repair, clean, or
replace certain asbestos-containing vehicle pans (e.g.. clutch plates, brake pads, shoes and
linings), or remove asbestos containing residue from brake drums or clutch housings.
C. Model Accreditation Program
AIJERA requires training for asbestos abatement professionals. Therefore. EPA issued the
asbestos model accreditation plan.1"" See Section II.A. above.
The model plan establishes live required training disciplines (worker, contractor/supervisor,
inspector, management planner, project designers and one recommended discipline (project
monitor). MAP also outlines minimum requirements for initial training, examinations, and
recordkeeping for training providers; and de-accreditation provisions for Slates to use in their
accreditation programs.'*1' Slate training programs must be at least as stringent as the model
plan.
I he Asbestos School 1 la/ard Abatement Reauthorization Act (ASMARA I amended AliHRA
cover public and commercial buildings, and increased the amount of training hours required in
the various MAP course disciplines. A.S1 IARA regulations"1'" require all workers, inspectors.
1,7 40 C.F.R. Part 763. Subpart G.
,,s See httpi 'vvvvvv.osha.gov/pls oshawcb'owadisp.shmv document?p table STANDARDS&p id- 10862.
See lUtp:' vvvv w.osha.gov.'pls oshavveb'owadisp.show document'.'p table standards&p id 9995.
I>r! 40 C.F.R. Part 763. Appendix C to Subpart E.
See vvvvvv.lavv.curnell.edu,uscode.'uscode15/usc sup 01 15_10 53 20 II.html.
K- 40 C.F.R. Part 763, Appendix C to Subpart H Model Accreditation Plan.
TSCA CMS Appendix E. Lead-Based Paint
xxvii
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Office of Enforcement and Compliance Assuranee
1o\ie Substances Control Act (TSCA) Compliance Monitoring Ssrutes>>
Appendix D. Asbestos
superv isors and project designers thai conduct asbestos aeti\ ities in public or commercial
buildings to lake an fPA-appro\ed training course. See also Section II.B. aho\e.
MAP regulations require:
• States to authorize training providers to conduct initial and refresher training classes for five
disciplines'1:
o Inspector.
Management Planner I An accredited management planner is required lor id-A aeth iiies.
but optional for public or commercial building activities.)
Project Designer,
o Contractor/Supervisor,
o Worker.
• Slates (or authorized Slate training pro\ iders) to administer examinations which adequately
cover the topics included in the training course for each discipline.""
• Stales to either directly issue, or authorize Siate-appro\ed training pro\ iders to issue.
"accreditation""1' certificates to persons that successfully complete each discipline.
• Accredited persons to obtain their initial and current accreditations in the Stale where the>
are conducting work.
• Annual refresher training for all disciplines.
• States to develop criteria to de-accreditate persons in all disciplines.
• Stales to include the requirements lor electronic reporting"1'1 if electronic documents are
received.
III. Regulated Universe
A. AHERA
Al il .RA co\ers elementary and secondary < K-12) public and private non-profit LPAs. including
1.1-As for charter schools and schools affiliated with religious institutions. This universe
encompasses approximately 30,000 LEAs. which include an estimated 105.000 schools
nationwide. '1 ypically. a/uih/ic I l;.A equates to a school district, for private, non-profit schools,
the LliA is the building owner. Charter schools generally are considered lo he l.l'As. but this
ma> v ary in accordance with State law. Also, some jurisdictions have defined elementary
40 C.r.R. Part 763. Appendix C to Subpart K Section B, Initial Training.
1,1140 C.F.R. Part 763, Appendix C to Supbart E Section C, Examinations,
"l< Note that MAP and the TSCA LBP programs use different nomenclature for their licensing schemes. MAP uses
the term "accredited" for licensed individuals, whereas the LBP program uses the term for licensed training
providers and uses the term "certified" for licensed individuals and firms.
!ut140 C.F.R. Part 3
TSCA CMS - Appendix E. Lead-Based Paint
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Toxic
OiTke of ]JlfusTcment ami ( (Hii)ili;uuc
SlfhsjitlH'cs Coiltf'oi \if ( I"S( \)f OiM piiiUKf
Xssmniiec
^1'niiliSiralt'«v
I).
Asbestos
education to include pre-school and or pre-kindergarten. .so that institutions pan iding early
education may he I LAs lor AHFRA purposes,
Identify big the LfA for tribal schools can pose a challenge, l or example, tribal schools operated
b\ the I .S. Department of the Interior's (POLs) Bureau of Indian A ffairs» Bureau of Indian
I-ducat ion (MIABlf ) constitute federal facilities. Thus, the I 1 .A is the corresponding BII: Line
CHfiee, lor non-BlA Bll. tribal schools, the tribal go\erning authority generally is the LEA, In
some instances, howev er, these schools derive State funding which may affect the LF.A
determination. See also Section IX. Indian C'ountiy, below.
AlILRA's regulated universe also includes asbestos abatement contractors that work in "public"
and "commercial" buildings. EPA is authorized to inspect .such buildings to determine if the
contractors are properly accredited, u,; In brief, public and commercial buildings are defined as
the "interior space" of all non-school buildings (not including single-family homes and
residential apartment buildings of fewer than HI units ).los
B. Worker Protection Rule
WPR'> regulated unherse is comprised of State and local government employers that (a) are no!
subject to the federal ()SHA asbestos standard (or an LPA-appnned State asbestos worker
protection program), and ib) have employees who work with or near ACM.
C . Model Accreditation Program
MAP's regulated universe is comprised of States that have obtained ( "PA authorization to
operate an asbestos accreditation program (i.e.. about half of the Stales in the nation as of
FY2011),
IV. Targeting
1 he CMS Stales targeting principles generally applicable to all 1SCA programs. See CMS
Section Y.B, The additional guidance below also applies to the AI ll-RA and WPR programs,
and MAP. for all three asbestos programs. Regions should use inspections lo identify and
•See 1 I 'St' ij a )t accreditation) and ¥ 2h Hit all inspection authority. 1
' Public and commercial buildings include, hta arc not limited lu iiidiKirksl and ottke buildings. residential
apartment huildiniis and condominiums of 10 or more duelling units, eminent-owned buil. colleges,
museums. ;iirpittis. hospitals, churches. preschooK. stores, warehouses and factories. *'Interior space"" includes
exterior h,illw;i\% connecting buildings. porticos, and mechanical svstems Used to condition interior space. 40 C.F.R.
Pail Appendix (" to Subpart 1- Port A
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Office (if Enforcement and Compliance Assumru'C
'I'o'iic Substances Control Act ("JSC A) ftmipJiiiJK'i1 Mojjitoriȣ Sjmfcpy
Appendix I). Asbestos
document non-compliance with i'St 'A asbestos requirements, and strive lor equitable protection
from State-to-State.
A, AH ERA
Tiie Region should incorporate the following criteria in formulating its AHbRA targeting
regime:
• Age and Condition of LEA Building Stock - 1 he Region should target LhAs based on
whether the I.H.Vs building stuck is of an age like!} to contain asbestos, particularly where
buildings are undergoing renovation or upgrades that may disturb asbestos (e.g.. drilling for
energv-efficiency or communication's'technology upgrades). Older buildings are more likely
to contain asbestos and present risks as aging floor tiles, ceiling tiles, or masking may be
more likely to become friable, furthermore, older buildings that are being converted to
schools (e.g., charter schools in urban areas) may pose a likelihood of exposure if not
properly managed during renovations-upgrades. ITius. older schools arc likely to present
significant rales of non-compliance depending on the work or maintenance the schools have
receiv ed over time.
• Inspection Frequency - The Region should target LI.'As that have never been inspected, or
not inspected within the pasl leu (10) vears. Conversely, where the Region has had an active
and robust inspection program, the Region may re-inspeel 1 lAs on a regular schedule to
ensure continued compliance, as resources allow.
• LFA Compliance History The Region may focus on I f.As that have had significant prior
non-compliance, and orthat have been subject to enforcement to ensure that ihe 1.T.A lias
completely addressed previous issues and that no new compliance problems have arisen.
• LEA Size - In U irgcting l.l'As. the Region may need to weigh the competing objectives of
(a) obtaining widespread positive impact versus (b) addressing the most significant potential
risk. 1..LA si/e may be an important factor in (he Region's analvsis. 1 arger i.LAs control
more school buildings, so that inspections (and any subsequent enforcement) arc likely to
ensure protection to a large number of children. Also, larger l.LAs tend to have more
resources and. thus, lower compliance problems than smaller l.LAs. Conversed, smaller
Lb!As. including charter schools, tend to have significant non-compliance and limited
resources, which tends to result in greater risk of harm, although to a smaller number of
children.
• Economic Targeting Regions should target poorer l.LAs. including those in urban and
rural areas, and in Indian country. Ihese l.l'As tend to have older buildings and less of the
resources ordinarily necessary to achieve and maintain full A1ILRA compliance.
TSCA CMS Appendix li. Lead-Based Paint
\\\
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Office d! !.nfsirci.'r!>cii! ;uid C ttmpliiirtcc V^nr.mcc
ToxfcSti Mullets t ontnil AcH 1 S{ V ) { umpfi.iiK'e Monitoring Mriik'iiv
Vppcndiv t). Wh-nIh'.
Consequently, poorer ITiAs may ha\ e greater rates of non-compliance and risk of exposure,
compared to other I l:As.
• Xon-l'ublic Schools - I he Region should target tor private, religious, and charter schools,
tieticrulh. these schools do not have the resources typically available to larger, public LIE As
to support lull Al UK A compliance. Consequent!), these LI-As may ha\e significant non-
compliance and risk of exposure.
® Public ami ( mmm-reiai Buildings - lo target ongoing and upcoming asbestos project at
commercial and public buildings thai are subject lo Al IHRA (e.g.. where renovation or
demolition projects may be removing ACM), the Region can review pertinent regulatory
notifications and permits such as Clean Air Act asbestos M SI SAP1®*' notifications, and
renov ation/demolition permits granted by local building departments.
B. Worker Protection Rule
l o target ongoing and upcoming asbestos projects subject to WPR (e.g.. where State or local
employees may he removing ACM), the Region can review pertinent regulatory notifications and
permits, such as Clean Air Act asbestos Nf Si IAP notilleations, and renovation demolition
permits granted by local building departments.
C , Model Accreditation Program
I'FA has no direct implementation role for MAP. See Section I.C, above. Thus, the Region
typically would not perform targeting.""
\ Program Priorities
The CMS Stales program priority principles generally applicable to all TSCA programs. See
CMS Section Y.D, Hie additional guidance below also applies to Al 1FRA and WPR. (There is
in* additional guidance for MAP,)
1 National I nii\Muti Standard fur Hazardous Air Pnllutain.
Region.-, rarely conduct MAI* oversight inspections. A Region thai elects to do so, however. should review CMS
Section V.B. t concerning targeting for oversight inspections.
f St A < MS Appendix I . I cad-Rased Faint
xxxi
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Office uf Knfiirccnicul ami C ompliance Assurance
Toxic Substances Control Act (TSC'A) Compliance Monitoring Strnte«>
Appendix D. Asbestos
A. AH ERA
Regions arc expected to:
® Conduct inspections in each Federal implementation Jurisdiction, including Indian countrv.
to ensure equitable protection:
• Respond appropriately io I ips within a reasonable period of time, which max involve
referring the Tip to the appropriate State Implementation Jurisdiction, or taking other
appropriate action (which may or may not be an inspection" ): and
• Ensure that each Slate Implementation Jurisdiction conducts effective compliance monitoring
- and that waiver jurisdictions also conduct effective enforcement.
.Also. Regions should:
• Ensure that inspectors in non-waiver jurisdictions are trained and properly credentialed to
perform inspections on F.PA's behalf:
• Review and provide feedback on the quality of State inspections and reports:
• Provide feedback to non-wai\er Stales on any enforcement actions the Region undertakes ill
response to the State's inspections: and
• Report inspection commitments bv State, and consider State compliance monitoring efforts
undertaken by waiver jurisdictions.
In addition. Regions should consider the following principles in developing and implementing
Al ll'RA compliance monitoring programs:
• Community-based Monitoring (Integrated Strategies) - Coordinate across all of EPA's
1 SC'A compliance monitoring programs (PCIls. EBP. and New and Existing Chemicals), and
with the Agency's Clean Air Act asbestos \'i Si SAP program to provide community-based
monitoring and enforcement.
• Catastrophic Events - If new schools arc being set up in response to catastrophic events.
then the Region should conduct both outreach and inspections to ensure that the El -A .'schools
inspect for asbestos, and develop appropriate asbestos operation and management plans.
• Work with Impacted Communities - Regional Al iERA compliance offices should partner
with their regional non-eompiiancceni'orecnicnt counterparts ( 1'SCA "program" office) to
promote outreach and education to school advocacy organizations, such as Parent-Teacher
Associations. I hese efforts should inform organizations about Al IERA requirements
(including management plans and abatement), and encourage organizations to ensure that
inspections have been conducted, plans put in place, and training provided.
m See CMS Section V.C.7. '1 arreting, regarding options in responding to 1 ips.
TSCA CMS Appendix h. Lead-Based Paint
xxxii
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( MTici- ol |-_ il ffHTl'SlK'Hi < Oliipitailt'f
I civic Subsfnm'cs { (iiitro! Act S i s( A! ( nmplufUi- 'UiHNlnnu^ sti;sU'U>
________ _ \p|><.iu!i\ I). \<.K'\l'is
• Scope (if School Inspections - Inspection ofu school includes bolh re\iew of the asbestos
management plan(s). and pin sieal inspection of I he school building. If there is material that
appears to he triable, then the Region should take samples (unless the schooFFFA has
documentation which attests to when samples of the material were taken and a determination
made regarding whether the material contained asbestos I.
• Follow-up in an LEA - Where the Region has determined that there is non-compliance
within an l.FA, the Region's follow-up should include verification that all schools within the
I -1; A have come into compliance, It" the I„bA does not document this fact, then the Region
should inspect the remaining schools.
B. Worker Protection Rule
For jurisdictions that are subject to WPR, Regions are encouraged to inspect at State and local
government operations to monitor WPR compliance as an alternative to I.FA inspections, as
appropriate and consistent with the Region's < )ne-TSCA approach to address the most significant
em ironinentai challenges.""
VI. Program Planning
The ("MS States program planning principles general I \ applicable to alt TSCA programs. See
CMS Section V.F. I here is no additional guidance for the asbestos program.
V11. Program Oversight
'1 he ("MS States program oversight principles general l\ applicable to all TSCA programs. See
CMS Section V.F. The additional guidance below also applies to oversight for the AI1ERA and
MAP programs. (As of FY201 F there is no WFR program mcrsight since no State operates an
FPA-appro\ed asbestos worker protection program >
\HIRA
Regions are expected to perform the following activities:
* Fn.sure inspection coverage in each State b> either FPA inspectors (in Federal
Implementation Jurisdictions) or Slate inspectors (in State Implementation Jurisdictions).
;;j Sec (. MS Section II, Strategic Approach fur TSCA CuinplianLe Monitoring
I St A CMS Appendix 1'. Lead-Based Faint
xxxiii
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Office of Enforcement and Compliance Assurance
Toxic Substances C'ofiIioI Act (TSCA) Complianee Monitoring Strategy
Appendix 1). Asbestos
• Ensure tluil non-waiver Slates implement an udcqnatc asbestos inspection program. pro\ ide a
rationale where programs are nol adequate. and specify adequate corrective action, since
these jurisdictions conduct inspections on HPA's behalf.
• Encourage Slates lhai are nol waixer jurisdictions (i.e.. non-waiver States, and Federal
Implementation Jurisdictions) to dexelop their own regulations and apply lor waixer status.
B Model Accreditation Program
The Region should lolloxv the general guidance in the CMS regarding program oxersight to
assess a Slate's asbestos accreditation program. See CMS Section Y.i;. i he Region max use
CPA's database to identify which States have programs pursuant to MAP,1 !j
VIII. Reporting
The CMS Slates reporting principles applicable to all I SCA programs. See CMS Section Y.ti.
The additional guidance below also applies to A HERA. (There is no additional guidance for
WPR or MAP J
for A[ 1ERA. Regions arc expected lo report inspection commitments h\ State for both waixer
and non-wai\ er jurisdictions. Regions may consider compliance monitoring efforts that Stales
peril)nn when reporting on Annual Commitment System (ACS) commitments. Also, when
reporting outcome measures, the Region should include documentation of bringing IT. As into
compliance, and focus on documenting that the Region (or State) has considered and actually
achieved compliance across all the schools within the LEA.
IX. Indian Country
fhe CMS Stales principles for compliance monitoring in Indian eounin that are generally
applicable to all TSCA program areas. See CMS Section Y.ii. ["he additional guidance below
also applies to AHERA. (Regions should follow the general guidance in the CMS for WPR and
MAP.)
B1A often serves as the I.f.A for tribal schools. See also Section 111. Regulated I "niverse. ahoxe.
Typically. I.X)1 and [MA BIT are responsible lor regulaiorx compliance for construction and
E.g.. LPA's National Directory of Accredited AHliRA Courses (NDAAC).
ji". ''-I-' ->_ij• pulVIocation.html
TSCA CMS - Appendix E. Lead-Based Paint
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Office of FiiliiiTiMiR'nt and Compliance Assur ance
Toxic Substances Cmitrol Act (TSCA) Compliance Monitoring Str:iiey\
Appendix i). Asbestos
environmental programs at tribal schools; and fund and oversee operational and educational
functions at such schools. Therefore, Regions should coordinate with the appropriate BLVBIE
Line Office on compliance monitoring in tribal schools. These offices can be extreme!}' helpful
in understanding a tribal school's operations, identifying facilities (building types, ages. etc.).
and in establishing communication with tribal school officials.
Sonic Tribes have their own school districts which may operate as the LEA. (Even in these
instances, however, it still may be beneficial to coordinate with the appropriate BIA/BIF Line
Office.) The Region should coordinate with the affected Tribe; and consult with the regional
Tribal Program Office ( I PO). Regional TPOs often have longstanding relationships with BIA
and Tribes, and can provide assistance in working with tribal schools and dev eloping appropriate
targeting for compliance visits.
The Region also should consider compliance assistance approaches to promote tribal school
compliance with AHERA, Typically, the operating budgets for BIA tribal schools are very
limited, which may impact compliance with regulator}' programs such as AHERA that are
dependent on having sufficient staff and facilities management resources for successful
operation. Also, since tribal schools often arc in remote areas and significant!}' smaller than the
average public school, the Region should consider giving BIA and tribal school staff early
advance notice of compliance visits, to give the school an opportunity to coordinate with BIA (if
BIA is the LHA). and ensure appropriate staff are available for consultation.
I SCA CMS - Appendix F-\ Lead-Based Paint
XXXV
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Office of Kn force men) ;iik! ('orupli;)iiee Assurance
To\k- Substances Control Act (TSC A) Compliance Monitoring Sir;itc«>
Appendix I'.. I.ead-based Paint
ndix E, Leau-basi'd Paint
1SCA CMS - Appendix L. Lead-Based Paint
XXXVI
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Offii'i' (if r.nfori'i'niL'iit ;*ml ( ompiuuHT Usuniiici'
I n\k- Si!l)si;)iKvs Control Act ("IM A} ( urnMfmituriitu SSniU'^
\|i|i(.(Hii\ 1'.. Lead-based Pain!
TSCA CMS - Appendix E. Lead-Based Paint
XXXVII
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Office of Enforcement ami Compliance Assurance
Toxic SnlistiMn.es Cmitro! Act (TSCA) Compliance "\l«>niloriiia Straltyj
Appendix !.. lead-based Paint
I. Introduction
Jurisdictional Fiainenoik for Compliance Monitoring1 ;
Implementation authority for EPA's Lead-based Paint (l.BI'"~) compliance monitoring program stems
from two statutes; TSCA and Title X. See Section II. Legal Background, below,
• TSCA allows a State (or Tribe*) to obtain "authorization" to implement a TSCA-equivalent
program for one or more ofTSCA's three L.BP programs, and be a Stale tor Tribali
J)»ph-!»i'»hilio» Jun.siiii tion for the particular program} s) for which il has authorization.
; « Title X does not provide for State (or Tribal) authorization. Hence, the Title X § 1018 lead
disclosure rule (1,1)R) is a federal-only program: and e\ery State (and Tribal area) is a Federal
Implemefitation Jurisdiction.
TSCA Title IV specified IK provides for tribal authorization. "" The CMS uses the term "State" to
include an authorized Tribe.11
Lead poisoning, or L.lcvated Blood-Lead Levels (LBi J.s). can cause severe neurological damage
to young children.1 ls I-PA is committed to eliminating and preventing childhood lead
poisoning114 in accordance with the national Presidential Task Force Goals to eliminate 1'Bl.I.s.
and U'B hazards in housing with young children.12" Accordingly, Hf'A's Strategic Goals for
lead poisoned children (up k> age six > charges the Agency to:
• Reduce to "zero" the number of children with LHLLs at 10 ug'dl. or higher1"1: and
* Reduce to 28 percent I from ?1 percent) the difference in the geometric mean Bid. in low-
income children versus thai in non-low-income children.1'"2
1,4 See CMS Sections II.C and lli.C regarding KPA versus State implementation.
115See Appendix A. for acronyms and generic terms used in the CMS.
!f" As of FY2011. several Tribes operate EPA-authorized TSCA-equivalent LBP programs.
1,7 See Appendix A.
ns See e.g., www.epa.gov'Icad'pubsleadinfo.htnUJhealth,
"kl fhe protection of vulnerable populations, particularly children, is one of LPA's top priorities. See
hltp: Vblog.epa.gov administrator. 2010.'01 '12 seven-priorities-for-epas-future .
s:" The Presidential Task Force Goals are also known as (lie "2010 Goals." See President's Task Force on
Environmental Health Risks and Safety Risks to Children. «%<•.•.* na j leail ,sivu< lamraiex lii"'1 ;>•!*.
See EPA 20Dh-20! / Stnucgic I'ian. Objective 4.1.1. rail > ¦" . p,i j < r ,m, j'-'tijiv* ! pt * . I hi. 1992-
2002 baseline is 310.000 eases. The nalional goal is based an a model that extrapolafes data from a een small
sample. Even if "zero" EBLLs at Hlug'dL were achieved nationally. LBELs (above and below 10 ug'dL) would
still be present in many communities (so-called "Lead Hot Spots," see § III.A, below I. Furthermore, because L.BP
will continue to age in place in millions of dwellings, continuing effort will be required to maintain "zero" EBLLs at
10 ug/dL nationwide, and to achieve "zero" EBLLS at concentrations less than 10 ug'dL,
L>: Id, \s of FY2011. the Strategic Goal to reduce the disparity m F.BI J.s between communities has largely beet)
achieved.
TSCA CMS - Appendix E. Lead-Based Paint
xxxviii
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Office nf i.nforeemeni and < ismpiianei' Xsmji'uiici:
i»i\n- Substance- ( (dUroi Act ( IM \t (, omphaiice Monitoring Mnncijv
Lead-based Pains
DM A contributes to these national goals by leaditig compliance assurance activities to ensure
adherence to federal requirements thai govern lead in paint I and tit her em ironmental media).i2'
Furthermore, since I,BP hazards are the single greatest cause otT.Bl.I.s,12'1 OECA is speeilleaIJ\
committed to advancing lite Presidential Goal to eliminate 1 HI' hazards which, in turn, also
advances the Presidential Goal of eliminating (and preventing) l;Bl.I,s.!>
II. Legal Background
A. Overview
EPA's l.BP program operates under two statutes and four regulations12":
• Title X of the I lousing and Gommunitv Development Act of I'MZj " and the Section 1018
Lead-based Paint Real HState Notification and Disclosure Rule I FDR) thcrc-under. !:'s 1 I)R
compliance monitoring is federal-only: e\ crv State (and Indian country) is a Federal
Implementation Jurisdiction.
• 1 itle IV of I S( A and its three opcruiiw rules:1-1'
" 'I he 1 S( A Section 402(a) Lead-Based Pain! Activities, t'erti ileal ion. and Training Rule
(Abatement Rule):
o 1'he 1 SG \ Section 402lcH31 Renovation. Repair, and Painting Rule ( RRP Rule), and
1 ' (>H A\ Slruleyic tioal is to maximize compliance to protect human health and the cm ironment through
vigorous and targeted civil and criminal enforeement and to assure compliance with em ironmcnutl laws. FY201 /-
201:i /•/»•( Sirtift'fih' I'ttm, Objective 5. nut- cjv \n pi.m.siullH.d^! a .in ;» n'/n !
1,4 See generally, e.g.. National Center for Health) Housing (puh,), S. Brown, federal I,ead-based Paint
l-nloreement Benehbook <2(HW)|Federal LBP Enforcement Benehhookl at t'luipter I. Section A. 1.
\\ \%wxik,k reduction work. Therefore,
i 1' \ uses voltmsarv measures such as Supplemental l-.m ironmental Projects iSHM ami penalty remittances to
promote risk reduction project,
I itle \ also ix known as the Residential 1.cad-Based faint I la/ard Reduction Act iRl BPHRA) of 1^92.
40 C.F.R, 745 Subpart F.
In the ( MS, •"ttpensf h c" 1 itle IV rules are those that impose obligations on a > c^itltifeil <. (immunity and. thus,
necessitate compliance monitoring. These rules .ire distinguished front the I itle IV I ead Hazard Standard and
State I rilxtl l.BP program rule. 40 C.F.R. g 745 Subparts D tHazard -Standardj and Q t State Tribal programs),
tespectiv els
I N( \ ( MS Appendix I I .cad-Ba^ed Paint
xxxix
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Office of Enforcement and C {>fiipinee Assurance
r<>\ic Substances Control Act (TS( A) Com pi in net* Monitoriii" Strates>\
Appendiv J'.. I.cad-based I'aint
The 1'SCA Section 406(b) Piv-renmatioi) h'Juejiion Ri/Je (PHI: Rule).1-"' The PR1: Rule
pre-daled. but is now a subset of. the RRP Rule.
States [and Tribes) nun1 obtain "authorization" to administer KPA-appro\ed I SC A-
equivalent programs lor one or more of these rules. TSCA authorization is rule-specific. so
that a State is a State Implementation jurisdiction for the particular progrum(s) for which it
has received authorization. An authorized State must provide adequate compliance
monitoring and enforcement. Non-authorized jurisdictions are Federal Implementation
jurisdictions for the particular I SCA I.BP program!s) for which the State is tun authorized.
Together. LDR and I'SCA create a "checkerboard" jurisdictional Framework for i .BP compliance
monitoring. That is, e\er\ Slate constitutes both a federal Implementation jurisdiction (lor I.PR
and an\ TSCA program for which the Slate lacks authorization) and a State Implementation
jurisdiction (foran\ authorized TSCA 1 .BP programs!. Accordingly, in every jurisdiction, the
Region has responsibility for both direct implementation compliance monitoring (for LDR and
an> non-authorized TSCA programs), and oversight for an> authorized I SCA programs. See
f igure 1. below.
Fir- I-
\\ he!her a Stale (or Tribe) May He a
State implementation Jurisdiction fur
LBP Compliance Monitoring and Enforcement1
TSCA
Title X
Abatement Rnle
RRP Rule I PRE Rule
LDR
§ 402(a)
§ 402(c)(3) § 400(b) j
§ 1018
Yes
Yes Yes Lj
No
* Uithori/ed 1 SCA 1 BP programs miKt include enforcement
R Regulatory Requirements
i. LDR
LDR requires that before a buyer or tenant is obligated under a contract to buy or lease "target
housing" {most pre-1^78 housing), the seller. landlord, or agent'must provide the buyer/tenant
information about the presence of I.BP and or l.BP hazards; and retain records to confirm
compliance. Compliance monitoring imohes reviewing records that selleiv'kmdiords are
required to maintain. There are no LDR inspections of the subject housing; and LDR does not
require the sithnussion of records to LPA. ( 1 he Region, however. ma_\ issue an Information
n" 40 C.F.R. § 745 Subparts E (RRP) and L {Abatement Rule), respectively
ni In the CMS. reference to landlords includes agents.
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Toxic Substances Control Act {TSC A) COinpltancc Monitoring Strategy
Appendrv F.. l.ciid-lwsi'il Paint
Request Inciter [IRE] requesting voluntary submittal of required records, or use its subpoena
authority under TSC A Section 11 to compel submission of records,1'2
2. TSC A LB1* Rules
a. Abatement. Rule
The Abatement Rule governs "lead-based paint activities." i.e.: "inspections." "risk
assessments," and "abatements""0'1 in target housing and "child-occupied facilities" (COFs). The
rule establishes:
• Work practice standards:
• Notification requirements under which operations must alert I {PA to pending work projects:
• Recordkeeping obligations: and.
• Licensing requirements, i.e.. "accreditation" for training programs, and ""certification" for
firms and individuals (inspectors, risk assessors, supervisors, abatement workers, and project
designers),1"4
Compliance monitoring involves work-site inspections, auditing training courses, and reviewing
licenses and records.
b- PRE Rule
The PRE Rule, which is a component of the RRP Rule, requires that a person who performs a
"renovation" for compensation in target housing or a COF distribute a lead hazard information
pamphlet to the propertv owner and occupant no more than (>U da>s prior to commencing the
renovation, Compliance monitoring involves inspecting records that renovators must retain to
confirm compliance, such as the owner 'occupant's receipt of the pamphlet. I here are no PRE
inspections of the subject housing or COF; and the rule does not require the submission of
records to EPA. {Similar to FDR compliance monitoring, the Region may use IRI.s or
subpoenas, as well as inspections, to acquire records.)
c. RRP Rule
The RRP Rule applies to "all performed for compi'maiion" in target housing and
COFs. The rule requires:
• Compliance with the PRE Rule (discussed above):
• Proper training of all persons performing renovations:
• Fead-safe work practices:
• Licensing requirements, i.e.. certification of renov ation firms, renovators, and dust sampling
technicians: and accreditation of training programs; and
See CMS Section V.C.4, regarding the use of IRLs generally,
pi 40 C'.F.R. § 745.223 (definitions).
'"Licensing" is authorization to pet form a regulated activity. See Appendix A. The terms "certification" and
"accreditation" are the particular nomenclature for TSC A Title IV. whereas TSCA Title II uses the term
"accreditation" for individuals. Also, some States use the term "license" for their LRP programs.
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1 <>\ic Substances Control Act (TSC-\) Compliance Monitoring Strafe^v
Appendix !¦-. Leiui-bnsed Paint
• Recordkeeping by renovation firms, certified renovators. and training providers.
Like (he Abatement Rule. RHP compliance monitoring involves work-site inspections. auditing
training courses. and reviewing licenses and records that firms and training prov iders must
maintain. I "nlike the Abatement Rule, however, there is no RRP requirement to notil\ fl\\ ui
forthcoming projects.
As of FY2011, most States (and several Tribes) have authorization to operate one or more
I'SCA-equivalent LRP programs.10 Of these Stale implementation Jurisdictions, most
administer Abatement Rule programs: and a smaller number administer PRf and or RRP
programs.
III. Regulated Universe
\ Overview
Nationalh. l.DR and the ISC A I.IiP regulations govern millions o\ uclivitic.\ that occur
annually, i.e.: residential real eState sale and lease transactions; and abatements, renovations, and
other "lead-bused paint activities."' ! he RRP Rule alone go\erns millions of rerun ation
projects yearly.137
Also, tliousands ol regulated operations are subject to inspection. 1 he RRP Rule alone eo\ers
approximately 20D.()f)() small businesses.',s furthermore, since this universe includes main
indiv iduals and very small businesses (so-called "micro enterprises" or "micro businesses").1,0 it
is not necessarily a stable universe, which makes identifying regulated operations a continuing
challenge.
Since the regulated universe for the LBP program is vast and transitory, knowledge of this
universe is most relevant in the context of a so-called "l.ead 1 lot Spot." Regions are encouraged
135 For the current roster, contact the regional Lead Coordinator, or I»tPi/Avww,epa.gc)v'lead/pti.bs//1eacl.0fllhim.
M" Sec Section II.B.2. above.
When FPA promulgated the RRP Rule, the Agency estimated that the role would apply to approximate!} 4,4
million projects annually. 73 Fed. Reg. 21692,21750 (4 22 '2008). Since then. EPA eliminated the
"owner'occupant" exemption and, thereby, significant!) expanded the reach of the rule.75 Fed. Reg. 24802 (May 6,
2010)
13* 73 Fed. Reg. 21692. 21753 (4'22/2008).
n" "Micro enterprise" is a general concept that refers to a very small business, such as a sole proprietorship, or a
company with fewer than five employees, that has a very limited portfolio (e.g., as few its ten properties: or as few
as ten regulated renovation projects with a collective value of no more than SI 00.000 per year). See also Appendix
A.
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n>\k- Substances Control Act (TSCA) Compliance Monitoring Strategy
Appendix K. I ead-hased Paint
carpentry. tile. window replacement. and similar services:
• Property managers, maintenance workers, and landlords:
• Retailers thai promote or contract tor home improvement serv ices:
• Child-care centers, schools with kindergarten or pre-scbool classrooms, hospitals w ith
neonatal or pediatric departments: and
• Technical and trade schools, and other training pro\iders.
IV. Targeting
The CMS articulates targeting principles generally applicable to all 1 SCA programs. See CMS
Section V.B. The additional guidance below also applies to the l.BP program.
A. Target Areas and Target Populations
The purpose of targeting for the l.BP program is to locate operations thai are potential!) in
violation where such non-compliance may cause, or pose a risk of. childhood lead poisoning.
Therefore, the Region's targeting should concentrate on one or more 1 ead Hot Spots, since these
areas tend to ha\e the highest concentrations of lead poisoned children and. thus, are in greatest
need of intervention and prevention.
1, Target Areas and Environmental Justice Areas
A 1 cad Hot Spot (target area) is any city. neighborhood, rural locale. Indian country or other
geographical area for which the Region has either evidence or indicators of widespread and/or
se\erc childhood lead poisoning. Sec Section 111.A. abo\e, Typically. evidence comes from
PBI.l. surveillance testing data, Generally. IBI.1. testing data is axailable from local health
departments and other grantees of the l.'.S. Centers for Disease Control and Pre\ention (CDC).
Where evidence is not available (e.g.. because Bl.l. testing is not performed or data is unreliable
or unobtainable), the Region ma}' define a target area based on indicators of likely lead
poisoning, such as the prevalence of LBP hazards. /.BP hazards are common in communities
predominated h\ older, low-income housing in disrepair. So. the Region may use criteria such as
the age, condition and/or value of local housing stock to identify a target area.
Within the selected target area, the Region's targeting priority should be older (e.g.. pre-1 (>50:).
low-income, multi-family rental housing in disrepair: and particularly landlords that own and/or
control se\eral such properties. Furthermore, (he Region's highest priority within this sector {if
'!! Generally, pre-1950 properties contain paint with higher concentrations of lead than do homes constructed, and
thus painted, after H)50,
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(Mfict of I'.iitWeemvist ;si»i t umpU.imv Vssur.uu-t
1 ns it- Snh\i;nKTs C"omrot \ei ( I S( Sit ompiiaitie Monitoring Su aic^s
_ _ \p|Kl)<)iv f . I.ead-b.ivciJ f'niiii
the targe! area should he in address "toxic dwellings.** possiblv (he single greatest source of
childhood lead poisoning in mam communities.
| "Toxic lhu-H»nz"
! Io\ic dwelling refers to target housing that is associated with multiple and or successive
1 Mil l s. or that has significant or longstanding I BP ha/ards (which t\pieally present
as excessive \ iolations of State local health and'or housing codes'
Lead J lot Spots tend lo he III areas since the same t\ pc of housing stock is predominant in both
locales. Inasmuch as the Region's targeting protocol should focus on landlords with toxic
dwellings and multiple housing properties, the Region probably will find that a significant
percentage of such landlords' housing inventories are located in HJ areas.14'1
2, Taraet Populations
Risks 10 children younger than 6 years old land to pregnant women} are of particular concern to
the I HI' program. Also. HBl.l.s are especially prevalent among particular demographic sectors,
such as recent immigrants from certain countries. Therefore, the Region ma\ select a target
popi/iaiittfi of young children with a high incidence of I! HI 1 s. in lieu of for in addition to)
selecting a Lead I lot Spot geographical area. A J.cad I lot Spot may include one or more target
papulations. Conversel). a target population ma> he geographically dispersed across the
Region, or may reside largch within a particular Lead Hot Spot in the Region.
figure 2 summarizes the distinctions, and interface, between Lead I lot Spot target ureas and
target populations.
l' i». 2. Lead I lot Sjiots: Target Areas ;smi Target Copulations
I a (get. Ireu ' >< ! argot Population
Ait\ i>et>i*raphie area w ith widespread and or
nc\oiv LB I 1 s. ;is shown In:
• Kvitlvnci' (e.g.. HI I testing data), or
• I)h!h\tt(*r\ (c.g,, housing imentorx ).
Wa\ include one or more targe! populations.
Am tlenwgruphic sector comprised of \ on rig
children with widesprcad se\ere IB! I s.
May be located in one or more target areas.
u~ See Appendix A.
15 \\ ilea* such \ iulatiuns appear to exist, the Region should consider partnering w itli Suite and k»eal authorities on
inspection'-, and |<»int or parallel enforcement actions.
1 !l Nuie thiit a landlords oflice where hminos nxtujs arc kept and I PA ordinaritv conducts record re\ tew
inspect ionv max not be located in the Lead Hot Spot or LiJ area where the Mih|eet target housing i> located.
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Office of F.iiforccment unci Compliance Assurance
I'o\ic Substances Control Ac! (TSt A) Compliance Monitoring Stratcsij
Appendix K. Lead-based Paint
B. Targeting Considerations
1, Baselines
The Region should obtain baseline information about its target area or population, if
practicable.14" Baseline information ma\ be especially useful lor a narrow |\-delined target area
or population. For example, the Region ma> tr\ to ascertain general!} the prevalence and
severity of KBLLs among a target population based on health department data; or estimate the
number or percent of known toxic dwellings in a target area based on housing department
information. The Region may use available objective data (e.g.. LBLL statistic^). When
objective data is not available, reasonably current or reliable, the Region may use anecdotal
inlormation from experts at the State local health or housing department, or the local office of
the U.S. Department of Housing and Urban Development (Hl)D).
Even if it is not feasible to establish a baseline, the Region should proceed with compliance
monitoring since the Region can later measure the outcomes from its efforts even if the Region
cannot compare those outcomes to a baseline.'''
2. "Gross" versus "• Subject-specific" Targeting
Regions typicalh need a two-stage LBP targeting strategy which includes both "gross" and
"subject-specific" targeting.1 ,S1
Gross targeting, the first stage, aims to identifj and prioritize the universe of potential Lead 1 lot
Spots wiihin the Region. The Region may obtain information lor this targeting from a variet} of
sources, including:
• i he Region's own lirsl-hand knowledge aboul its communities based upon information
already known to the i.BP. KJ, children's health, tribal, and other relevant offices.
• Consultations with State programs - and w ith other relev ant federal. Slate, tribal, and local
agencies (e.g.. health, housing, immigrant services).
• LBLL test surveillance data.
® 1 lousing courts and prosecutors.
• Local lead poisoning prc\ention ad\oeae\ groups.
1 See CMS Section V.B.2. Targeting.
Also, HUD's biennial American Housing Survey also may provide relevant information concerning the condition
of housing in major metropolitan areas across the nation. See www.huduser.org portal. datasets ahs ushdataO*) html.
For instance, even without the baseline number of properties with LBP hazards, the Region can measure the
number of properties at which LBP hazards were abated under SHPs pursuant to regional action.
|,!S Similarly, the Region may employ a two-stage targeting process for the AHERA program, where the Region first
uses gross targeting to identify potential I.KAs. and thee uses specific targeting to select individual schools (within
the LEA) for inspection.
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(Mine (if r.iiforccnu-m and t oinplianee \smii;iihc
]D\ic Stih>(;incf. < muni! Act (1 SCAs ( ompiiasuT Mouitoriii" Sir;iie»\
Kpjsemliv i . I.v;Hf-b:i>>cil 1'aiiit
• "Data-mining'* on-line databases.149
Subject-sped He targeting aims to locate particular operations lor potential compliance
monitoring.
• for LDR, this .stage is to identify specific target housing (particularly toxic dwellings) and
the owners-landlords of such properties. I ypieall}. the Region will need to collaborate with
relevant agencies (e.g.. health and housing agencies) to obtain this information, CDC has
advised State and local health departments that IPX is authorized under federal law to
receive information neees>ar\ to enforce federal I.BP laus.!N1 furthermore. CDC grantees
(generally. State and local health departments) are obligated under the terms of their
agreements with CDC to share such information with 1:PA. Nonetheless, the Region may
need to enter into informal or formal information-exchange arrangements, such as
Memoranda of I Understanding i \ H )l''). u ith agencies that possess this information,1^ I o
facilitate information exchanges with health agencies. Regions should use appropriate
confidentiality and security measures.1"''1 Also, information on housing inventories and code
violations nun be mailable at little or no cost from the office of the count} assessor and'or
recorder of deeds.b3 Regions are encouraged to partner with other agencies to promote lead
safe housing and compliance hut, it"necessary, should exercise I l'A's full legal authority to
unilateral!) obtain essential targeting information,
• for 1 SCA I BP. subject-specific targeting aims lo locate particular regulated operations for
potential inspection, such as individual renovators, renovation and abatement firms, and
training pro\ iders.
C . Compliance :Monitoring Approaches
''',1 See a I sit www evk.gov neeh lead data State,him
I I' \ and (.'IX' Intu' issued a joint letter to health department slating FPA K a "public health authority and
authorized to recche inlormatioii "essential lor targeting efforts 10 address lead ha/ards." .SVi Joint I ctter. CIX
1.1'A re" i 'iMtfhioiihitity i' ,iiI • I.'l ,<•! " i.,'1 i.V '' m '' Ip 11 *i, . u 11 • ; l<'i',.
' ' fn 2UU5, OHCA distributed a draft l-I'A-CDl' information-sharine M*"H7 thai Regions ma} use with local health
departments, See Appendix F. I tad-based Paint Resources.
I or example. Regions should obtain an online Health Insiiraitte Portahilitv and Accountability <\et (HI IM'A I
cerlilication: use a secure electronic storage site, such as iheir Criminal Investigation Division's K ID) secure
network server; and More all paper copies of personally-identifiable blood-lead daia in their TSt'A confidential
business information K'Rft safe See
I lie Region also ma>" la) consult wnh the organizations n used tor gross targeting information. (hi arrange lot
interns or staff to "data-mine" propem title and business records and it) consult with HUD headquarters or its local
affiliate.
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Toxic Substances Control Act (TSCA) Compliance Monitoriim Strale«x
Appendix K. l.eatl-bnsed Paint
Most Mil5 compliance monitoring conducted bv 1TA (and Stales) arc record review inspections,
with a lesser number of training course audits, and leuer work-site inspections.
Practice .Note: I'se a Variety of Compliance Monitoring Approaches
The Region's compliance monitoring regime should include a balanced mix of all of the tools
appropriate for each rule:
• Work-site inspections {Abatement and RRP Rules).
• Training class audits (Abatement and RRI' Rulol.
• Record review inspections (all lour rules).
• Information Request Letters and subpoenas {all four rules).
1 Lead Disclosure Rule
Since LDR imposes disclosure (hut not work practice I requirements, compliance monitoring
consists onlx of reviewing records and reports landlords sellers are required to maintain.
Regions should use IRl.s. subpoenas, and other appropriate compliance monitoring methods, as
well as Held inspections.
2. TSCA LBP Rules
a. Abatement Rule
Slates conduct the majority of Abatement Rule inspections since most States (and several Tribes)
have authorized programs. In the feu hederal Implementation Jurisdictions, the Region should
use the lull arrav of compliance monitoring options: work-site \isits; training class audits: record
review inspections: and subpoenas and IRl.s. Accredited training providers and certified firms
must give f.PA prior notice of training classes and abatement actixities. respective!) . Regions
should use these notifications as the primarx basis for targeting work-site and class audit
inspections.
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Toxic Substances Cntilml Act ( JSC A) C ompliance Mmiitoriii" Stnite»v
Appendix E, Lead-based Paint
b. RRP and 1'Rl: Rules
The Region's compliance stnuegv for the RR1! and PRf Rules should aim to promote licensing
{accreditation of training providers, and certification of firms and individuals); and compliance
with all of ihe RRP requirements.
Si nee both the RRP and PRf Rules apph tu renovations in target housing and C'Ofs. and
involve record review inspections, generally the Region should target lor and conduct combined
RRP-PRf record review inspections or information requests. In addition, since the RRP Rule-
provides the option for work-site inspections to determine actual (as opposed to renovator-
documented) compliance. Regions should target for and conduct such inspections.
i he RRP Rule presents significant targeting challenges because: (a) the rule does not require
adv ance notification to EPA before commencing work; (b) many projects are of very short
duration; and (c) the regulated universe is vast and transitory. Consequently, the Region may
need to use innovative methods to target work-site inspections, and to identity operations that
are subject to the RRP Rule but not yet licensed (certified or accredited, as applicable),
furthermore, the Region will need to determine how best to conduct inspections of "micro
enterprises"^1 and other operations where the business office at which records are maintained
may be difficult to identify, mobile, or located in the owner's private residence.figure 3.
below, provides examples of potential RRP work site targeting approaches.
Set Section III.A, above. See also Appendix A.
Record review inspections mav prove unproductive if a firm claims that it has never conducted anv regulated
renovations, and therefore has no RRP records. The Region may find it helpful to obtain evidence of regulated
activity (e.g.., from a Tip or inspector's observation) prior to conducting an\ compliance monitoring, and then
folknv-up with an IRL, subpoena, or record review inspection.
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To\ic Substances ( ontro! Act (TSC \) Compliance Monitoring Str;ilc»>
\p|n.*ndi\ K. Leail-havcd Paint
[•ig. 3: Potential T;u'»cSing Approaches for RRP Work-Si to I inspections
\\ork-sitc Inspections
To identify ongoing rerun ation projects for potential work-site inspections;
• In any settlement agreement stemming from a record ivriew inspection, require the
respondent to notify EPA before conducting any new renovations projects for a specific
duration (e.g.. for six months following the settlement), and use these notifications to
schedule work-site inspections of the respondent.
• Consult local building permit authorities to ascertain recently-issued permits and long-
term (multi-dav) jobs. Then schedule the Region's work-site inspection to coincide with
the building inspector's visit to the project.
• Identity the largest local contactors in the target area (i.e., those likely to have projects
underway every day), and show up at their offices to "ride-along" to work-sites for the
day.
• l o ideniit\ large apartment complexes and oilier multi-famiK dwellings where routine
maintenance is probably conducted daily, target properties from among the local
government's residential rental licenses (e.g., municipal "Certideate of Occupancy"
records).
I'liliecnscd Operations
| To identify' regulated, but {///licensed, operations (uncertified renovators and firms,
I unaccredited training programs):
• Compare the Region's list of certified firms (and training providers), versus the names of
operations that advertise to conduct RRP-regulated activities (or provide RRP training).
• Collaborate with home improvement retailers and other companies that engage or
promote contractors to ensure that their contractors are RRP-certified, and follow required
work practices,
• Coordinate with local building permit agencies to require that contractors present RRP
credentials w hen they apply for a permit to conduct RRP-regulated projects; and to work
with the Region to address contractors that perform renovations without proper
credentials,
¦ Conduct combined LDR/RRP/PRE inspections for operations that both lease, and perform
j maintenance, on target housing.
V. Program Priorities
The CMS States program priority principles generally applicable to all 1 SCA programs. See
CMS Section V.D. The additional guidance below also applies to the 1 BP program.
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Toxic Substances Control Act (JSC A) Compliance Monitoring Ntrate<:\
Appendix E. Lead-based Paint
A. Principles
I he overarching priority of the I.BP program is to eliminate I.BP hazards and, thereby, support
the elimination ol f.Bl.I.s (see Section I. above). OI'CA's NPNKi pro\ ides two-vear program
priorities for I BP eomplianee monitoring, in addition, regional LBP programs are expected to
rellecl the following overarching principles:
• National Strategies - Participate in naiiona! compliance and enforcement strategies, such as
[he RRP enforcement strategy J"'1
• Focus - Concentrate compliance monitoring in l ead Hot Spots (target areas populations'), as
identilied through l-.Bl I. data and oilier information. See Section 1Y. Targeting, above.
• LBP Hazards and HULL Risk - 1 ocus primarily on addressing non-compliance that poses
the greatest risk ol causing, exacerbating, or perpetuating hBI .Ls and or 1 .HP hazards: and on
obtaining environmental and human health benefits. Direct attention secondarily to non-
compliance that may only pose an indirect risk of harm {e.g.. de minimis technical paperwork
violations).
B. I hi plcnien tation
In implementing program priorities regional programs should incorporate the lollowing
approaches:
• Allocation of Fffurt / Resources In federal Implementation Jurisdictions (including
Indian country). appropriately allocate the Region's direct implementation efforts between
l.DR versus non-authorized I SCA programs, in accordance with the NPMC and the
Region's One- i SC \ approach. Place particular emphasis on ensuring compliance anhh new
I BP requirements for which the Region has direct implementation responsibility (e.g.. the
RRP Rule in federal Implementation Jurisdictions). Since the majority of States and several
1 j ibes implement the Abatement Rule, most Regions should locus their TSCA direct
implementation efforts on the remaining i SCA LBP rules (RRP and PRb Rules).
• Program Planning and Oversight - Conduct appropriate planning with Stales to ensure that
State priorities are complementary to I.P.Vs: and provide appropriate o\ersight of Stale
programs. See Sections VI and VII. Program Planning and Program Oversight. respectively.
be low.
"" See the FY2012 NPMG and other OLCA communiques regarding national LBP enforcement strategies.
1 SCA CMS Appendix t. Lead-Based Paint
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OITke (if F.tiforct'nit'nt and Compliance Assurance
Tmic S)ibst;im-vs Ci»Un>i .Art (TNCA) f 'ojiipJijuH'i' Monifurins -Sirak-£\
Appeiulh I7,. Lead-based Paint
« RRP Rule-Conduct targeted highl\ visible RRP inspections (and enforcement! in help
ensure dial ihe regulated workforce is trained. eerlilied. and actually adhering to work
practice standards. Coordinate compliance with non-compliance enforcement (TSCA
"program" office) activities to promote RRP training and certification, f.ncourage States
(and Tribes) to seek authorization tor the RRP Rule and other TSCA I.BP programs.
• Other Legal Authorities - Maximize the use of RCRA Section 7(l03"s "imminent and
substantial endangermenl" authority, where appropriate.
• Coordinate F,PA Resources - Coordinate Agene\ resources, such as Ol CA and OCSPP
grant funds, to create incentives for Stales to seek TSCA authorization (particular!) for the
RRP Rule) and \igorousl} enforce l.BP requirements (including to seek l.BP abatement
under State or local laws, where appropriate).
• Integrated Strategies in Lead Hot Spots I'se integrated strategies lo address the various
causes of liBLl.s in target areas, where appropriate. Generally, integrated strategies are
about using multiple levels of coordination and collaboration to leverage resources with
partners within and beyond the Agency. *
for example, the Region s l.BP compliance enlbrcement office should coordinate its direct
implementation compliance monitoring across the four l.BP programs, rather than follow a
"stove-pipe." regulation-specific approach. Thus, joint RRP-PRP inspections should be
routine. Also, when planning i.DR compliance monitoring, the inspector should determine
whether any regulated renovation activities have been performed at the subject properties
and. if so. conduct joint 1 ,l)R RRP PRf. record review compliance monitoring, as
appropriate, furthermore, when apparent!} illegal (non-lead-safe) renovations ha\e been
performed but did not directly invohe the landlord, the inspector should identify the third
part} renovator as a potential subject for a future RRP/PRP inspection, as appropriate.
.Also, the Region's l.BP compliance enforcement office should work with the Region's
TSCA program office: the Region's tribal. I-J. and children's health program offices: and
other regional oflices that address lead in air. drinking water, and soil.
furthermore, the Region should partner with other federal. State and local governments lo
promote compliance with both federal l.BP requirements and any Stale local laws aimed at
eliminating and preventing f'Bl.I.s. Such partnerships ma} iinohe training and capaeit}-
157 42 U.S.C. § ft9?3. EPA has used this authority to compel abatement of LBF hazards. Sue e.g.. note 11 supra,
/•'ftk'ntl LBP Enforcement Benchhook. Chapter I.
See e.g.. Appendix F. Item "2. Lead-based Paint Resources, for the Hypothetical "Region XV" LBP Integrated
Strategy.
ISC A CMS - Appendix li, Lead-Based Paint
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Office of Lnforeemeut ami C omplianee Asmjranee
Toxic Substances Control Act (TSCA) Compliance Monitoring Strute«\
Appendix H. Lead-based J'aint
building, joint compliance monitoring, and/or joint or parallel enforcement. Speeificalh, the
Region is encouraged to partner with the following types of organizations:
ill I) - Particular!) when focusing on Ion-income rental housing. Regions should
collaborate with the headquarters and/or local IIUD offices. Although EPA and HUD
can unilaterally enforce LDR in any target housing, the agencies often cooperate on
targeting, compliance monitoring, and/or enforcement.^1' When collaborating on
compliance monitoring with any partnering agency, before conducting any inspections.
I-.PA and the other agency should agree (or de\ ise a criteria for later agreeing) on which
agency will handle any enforcement actions that arise from the inspections.1WI Since
CPA's objective is to eliminate LRP hazards {and. thereby, support the elimination of
LRI I.si. ihe decision regarding which agency will enforce should take into account
which organization has the more effective tools for obtaining LRP abatement or other
risk reduction work.1''1
o State/Local Health and Housing Agencies - Regions should work with State, tribal and
local government agencies on enforcement of their respective lead. LRP. housing, and
health/sanitation codes, particularly where such other agencies have authority to compel
owners/landlords to eliminate or prevent I.BP hazards."'2
o Other Federal Agencies - Regions may work with federal agencies that have authority to
address other sources of lead exposure that contribute to lead poisoning. Examples
include the Consumer Product Safety Commission (CPSC). which has purview tor lead-
contaminated toys, consumer goods, ethnic remedies and foods, and other products: the
Occupational Safety and Health Administration (OSI1A). which lias responsibility for
|si> Under a 1997 MOU and accompanying guidance, HPA and HUD envisioned that EPA would focus on non-
HUD-affiliated target housing, whereas HUD would he primarily responsible for HUD-affiliated target housing,
t Approximate!) 38 million pre-1978 dwellings have I.BP. of which fewer than 5 million receive some form of
government assistance.) These instruments, however, do not nullify the independent authority of either agency to
enforce LDR. Memorandum of Understanding Between The Environmental Protection .-tgeMtr and the Depat intent
of Housing and t t'rhan Development for the Enforcement of Section 10 IS of the Residential Lead-Based Paint
Hazard Reduction . !l7 of / W (Nov. 18. 1997): and Guidance on (Coordination Between EPA
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Appendix F.. I .cad-based Paint
worker safety (since, some children are exposed to lead dust brought into the home on
work uniforms or equipment): and the l .S. Department of linergy (I)Ol') and other
organizations that support "1 lealthy 1 lome." weatherization and similar programs.
VI. Program Planning
I'he CMS Sidles program planiwig pri??cip]e.s gaieraih applicable to al) TSCA programs. See
CMS Section V.f.
In addition. Regions should encourage States to participate in national compliance and
enforcement strategics, focus on identified l.ead [lot Spots {target areas populations), and
implement integrated strategics in those areas.
VII. Program Oversight
Hie CMS States program oversight principles general!} applicable to all TKCA programs. See
CMS Section V.1-. 1 he additional guidance below also applies to the i.BP program.
\ Federal Implementation Jurisdictions
Regions have no program oversight responsibility in federal Implementation jurisdictions, since
KPA itself has direct implementation responsibility.
B. State Implementation Jurisdictions
in Stale (and Tribal) Implementation Jurisdictions for authorized TSCA l.BP programs, the
Region is expected to ensure national consistency in program oversight and specifically to:
• Conduct oversight activities, which may include oversight inspections in each State.""
® Provide updates to ()P"CA on State actions and outcomes at least quarterly, through
discussions, reports, and other existing channels of communicalion.
® focus on capacity-building to ensure that each State uses an array of compliance monitoring
tools to promote compliance: and focuses on reducing I.HP hazards (and l'BI.l.s) in
identified l.ead Hot Spots.
It may or may nol be important to include oversight inspcctinux as an oversight activity. For instance, the Region
may obtain a good sense of the effectiveness of the State's monitoring of training providers by reviewing the State's
inspection reports, as opposed to auditing training courses itself.
TSCA CMS Appendix E. Lead-Based Point
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Appendix F. i.ead-hased Paint
VIII. Reporting
I he CMS States reporting principles generaih applicable n> all fSCA programs. See CMS
Section V.G. In addition. Regions arc to manually report for each authorized State (and Tribe)
the number of State (and Tribal) LBP inspections and enforcement actions.
IX. Indian Country
The CMS Stales principles tor compliance monitoring in Indian countn that are general!}
applicable lo all TSCA program areas. See CMS Section V.I 1. Regions should follow the
general CMS guidance.
TSCA CMS Appendix E. Lead-Based Paint
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Toxic Subsiances Control Act (TNCA) Compliance Monitoring Sirutc«>
Appendix F. Lead-based Paint Pro" rani Resources
'\pp(M]U:x f. Uas.Mi,;;>ed J'a'iit Prc^rnni Resi'U'Tcs
mra*raM«waaB!«n
"
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Office of K.nfnm-iiu'in :iinl t jatiuHcc SsMirame
I o\it- Stihst;iiicvs ( oiitroi \ct { I Sf \)( timplknuT Mttniiuiin" Smiths
Appendix F, I e;id-h-.ivttl P:iiiit Program RcMiurro
ISC. \ CMS 'Appendix F, Lead-based Paint Program Rcmhhcc.
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Appendix !•'. I .cad-based Paint Program Resources
Item #1 "vl
SAMPLE
Memorandum of Understanding between
The Department of Health,
Childhood Lead Poisoning Prevention Program
and
The I nited States Fin ironrnental Protection Agency,
Region Office of
Introduction
This Agreement describes I ho responsibilities agreed to by the
Department of I lealth ( DOlll. Childhood I cad Poisoning Prexention Program and the I'niled
States fnxironmental Protection Agency (I Si PA). Region Office of
(<> J with respect to cooperative work projects to prevent childhood lead poisoning within
the State-City
of .
The purpose of this collaboration is to stud}' the impact of the environment on
children's health in . This .Agreement will build on the working relationship that already
exists between the agencies and increase effective commnnicalion and technology transfer
between O . DOil. and the public health community in (Stale city ). Participating
organizations will offer each other technical expertise in areas such as computer mapping with
geographic information sxstems (CilS). epidemiology. and statistics. -
DC)11 Responsibilities
1.1 DOIi will have the primary responsibility for acquiring data lor use by the agencies.
1.2 DQH will maintain the confidentiality of residents by stripping all data of unique
identifiers prior to providing it the [CPA for analysis. DOH will fully retain all its rights and
responsibilities regarding ownership of eontidential data.
This sample MOl I was first provided to regional LBP enforcement personnel in around 2005 for purposes of
illustration. It is based on a sample provided by the U.S. Centers for Disease Control and Prevention (CDCi. which
OI C'A edited to include F'PA information. Regions have the option to use this sample as a starting point in
developing an information-sharing agreement with local health departments. _
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Office of rinforecnicnt and ( ompliauce Assurance
Toxic Substances Control Act ( I SC A) Compliance MnriiJoriii" Stralej^
Xpperuliv K, Lead-based i'ain! Program Resources
K PA Responsibilities
2.1 EPA agrees to keep confidential the identity of individuals and the eontenls of all data tiles
thai ha\e been provided hy the _ DOIi. EPA also understands that all information and data
provided by the _ DOH is confidential and should only be discussed with or released
to individuals who have the right to aeeess such information under the laws of the State of
and under (city) DOH policy or as required by federal law.
2.2 EPA staff will contact city DOH staff to provide updates on work done based on the
childhood lead information, EPA and DOH will discuss new offenders or problems thai EPA can
assist with, E!' \ w!i prov ide such updates .a muuuif. ai.'iWvi-upt'n 'uvuiv-ne* .
2.3 EPA will use the child lead data to create maps for the DOH.
(General Provisions
3.1 Timetables for activities and review will be agreed upon b> both parties and will be subject
to revision as needed.
3.2 I his Agreement will be terminated upon written notice bv either l)()l I in' I Si PA Region
O
3.3 Nothing in this Agreement is intended to diminish or otherwise affect the authority of either
D< H! or t SEPA lo implement its respective statu ton. function:-. This Agreement is effective
upon signature of both parties.
The undersigned hereby agree to the foregoing Memorandum of Understanding:
Department of I lealth U.S. Environmental Protection Agencv
Title: Title:
Date:
Date.
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Toxic Substances Control Act (TSCA) Compliance Monitoring Strategy
Appendix F. Lead-based Paint Program Resources
Item #2165
Illustration: "Region XV" Integrated Strategy for Lead
Table of Contents (to be conformed to final text)
Purpose of this Illustration
Phases of Region XV Integrated Strategy
S. Targeting
II. Identifying Major Sources of Exposure, and Determining Baselines
Lit. Conducting Activities to Address the Major Sources of Exposure
IV. Measuring Outcomes
Purpose of this Illustration
This scenario describes how a hypothetical Regional Lead Program (Region XV) might go about formulating and
implementing an Integrated Strategy (Strategy) to address childhood lead poisoning (EBLLs). This illustration
discusses the major decisions and activities to optimize the Strategy. Although the entire scenario is hypothetical, it
incorporates a variety of methodologies Regions have actually used. It is unlikely that a single Region would
necessarily need, or be able, to implement every approach described here.
Fig. 1. Overarching Aims of Integrated Strategy
"*5 This hypothetical LBP integrated strategy was drafted in 2009, for illustration purposes only, in connection with
development of a LRP pilot that was contemplated at that time.
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Tn\ic Substances Control Aci (TSCA) Compliance Mtmilciriii" Stratc«\
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Region XV Integrated Strategy
Overview
Region XV de\ ised i ts Straleg) lo address i he root causes of lead poisoning {I.BLl.sj in a high-
priori{\ lead "hoi spot." I he Slrateg) *s overarching aims i.e.. reduce KBLI.s to 'Venf bv
eliminating LBP hazards, increasing coordination, and maximizing compliance aligned
with EPA\s charge under its Strategic Plan and the 2010 Goals to:
® Reduce HBI.Ls ! lOug dl. or higher) among \oung children lo "zero":
• I liminate I'RI.I.s through increased iiUer-go\ernmenial coordination:
• Idiminute l.BI5 hazards in housing with \oung children through enforcement and oilier
means:
• Maximize environmental compliance through compliance assurance activities1^': and
• Reduce "to 2S percent" ihe HB1 J. disparitv between low-income versus non-low-income
children,K"
Figure 1 illustrates how these overarching aims relate to the penultimate objective of eliminating
HBA.,S,s.
1 he Region designed ils Strategy to fulfill ils OHCA and QCSPP Annual Commitment System
(AC'S) requirements, and increase ils enforcement accomplishments (e.g.. value of eases and
Si'Ps). .Also, the Region elected to include rcsidenlial contaminants in its Strateg}.
Region \Y"s Stralegv encompassed four phases, as discussed below:
I. targeting.
II. Identifying major sources of exposure, and determining baselines.
III. Conducting activities to address the major sources of exposure.
IV. Measuring outcomes.
l!'' liPA Strategic Objeeth es 4.1.1 and 5.1. and Presidential 2010 Goals.
The Strategy did not focus on ihe EBLL disparities aspect of Objective 4.1 1 because the target population was
almost exclusively low-income and CDC reports indicate that the national benchmark (28u»} may have been
attained.
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Office of Knforeeuieiit ami ( ompii;itivc \>sur;inee
Tout' .S'Hfosfasree*." Coutnil Act (T,S( A) C tnnplhntcc 'Manitor'ni'^ Stride"}
Appendix !7. 1,will-based Paint Program Resources
PHASE I.
"Gross" 1 articling
First. Region XV identified the universe of lend "hot spots" in the Region. It preliminarily
scoped out a do/en communities that presented indicators of having a si/eable population of
children that were, or were at risk of becoming, lend poisoned. Those community-wide
indicators included:
® Surveillance data showing a prevalence olT.Bl.l.s among children tested - and large
numbers of children in need of BLL testing:
• A housing stuck predominated Si) older, deteriorated dwellings, particularly "toxic
dwellings" associated with multiple and or suecessive lead poisonings and or [.BP hazards
Iftfi.
• An array of environmental and non-environmental sources oflead; and
• Populations known for fanning imported lead-contaminated foods and other products.
for this initial targeting, the Regional Lead Program consulted its i SCA-authori/ed States, and
used its own historical knowledge about communities throughout the Region. Also, it used
information from the Region's environmental justice, children's health programs, tribal,
compliance assistance, brown fields, air. drinking water, and solid waste (site remediation)
offices - and worked with these offices in devising and implementing its activities, furthermore,
it consulted with State and local health, housing, and immigrant services agencies, i he Region
verified, updated, and expanded this largely anecdotal information with objective data available
online and otherwise (e.g.. updated BLL test data, national housing surveys160, census data).
Consequently, the Region narrowed its focus to a few potential target areas.
Ultimate!). Region XV selected a target city (I eadvyllc. loxylvania) based upon its judgment
regarding where (a) the need was greatest, and (b) [-PA could have the most thr-reaehing impact
by leveraging its resources with those available to the city. The Region planned to duplicate the
most effective approaches from the Strategy in other lead hot spots throughout (he Region in (he
future.
Figure 2 summarizes Region XVs research and analysis. In short, a significant portion of the
city's child population had, or was at-risk of. lead poisoning from a variety of sources - and the
cilv had, or with EPA's intervention could better access, many of the legal, financial, and
^ Typically, toxic dwellings have extensive histories of lead-related tenant complaints, health or housing code
violations, enforcement actions, and repair or abatement orders..
HUD's biennial American 1 lousing Survey provides information about the housing stock in many cities.
www.hud-.gov/ _ __
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community '•building blocks'" for addressing lead poisoning.170 Region XV determined that it
could address the environmental sources of lead directly through Compliance Assurance
(inspections, enforcement, etc.) and Environmental Promotion - and through Partnerships
address the non-environmental sources of lead, while also building the city's capacity for its own
long-term response to lead.
Next, Region XV focused
on a specific city
neighborhood (Burdenned
Heights), which was
particularly susceptible to
multiple sources of lead,
and home lo a large at-
risk population {Atriskian
immigrants). Region XV
identified this at-risk
population as the "bulls-
eye" of its targeting. That
is. although the Strategy
included activities to
address lead city-wide,
the most resource-intense
efforts were aimed at
sources directly affecting
this target population
within the target area.
The Region obtained
baseline information
throughout the targeting
process. (See below.)
Figure 2. Region XV Analysis of Target Area/Population
($)
MEMORANDUM
From; Lead Program. Region XV
To: Lead Manager
Re: Preliminary Analysis of Lcadvylle, Toxylvania as Potential
Target Area tor Lead Integrated Strategy
The City of Lcadvylle is located in Leadbury County, in the State of Toxy lvania.
Toxylvania is authorized lo administer TSCA § 402 and § 406(b). but has not sought RRP
Rule authorization.
Demographies: The citv includes residents of all economic and educational backgrounds.
Notably, relative to its total population (250,000), a substantial portion (%)ofLeadvylle's
population is under age 12. The city includes a substantial population of new immigrants
(%}. including a growing population ofimmigranis from Atriskia (estimated at #), many of
whom favor a variety of imported "ethric" products (e.g., foods, remedies)diat typically
contain lead. The city's population includes white- and blue-collar workers (renters and
home owners) employed in light industry (including several lead smellers): and a significant
number of semi-skilled workers and day-laborers (generally, renters) employed in
construction, maintenance and other trades: and an influx of middle-income residents who are
renovating older historic homes.
A relatively small portion (%) of the child population is Medicaid-eligible- and of these,
many do not get tested Of those tested, there isa moderate incidence of EBLLs (# or % (S
10 ug/dL). Notably, of the Atriskian children tested, EBLLs are more prevalent and higher (it
or % @ 10 ug/dL) - and within their families, older children and adults also have EBLLs.
Childhood asthma rates are fairly high, as indicated by the number of pediatrician and
emergency room visits for fits condition (#). Anecdotal evidence indicates that asthma may
be due, in part, to indoor air contaminants, such as formaldehyde and other toxic chemicals
"off-gassed" by carpeting and other household goods: mold, mildew, and pest feces: and
overuse of chemical pesticides. The mold, mildew and pest infestation may be related to
inadequate home sanitation, and excessive moisture from insufficient ventilation. (The local
housing code does not set ventilation standards, or require imperv ious kitchen and bathroom
flooring.) Lung cancer rates are slightly higher than the national average: and EPA radon
maps indicate emission levels in excess of recommended action levels.
Immigrant populations are dispersed across several low-income neighborhoods, but many
reside in Burdenned Heights, which abuts several industrial facilities. This area is home to a
sizeable populaion of Atriskian immigrants, and to many workers employed at nearby
industrial plants.
170 The infrastructure for addressing lead poisoning include: (1) building awareness and public support; (2) building
capacity for lead safety; (3) collaborations and incentives; (4) financing; (5) lead safety standards; (6) targeting high
risk homes; and (7) using code enforcement. CDC, Building Blocks for Primary Prevention: Protecting Children
from Lead-Based Paint Hazards (Oct. 2005 ), wwv,.athh.org hu i 1 dmubIocks .
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Appendix F. Lead-based Paint Program Resources
Address-specific Targeting
Region XV used an array of mechanisms to obtain address-specific targeting information. The
Region:
• Executed an information-sharing MOU with the Department of Health (DOH) Childhood
Lead Poison Prevention Program (CLPPP) to identify properties with EBLL children (which
required CDC assistance to answer DOH's questions about confidentiality171) - and a
comparable MOU with the State's immigrant services agency to obtain data from the BLL
testing it requires for entering and recent immigrants.
Fig. 1 (cont'd)
• Arranged for "data-
mining" of property title
and business records to
identify owners, lessors
and agents: and to
determine their complete
real eState portfolios.
(The Region used a
combination of
contractors, student
interns, and tenant
advocate volunteers for
this task.)
• Partnered with the local
prosecutor and Local
Housing Department
(LHD) to identify toxic
dwellings and their
owners/lessors/agents.
To facilitate this
cooperation — and to
encourage more
vigorous code
enforcement — the
Region made
presentations to LHD
personnel. local elected
officials, housing court
171 See also, e.g., Overcoming Barriers to Data-Sharing Related to the H1PAA Privacy Rule: A Guide for State and
Local ChjkJhood Lead Poisoning Prevail ion Programs (June 20041 wwvv.cdc.gov/nceh lead policy, him.
TSCA CMS - Appendix F. Lead-based Paint Program Resources
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MEMORANDUM re: Leadvylle (page 2)
Potential Sources of Lead
» Housing Stock. Although the city has moderate- to middle-income housing, older
low-income rental md owner-occupied dwellings predominate (#f). The city has a sizable
number of federally-subsidized rental dwellings (#). and two large federally-owned housing
projects. A growing number of residents are renovating older, historic homes. Also, a
small DOD installation, with housing for military personnel, is locaed near the city.
» Retailers. The city has outlets of most national retail super stores, including
Lewc's Hardware, Waremart, and Dime General, Notably, Warcmart features a vast
inventory of imported goods (e.g.. focd, pottery, dishes, glasses, tableware, glazed goods,
toys), Burdenned Heights has several specialty shops and markets that feature imported,
apparently lead-ladened, ethnic products (e.g.. foods, spices, remedies, candies, cosmetics).
• Community Facilities. Artificial turf is located on an adiletic Held on the border of
Burdenned Heights. The field is owned and operated by the local department of recreation:
and used by neighborhood children, schools, and community groups.
• Industrial Sites and Public Works. Several small-to mid-size industrial facilities
are scattered throughout the city. A few, including several smelters, are located in or near
Burdenned Heights - and many Burdenned Heights residents work at these plaits.
Leadvylle has an aged public drinking water system.
State and Local Infrastructure and Potential Partners. There is a State lead disclosure law
and general health code — but no State, county or city lead abatement law. Also, the State
has a lead abatement fund for low-income residents which has been underutilized, in pan,
because residents have difficulty navigating the application process, do not wish to relocate
during abatement and only a few authorized abatement contractors currently operate in
Leadvylle. The State has departments of health, consumer affairs, immigrant serv ices, and
economic development. The immigrant services office requires BLL testing upon arrival,
and six months thereafter The State also has a University Cooperative Exfcnsion Service
(CHS), and School of Law school with a law clinic
"Hie city has a nuisance law, housing code, and housing court, but enforcement has been
limited and not focused on lead (in pan, because local leaders do not want to disrupt the
availability of low-income housing). The Loeal Housing Department (LHD), however, is
willing to enforce lead-related code violations The city expects to receive federal stimulus
funds for repairs to public works (e.g., water systems, roads), aid housing rehabilitation
projects. Also, the city has access to DOE home weatherization funding. Furthermore, the
city has a health (sanitation) code, and the Department of Health (DOH) CLPPP wants to
work with EPA. although DOH has questioned the legality of sharing its information.
Several advocacy groups are active in the city, including ones focused on tenant's rights,
immigrant services, and lead poisoning.
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_ Appendix I-'. Lead-based Paint Program Resources
judges and prosecutors, and oilier community leaders on lead poisoning, the scope and
limitations of federal law. and the importance of local code enforcement.
• Engaged a local community group to survey tenants to identify housing with LBP hazards.
• Consulted with the local HUD affiliate lo identify dwellings with LBP hazards (some of
which turned out to be subject to enforcement under HUD's Lead Safe Housing Rule and
other authorities).
PHASE II. Identifying the Major Sources of Exposure, and Determining Baselines
During targeting. Region XV identified the major sources of lend (and several residential
contaminates) that adversely affected children's health in the target area and. specifically, among
the target population.
Le ad-bused pa i nt hazards incluJ ed:
• "Ongoing" LBP hazards in paint, dust and soil in deteriorated housing, particularly in toxic
dwellings.
• "hpisodic" LBP hazards in otherwise lead-sale housing, created by unsafe work practices
during repairs, remodeling and other activities. (Once created, these might also be
considered an ongoing hazard).
Non-paint cm ironmental sources of lead included:
• Air emissions from local smelters.
• Lead solder in drinking water pipes in certain areas of the town.
• Lead-contaminated soil at an abandoned industrial site to which neighborhood children have
access - and fugitive dust emissions from that soil under wind}' conditions.
Non-cm ironmental sources of lead included:
• Lead in imported foods, spices, candies, remedies, trinkets and other goods from sev eral
neighborhood markets and specially stores.
• Lead in imported house \\ ares. toys, and other goods from national super stores.
• Lead-contaminated artificial turf on a city-owned athletic field used by neighborhood
children, local schools, and community groups.
• I .cad dust brought into homes on work uniforms and tools.
Residential contaminants incltided:
« Mold, mildew, and pest feces associated with inadequate home sanitation, and unregulated
moisture levels.
• ( heruse of chemical pesticides to address pest infestation.
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Office of [¦'itforci-iiifiil ami ( omphaiicc As\iir;iiia'
I civic Milim:iiicts C oiurol \et ( ! St \i( (tinjilimici- MuntKirifiu Sir;Mv:>>
\|>j)L-iufi\ i . 1 c.Hi-hn-ed l\iim Pribram RcMiiireos
• i-ormakichuie and other chemicals off-gassed In curpctinii and oilier household goods,
• R;kfuri.
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Appendix F. Lead-based Paint Program Resources
Establishing Baselines
Region XV established baselines for the sources of lead affecting the target area/population
against which to later assess the impact of its Strategy (Phase IV. Measuring Outcomes). The
Region used statistical data obtained during targeting. Where such data was not available, the
Region used other means, such as informal surveys with knowledgeable officials and community
leaders, to generate a reasonably accurate representation of current conditions. Even where the
Region was unable to establish a baseline, it proceeded with those activities aimed directly at
reaching its primary objectives, since the Region could later measure outcomes even if it could
not compare those outcomes to a baseline.172
Figure 3 illustrates Region XV's view of the relationship between the baseline for each major
source of lead (Phase II), the tools/activities it would use to address each source (Phase III), and
the desired outcomes relative to the Strategy aims (Phase IV).
Fig. 3. Relationship between Baseline, Activities, Outcomes, Aims
Baselin
e
(Phase
ill
(For each
major
source /
HpsirpH
Specifically, the Region sought to characterize the current situation for lead sources (but not for
residential contaminants)17'1 relevant to its overarching aims as follows:
• "Zero" EBLLs'74 (Objective applies to all activities in the Strategy.)
The prevalence and severity of EBLLs among children tested - and the extent to which
children (particularly those without Medicare) were in need of BLL testing.
171 For instance, evert if the Region could not establish the baseline number of properties with LBP hazards, it
nonetheless could measure the number of properties at which actual or potential LBP hazards were eliminated under
abatement SEPs.
173 Although Region XV included residential contaminants in its Strategy, the Region did not establish a baseline (or
measure outcomes), since it's focus was limited to screening and making referrals to appropriate
offices/organizations.
174 The Region sought a marked reduction in EBLLs among the target population, since absolute "zero'' is
unobtainable.
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Tools / Activities
fPhase III)
Compliance Assurance
Environmental Promolio
Partnerships
ion
Measure
Outcomes
(Phase IV)
Eliminate LBP
Hazards
Maximize
Compliance
Increase
Coordination
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Office «f Enforcement nut) Complin nee Assurance
Toxic Substances Control Act <"I"SC"A) Compliance Monitoring Strategy
Appendix i . Leail-bnscd Paitti Program Resources
* Hliminatc l.PB I kraals (relevant to I.BP>:
The prevalence of I.BP hazards where young children lived or visited (e.g.. estimated number
of dwellings with LBP ha/.urds: number of high-priority toxic dwellings: overall age and
condition of the housing stock).
• Maximize l.-jnironmental Compliance (relevant to LBP and non-paint environmental lead):
The identity, and compliance status, of entities subject to § 1018. fSC'A. CAA. SDWA.
RCRA Subtitle C. and CI'RC'l.A.
• Himinate HBI.LS throuuh Increased Coordination (relevant to all sources):
for I.BP. the current response of Stale and local agencies when a property is identified as
having an KB1.1. child. i.BP hazards, or lead-related code violation, e.g.. how quickly and
aggressively agencies investigate, order repairs or abatement, pursue enforcement, and
ensure actual performance of required work and the extent to which these agencies
coordinate, if necessary, to obtain a timely and appropriate outcome. 1 or non-environmental
lead, the identity and apparent compliance status of sources of lead subject to other federal
authorities, e.g., FDA. ij'SC. ! S))\. OSJJ.Y
figure 4 summarizes how the Region's baseline analyses aligned with its overarching aims and
the various sources oi'lead.
l is' 4.
41 11
Sources
-/.cro" KBLLs
All sources
Himinate I BP
I.HI' i
hazards
]
Maximize
I.BP &. iwn-
cm ironmental
paint cm ir'l
compliance
sources
Kliminute RRI I s
All sources
through increased
coordination
Ha»clinc i tor "i argct Aicit'Popul jtion l
t>t"children tested, "» with LBLI s; Aieuige III I
Of children in need of testing:!t (or % of population)
Compliance status ol .sources subject to §1018. ISCA, V
SDWA. RCRA-t . CLRCI A
\A.
1 .BP: (Data concerning other agencies!
- ~ or" i) outstanding complaints about properties \\ ith
FHLI.s. LHP hazards. atui'or lead-related code violations
- 9 outstanding abatenient-'repair orders
- A\g, ^ days between property identification — insestiguttoii
- enforcement - performance of abatement 'repair
X'ori-em ironmental Lead; (Uafa coneernmg other agencies!
\pparent compliance .status of .sources subject to FDA.
t'PSC. I'SDA and otherauthorities
Aclititivs OiitciimiS
5
1
s
Jr
I1
E
E
"/V
iJ
"J
¦S':
>
y.
TSCA CMS - Appendix F. Lead-based Paint Program Resources
l.xviii
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Office of Enforcement and Compliance Assurance
Toxic Substances Control Act (TSCA) Compliance Monitoring Strategy
Appendix F. Lead-based Paint Program Resources
PHASE III. Conducting Activities to Address Maior Sources of Exposure
Region XV's lead program used a variety of tools (activities) to achieve its overarching aims.
The Region selected the activities for its Strategy from among the "menu" of tools available to
address the major sources of lead affecting the target area/population. Figure 5 summarizes this
menu.
Fig. 5. Menu of Tools for an Integrated Strategy
Compliance Assurance
(Focus: Regulatory Compliarce)
Environmental Promotion
(Focus: Compliance. Prevention,
Stewardship, Voluntary' Risk-
Reduction)
Partnerships
(Focus: Capacity-building, and Enhancement of
EPA's Compliance Assurance aid Environmental
Promotion)
- Enforcement
- Compliance
Monitoring/Inspections
- Compliance Incentives
- Compliance Assistance
- Education
- Training to regulatees
- Demonstration projects
- Research
- Voluntary Programs
- lntra-agency partnerships
- Interagency partnerships
(Federal. State & local government: and non-
governmental)
The Region's selected activities are explained below. In selecting which activities to implement,
the Region considered the outcome likely to be derived from each activity - and how each would
advance the Strategy's overarching aims, either directly or indirectly. Figure 6 illustrates how
the activities to address LBP hazards aligned with the aim to Eliminate LBP Hazards as a
means to eliminate EBLLs. Figure 7 illustrates how activities for non-paint environmental lead
(along with those for LBP hazards) advanced the aim to Maximize Compliance as a way of
eliminating EBLLs. Figure 8 summarizes all of the Region's activities for all sources of lead,
and residential contaminants.
1. Lead-based Paint Hazards
"Ongoing" LBP Hazards
The Region's Strategy focused largely on eliminating "ongoing" LBP hazards in deteriorated
housing, relying primarily on § 1018, and using RCRA § 7003 for the most significant toxic
dwellings.
TSCA CMS - Appendix F, Lead-based Paint Program Resources
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Office of Enforcement and Compliance Assurance
Toxic Substances Control Act (TSCA) Compliance Monitoring Strategy
Appendix F. Lead-based Paint Program Resources
The Region:
1. Conducted §1018 inspections, which helped fulfill its OECA ACS obligations; and
1 coordinated those inspections with the DOH, LHD, and HUD.
i 2. Pursued § 1018 enforcement actions and. in certain instances, joined HUD in
< referring appropriate cases to DOJ for judicial enforcement - and promoted
I inclusion of SEPs and Child Health Improvement Projects (CHIPs) for abatement
and other risk-reduction measures.
I 3. Issued RCRA § 7003 orders for the most significant toxic dwellings.
4. Coordinated with the Slate to focus the State's § 402/406(b) inspections and
enforcement on contractors operating in the target area.
The Region also:
5. Performed all OCSPP-required environmental promotion activities to advance §
1018 compliance and promote landlords' voluntary standards-of-care (e.g..
inspection and auditing schedules, improved repair, maintenance and other measures
to prevent, identify, and correct LBP hazards and the underlying conditions that
create them).
6. Coordinated with the State to focus the State's § 402/406(b) education campaign on
the target area/population.
7. Issued a grant to a community-based Non-Ciovernmental Organization (NGO) to
provide in-home education to the local immigrant community on lead poison
prevention. This particular activity, as well as certain others, applied to addressing
several sources of lead (and residential contaminants) affecting the target
area/population. (See e.g.. Residential Contaminants - Activity #4.)
8. Trained local emergency personnel (first responders) to spot obvious LBP hazards in
the course of their normal work, and make referrals to the Region. DOH and/or
LHD for further action. (See also Residential Contaminants - Activity #2.)
TSCA CMS Appendix F, Lead-based Paint Program Resources
Ixx
O
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The Region:
9. Collaborated with the State on parallel enforcement of § 1018 and the State's lead
disclosure law.
10. Made compliance with outstanding DOH and LHD abatement/repair orders an
obligation in settlements to resolve § 1018 (and RCRA § 7003) violations.
11. Urged LHD to timely follow-through on its enforcement of lead-related violations
of the local housing, health/sanitation, nuisance, building, emergency and other
codes.
12. Partnered with local property management firms to promote landlord's voluntary
standards-of-care.
13. Partnered with an NGO to obtain LBP risk assessments (which would be subject to
§ 1018 disclosure requirements).
14. Consulted with the University Law Clinic to help ensure that LBP hazards would be
addressed when students represented tenants in housing court.
-------
Office of Enforcement and Compliance Assurance
Toxic Substances Control Act (TSCA) Compliance Monitoring Strategy
_ Appendix F. Lead-based Paint Program Resources
"Episodic" LBP Hazards
Region XV relied on the RRP Rule to address "episodic" LBP hazards.
GJ
U
e
SB
U
cy
u
-
2
E
o
U
The Region:
1. Conducted RRP Rule inspections (which helped fulfill its ACS obligations). The
Region performed both recordkeeping inspections of certified firms and accredited
trainers, and several renovation work site inspections to ensure an effective
enforcement presence. To identify potential targets for work site inspections, the
Region consulted the city's building permit agency to identify large (multi-day) jobs
scheduled to be performed in the target area. The Region also identified the largest
local contactors (those likely to have projects underway every day), and showed up
at their offices to "ride-along1' to work sites for the day. Furthermore, the Region
identified (for both RRP Rule and g 1018 inspections) high-risk multi-family
apartment buildings via certificate of occupancy inspections, renovation and zoning
permits, and other permits issued to the building owners/landlords/agents. The
Region also responded to tips and complaints where appropriate.
2. Conducted an RRP Rule Compliance Incentive Project (CIP) initiative. The CIP
allowed renovators to voluntarily disclose their non-compliance with RRP Rule
recordkeeping requirements, and resolve their liability with a reduced penalty and
change in operations.
3. Pursued enforcement in appropriate cases - and. for maximum deterrent effect,
ensured those actions were widely publicized.
The Region also:
4. Worked with the State on obtaining RRP Rule authorization.
5. Conducted OCSPP-required activities for RRP Rule implementation
6. Issued a grant to a local NGO to support training of low-income residents to become
certified risk assessors, renovators, or dust sampling technicians.
7. Issued a demonstration project grant to an NGO to educate day laborers on basic
lead-safe work practices.
TSCA CMS Appendix F. Lead-based Paint Program Resources
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Office of Enforcement ami Compliance Assurance
Toxic Substances Control Act (TS( \) Compliance Monitoring Strategy
Appendix F. Lead-based Paint Program Resources
! The Region:
| 8, Partnered with local outlets of the national hardware store to promote RRP Rule
; compliance. and \ t>)unkir\ Jead-.sale practices by Do-lt-Yoursclfers (1)1 Vs).
l). Collaborated will) retailers and other companies (hat engage or promote contractors
to ensure thai contractors are RRP-eertified and follow required practices.'
%r 10. Coordinated with the city "s building permit agency to require that, for regulated
Z projects, applicants show RRP Rule credentials to receive a building permit and to
5 encourage building inspectors to spoi. and refer to (he Region, obvious RRP Rule
£ i violations they may observe at work siles,
1 1. Collaborated with the local DC )H-affilialed agency to make replacement of I HP-
coated w indows and doors a priority for f)OI--('unded ueatheri/ation projects -- and
to ensure that persons working such projects follow lead-safe wurk practices.
12. Worked with officers for the nearby 1)01) installation to ensure RRP Rule
compliance in military housing and child-care facilities.
1 Promoters include entities such as .Indies List, SX-n'kvtthi^ic.com. and the Super Pa^es SupcKiiniriinuw
program (i. m-. •, ¦ ¦ nn),
I SC A CMS - Appendix P. Lead-based Paint Program Resources
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Office of Enforcement and Compliance Assurance
Toxic Substances Control Act (TSCA) Compliance Monitoring Strategy
Appendix F. Lead-based Paint Program Resources
Fig. 6. LBP Hazards - Baseline - Activities - Outcomes
Basel i n
# -%
Dwellings
with
LBP
Ha7ardc
Activities
Compliance Assurance
- § 1018 & RRP enforcement
- RCRA 7003 orders
• CIP Initiative
- Coordinate with State on
402/406(b) enforcement
- Work on State RRP Rule
authorization
E ivv i ro n m ent a I P roino t i on
-OCSPP-required activities
- In-home education project
-Train First Responders to
spot LBP hazards
-Train risk assessors, DSTs
- Basic training for day
laborers
-Coordinate with State to
AI\£*{Vk\ urlni^rttinn
Partnerships with ...
- HUD/DOJ/others on § 1018
-State on enforcement of State
and federal disclosure laws
-Health/ Housing agencies on
code enforcement
-Property firms on standards-
of-care
-Law school on tenant
representation
- DOE on weatherization
funding, and RRP compliance
-DOD on RRP at military
housing, child-care
Outcomes
U - % Dwellings
where LBP
Hazards
eliminated due
to:
-SEPs
-CHlPs
- RCRA7003
orders
- Code
enforcement
- Weatherization
projects
- Voluntary
lead-
safe practices
- Voluntary
stand ards-of-
care
- Law clinic
TSCA CMS - Appendix F. Lead-based Paint Program Resources
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Office of Enforcement and Compliance Assurance
Toxic Substances Control Act (TSCA) Compliance Monitoring Strategy
Appendix F. Lead-based Paint Program Resources
2. Environmental Lead - Non-Paint
Region XV's Lead Program relied on Compliance Assurance, and Partnership with other
Regional programs and agencies, to address non-paint sources of environmental lead. Those
sources included lead from smelters, in drinking water pipes, and in soils at (and dust from) the
abandoned industrial site.
e
Q
£.
The Region referred sources subject to the Clean Air Act (CAA), Safe Drinking
Water Act (SDWA). RCRA-Subtitie C (RCRA-C), and/or CERCLA to the
appropriate Regional enforcement offices for potential inspections, enforcement and
other compliance assurance measures.
{Not applicable. The Regional Lead Program did not conduct activities for these
sources. It worked with other Regional offices.)
Also, the Region:
2. Worked with the Region's air. water and waste offices to support Environmental
Promotion activities which those offices conducted to increase compliance,
voluntary risk-reduction, and stewardship among these sources of lead.
3. Partnered with the Brownfields office to promote redevelopment of the abandoned
site.
4. Urged the local department of public works to address the abandoned site by using
its nuisance, zoning and other authorities to prevent unauthorized access, requiring
that bare soils be removed or covered, and requiring any other risk-reduction
measures within its authority.
5. Urged the State's office of economic development to fund or promote
redevelopment of the abandoned site.
TSCA CMS - Appendix F. Lead-based Paint Program Resources
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Office of Enforcement unci Compliance Assurance
Toxic Substances Control Act (TSCA) Compliance Monitoring Strategy
Appendix F, Lead-based Paint Program Resources
Fig. 7. Non-Paint Environmental Lead - Baseline, Activities, Outcomes
Baseline
Compliance
status of
entities
subject to
CAA.
SDWA,
RCRA-C,
CERCLA
(§1018.
TSCA -
See above)
Activities
Compliance Assurance
Refer sources to Air, Water,
Waste offices for potential
inspections, enforcement etc.
r.nvirnnmcniai Promotion
(Activities conducted by Air.
Water, and Waste offices)
Partnerships with ...
- Air. Water. Waste offices to
promote compliance and
voluntary risk-reduction
-Brownfields office (and
State's economic
development agency) to
promote site redevelopment
-Local public works agency
to address abandoned site
Outcomes
Maximize
Compliance
# Entities
returned to
compliance due
to:
* Enforcement
- Voluntary
stewardship
- Pollution
prevention
- Site controls or
redevelopment
Environmental
benefits
obtained
(emissions
reduced or
eliminated)
3. Non-Environmental Lead
Generally, the non-environmental sources of lead — artificial turf, imported foods and household
goods, and dust on work uniforms and tools — are beyond EPA's purview. Therefore, Region
XV addressed these sources through Partnerships with appropriate federal, State and local
agencies.
TSCA CMS - Appendix F. Lead-based Paint Program Resources
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Office of Enforcement and Compliance Assurance
Toxic Substances Control Act (TSCA) Compliance Monitoring Strategy
Appendix F. Lead-based Paint Program Resources
The Region:
1. Urged federal agencies (e.g., CPSC. FDA, USDA) and State and local agencies
(e.g., DOR consumer affairs, Attorney Generai) to exercise their stop-sale and
product recall authorities against manufacturers, importers, distributors, and retailers
- and to conduct consumer education campaigns to promote avoidance of lead-
contaminated products.
2. Urged the city's departments of recreation, education and public works to replace
artificial turf - and prevent children's access to the athletic field as long as the lead-
contaminated turf is in place.
3. Urged OSHA and its State counterpart to take appropriate action to minimize risks
from work-related lead, including employee education and potential employer
sanctions.
4. Residential Contaminants
Of the residential contaminants under EPA's purview (mold, mildew, pesticides, radon, toxic
chemicals), most arc subject only to guidance or voluntary program — whereas a few (pesticides,
chemicals) are regulated. Many toxic chemicals in consumer goods are subject to regulation or
guidance by other federal (or State) agencies. Underlying conditions that cause or exacerbate
LBP hazards, such as excessive moisture and poor ventilation, may be subject to State or local
health or housing standards.
1. The Region referred sources it believed to be in violation of EPA regulatory
requirements to the appropriate Regional enforcement office for potential
inspections, enforcement and other compliance assurance measures pursuant to
CAA, FIFRA, TSCA. or other applicable laws.
The Region:
2. Trained local emergency personnel (first responders) to spot obvious residential
contaminants in the course of their normal work, and make referrals to appropriate
federal/State/local authorities for further action. (See also LBP Hazards - Activity
#8.)
3. Funded a demonstration project for an accredited RRP training provider to offer
training to help renovators and others spot significant residential contaminants and
make referrals to the appropriate federal/State/local authorities for further action.
4. Issued a grant to an NGO to provide in-home education to the local immigrant
community on residential contaminants (and lead poison prevention). (See also
LBP Hazards - Activity #7.)
TSCA CMS - Appendix F. Lead-based Paint Program Resources
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Office ol r.Mfinremvrtt ;ifu) ( (miplnnct-
toxic ssi()M:]mc(.-s C (Hitt'dl Ac! ( i S( \) Ginipiiafuc Momtm smilv»\
\( !.c;ui-iiiistti t'aiiit Program Rcsnmci
"The Region:
5. Worked with the appropriate Regional office to .support ].n\ ironmental Promotion
activities which those offices conducted to increase compliance, voluntary risk-
reduction. and stewardship among these sources of lead.
6. I "rged DO! 1 and I.H1) to enforce applicable health and housing standards.
7. Partnered with the I niversitv Cooperative Intension Sen ice (C'ES) to promote
consumer education on home sanitation . maintenance, and integrated pest
management • including distribution of I:PA information on lead poison prevention
and residential contaminants.
TSCA CMS - Appendix F. I cad-based Paint Program Resources
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Office of Enforcement and Compliance Assurance
Toxic Substances Control Act (TSCA) Compliance Monitoring Strategy
Appendix F. Lead-based Paint Program Resources
P'S- 8- Activities to Address Major Sources of Lead
Compliance Assurance
Environmental Promotion
Partnerships
I.cad-based Paint (Sources subject to ji 1018. TSCA § 402, Willi), HHP Uule. or RCRA 5 7003)
• "Ongoing" LBP hazards (in loxre dwellings and other deteriorated housing)
1. § 1018 inspections
(ACS commitments)
5. OCSPP-reeommended
activities for § 1018
1. Coordinate §1018 inspections w ith DOH, LHD, HUD
2. 5 1018 enforcement
7. NGO grant for in-home lead
poison prevention education
2. Refer select § 1018 cases to DOJ (some jointly with
MUD)
3. RCRA § 7003 orders
8. Train First Responders to spot
&, refer LBP hazards
9. Parallel enforcement of § 1018 and State disclosure law
4. Coordinate with State to
focus § 402/406(b)
inspections in target area
6, Coordinate with State to focus
§ 406(b) education campaign on
target area/population
10. Required compliance with DOH/LHC abatement/repair
orders in federal settlements
11. Urge LHD to enforce local codes
12. Partner w ith property management firms to promote
landlords' voluntary siandards-of-carc
13. Partner with NGO for LBP risk assessments
14. Work with University law clinic to address LBP hazards
in housing court cases
• "Episodic" LDP hazards from unsafe work practices in repairs, remodeling, renovations (in otherw ise lead-safe dwellings)
1. RRP Rule record and
work site inspections {ACS
commitments)
2, RRP Rule CIP initiative
5. OCSPP-required activities for
RRP Rule implementation
6. NGO grant to train risk
assessors, renovators, and DSTs
8. Partner with hardware store to promote RRP Rule
compliance, and voluntary lead-safe practices by DIY'ers
9. Collaborate with companies that engage/promote
contractors to ensure RRP Rule compliance
3. RRP Rule enforcement
4, Work with State on RRP
Rule authorization
7. NGO demo project to teach day
laborers basic lead-safe work
practices
10. Partner with local building permit agency to ensure
pcrmitecs comply with RRP requirements
11. Work with DOE-affiliate to promote replacement of
LBP-coatcd windows/doors in DDE-funded weatherization
projects - and ensure workers follow RRP Ruie
requirements
12. Work with DOD ensure RRP Rule compliance in
military housing and child-care facilities
TSCA CMS-Appendix F. I .end-based Paint Program Resources
Ixxviii
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Office of Enforcement and Compliance Assurance
Toxic Substances Control Act (TSCA) Compliance Monitoring Strategy
Appendix F, Lead-based Paint Program Resources
Fig. 8 (cont'd)
Compliance Assurance - .| Environmental Promotion | Partnership
Non-paint Environmental Lead (Sources subject to CAA. SDWA, RCRA Subtitle C, CERC'LA)
* Air Emissions from smelter
* Lead solder in drinking water pipes
* Soil and dust at/from abandoned industrial site
1. Refer sources to
appropriate Regional office
for potential compliance
assurance under CAA,
SDWA. RCRA-Subtitle C,
CERCLA
(Activities conducted via
Partnerships with
appropriate offices and
agencies)
2. Partner with appropriate Regional office to promote compliance,
voluntary risk-reduction, and stewardship
3. Partner with EPA Brownfields office to promote redevelopment
of abandoned site
4. Urge local public works agency to uses its nuisance, zoning or
other authority to bar unauthorized site access, require bare soils be
covered, or take measures
5. Work with State economic development office to promote
redevelopment of abandoned site
Non-Environmental Lead (Sources subject to purview of other federal-or State/local - agencies)
• Lead on imported goods from local specialty stores, markets, and national super store (candies, remedies, cosmetics, etc.)
• Turf on local government athletic field
• Lead brought into home on work clothing & equipment
(Beyond EPA's purview)
1. Urge federal and State authorities to exercise their stop-sale and
product recall authorities - and conduct consumer education
campaigns.
2. Urge local departments of recreation, education and public works
to prevent children's access to the athletic field pending removal of
contaminated turf.
3. Urge federal/State OSH A to take action to minimize work-related
lead exposure.
Residential Contaminants
(Moisture, mold, mildew, formaldehyde, chemicals in carpeting and other home furnishings, radon, pesticides)
1. Refer sources to appropriate
Regional offices for potential
compliance assurance under
FIFRA, TSCA. CAA
2. Train First Responders to spot &
refer residential contaminants
3. Demonstration project to teach
renovators et al. to spot & refer
residential contaminants
4. NGO grant for in-home
environmental health education
5. Partner with appropriate Regional office to promote
compliance, voluntary risk-reduction, and stewardship
6. Urge LHD and DOH to enforce local codes
7. Partner with University CES to promote home
sanitation/maintenance education
TSCA CMS - Appendix F. Lead-based Paint Program Resources
Ixxix
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Office ill i.flHiii'L'tlK'Jti :!!ui ( tim plhulcc
Ihuv SiiIisLuh'cs ( nntm! Aii j 1st Ai( liiftpIuMKi1 Mottitonnt;
%jjpvjuli\ F. I.cad-lui^-ii I'aini Program Resource^
I'll ASK IV. Measuring Ou Iconics
Region XV assessed the impact of its Strateg) holistically and reported accomplishments
through a variety of mechanisms. The Region accounted for its own outputs (activities! and
those of its Strategy partners. Also, the Region assessed outcomes (em ironmental benefits)
derived from its own Compliance Assurance (inspections, enforcement, compliance incentives,
and compliance assistance). Environmental Promotion, and Partnership activities and outcomes
obtained from comparable activities performed by its Partners.
1, Lead Outputs
The Region compiled statistics on the number of inspections and enforcement actions conducted
In the Lead Program, bv other Regional offices based on referrals from the Lead Program, and
h\ other agencies as a result of Strategy partnerships.
Region XV "s Lead Program reported its output data to K'tS. The other Regional offices, and
other agencies, reported their information to their respective data s\ stems.
2. Lead Out conies
Region XV sought quantitative and anecdotal outcome information to assess the Strategy
impact vis-a-vis its paramount objective: "zero" LBLLs, Since all Strateg) outputs were directed
at this objective, the Region sought to identify the relation between its outcomes and this
objective where possible (although some outcomes, such as enforcement penalties, influence
LBLLs only indirect!)).
The Region reported its outcome information in periodic and annual Regional and Agency
accomplishment reports. The Region assessed the following items.
• -Zero" FBLl s.
Region XV measured the prevalence and severit) of LBLLs among the target population pre-
amd post-Strateg). The Region had arranged to obtain this information tinder its MOU with
DOHCI.PPP and the Stale immigrant sen ices department, and in settlement provisions
whereby health care providers that performed BLL testing under third-party SL.Ps (or under
Child Health Improvement Projects |CIIIPs|) would share testing data.
• Eliminate LHP ha/at <|s.
Region XV measured the number of properties with I.BP hazards t particular!}' toxic
dwellings) in the target area, pre- versus post-Strategy, as a result of:
I St "A CMS Appendix 1", 1 cad-bnscd Paint Prourum Resource-
lxxx
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Office of Riiforceiuciit anil Compliance Assurance
loxic Substances Control Ac! ( iSC'A) Compliance Monitnrinii StnMc{>\
_ Appendix l\ l.cjid-tw.sed Piiint Program Resources
o Regional LBP inspections and enforcement actions (conducted with and without III I)
and'or DOJ ) that resulted in SEPs. CI MPs. iiijuneli\e relief, or RCRA £ 7003 orders
which required respondents to perform abatement.
Regional 1.BP CAP initiative, and compliance assistance.
Inspections and enforcement taken b\ partnering Slate and local agencies under their own
housing, health/sanitation, building, emergency and other codes,
o Weatherization projects (funded by DOE or otherwise) associated with the Strategy that
resulted in elimination of I.BP-coated windows, doors, and other surfaces,
o Voluntary lead-safe practices by 1)1 Vers and other consumers: and property standards of
carc by landlords, resulting from the Strategy's Environmental Promotion and
Partnership activities.
Also, the Region counted the number of projects and estimated monetary value of each
project. The Region also counted the amount of penalties from enforcement actions by the
Lead Program, and other Regional offices, for their general deterrent value (rather than the
direct impact on EBI.Esi.
• Maximize Compliance.
EBP - The Region attempted to assess increases in compliance among of the regulated
community (and reductions in EBELs). To do so. the Region obtained quantitative data from
its own inspections, enforcement, and CAP initiative: and anecdotal information from trade
association surveys, surveys of renovation contract customers and promoters, and tenants;
and other means. The Region focused specifically on measuring increased compliance with
the RRP Rule.
Non-paint Environmental Ecad - The Region assessed the Strategx's impact on non-paint
sources (and EBEEs) resulting from Compliance Assurance and Environmental Promotion
conducted b\ other Regional Programs, for instance, the Region relied on the other
programs to determine the extent to which sources had increased their level of regulatory
compliance, reduced or eliminated pollutants due to enforcement or voluntary action, or
made other changes to reduce lead exposure to the target area.
• Eliminate EBLLs through increased coordination.
EBP - Region XV assessed whether coordination among federal. State and local regulator)
agencies had increased and whether such increase resulted in a more effective response to
lead and reduced EBI.l.s. for example, the Region used inter\ iews with State local oilicials.
NGOs and tenants, and its own observations, to ascertain whether: (a) there was a decrease in
the time it took for tenants' LBP-related complaints resulted in actual performance ot
abatement or repairs: (h) more children received BEE tests; (e) the use of available abatement
funding increased: and (d) there was greater auiilability of certified renovators and
abatement contractors.
TSCA CMS ¦ Appendix F. Lead-based Paint Program Resources
lxxxi
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Office of F.n force men! and t ompliance Assuranee
Toxic Substances Control Ac! {I'SCA) Compliance Moni(orin<> S(r;ite«>
Appendix F. Lead-bnsed Faint Program Resources
Non-cm ironmental Lead - Region XV assessed the Strategy's impact on non-emironmcntal
sources of lead resulting from actions taken bx other federal. Stale and local agencies under
their own authorities — such as slop-sale orders, product recalls, and consumer education
relying on information obtained IVom those agencies.
figure illustrates Region XY's output and outcome analxsis \is-a-\is the oxerurching aims of
its Slrateg).
TSCA CMS - Appendix F. Lead-based Paint Program Resources
lxxxii
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Office of I'uforcement and ( oniplinnce Assurance
i mif Sijbs);jiHTs Oj»Jj7)I ArJ fJ S(. A) ( »m/)li;uict' MojjHuriiii: Mn)te«>
Appendix i;. I,c;ul-h:t.si*d Paint Program Resources
\ilMS
Bastlii!- -
"/.ern"
riii.i.s
Baseline:
< )f children tested:
% with FBI Ls: avg. RI 1,
l >f chiidieti in need of testing:
s lor"« of population)
llimmate 1 HP
1 la/ards
Baseline:
or "o dwellings with 1 BP
hazards
Mn\irm/c
compliance
IJJI". \on-Pajnt bnv ir'l 1 ead -
Baseline
Compliance status of entities
subject to $1018, 1 SCA. t'A-\.
SOW A, RI RA-l . CI.RCI \
Ihminak
1 RI 1 S
through
mcrciisciS
COPJtlwUlioj)
1 BP,-. Baseline:
" or"« outstanding complaints
about properties w ith KBI.Ls
or lead-related code \ iolations
h outstanding abatement-repair
orders
I <\ctn ttlCS I
A\ s. " dav s from 1- HI 1
identification code compliant in
im estimation enforcement
abatement rcpan
Niin^emjrihimenial I cad -
Baseline:
Apparent compliance status of
entities subject to Ff>A, C'PSC.
I SI") \ and either aiilhoritie^
(lutcomes
Of children tested:
°.i with HRLI s: a\g. Bl.l
Of children in need ot testing:
« tested (or "» of population) as result of lederul enforcement
(Sri's CI Ill's for HI L testing). grants, partnerships, ete
Outputs. 1 HI' inspeelions, - I.BP enforcement actions
1 """
| Outcomes
| ® or "n dwellings at w hieh 1 BP hazards were eliminated as
I result of:
1 - federal enforcement I SFPs, CI Ill's. RCRA tf 73 Orders)
! - State local enforcement! abatement and repair orders I
I - IK)f-sponsored wcathcri/ation projects
II - Voluntary lead-safe work practices b) 1)1 Vers
' - Voluntary stattd;trds-of-earc b\ landlords
(*" projects, and monetary \ aim. of each)
Outputs: k inspections: ?! enforcement action
Outcomes
- 4' entities returned to compliance
- Penalties obtained
- I.tn itonmental benefits I e.g.. pollutants reduced, voluntary
measures be> ond compliance I
(hitputs (In t )ther Federaf State 1,ocal Aucncics)
- ^ properU investigations, and enforcement actions,
precipitated b\ I.HI 1 identification or code \ iolation
complaint
-~ or "o routine inspections that also addressed potential I BP
Hazards
Outcomes iObtained h% Other l ed*State l.ocal Agencies!
-abatement;repair orders complied with
-A\g. r dav s from PBI.I. identiiieaiion'code compliant to
investigation - enforcement abatement repair
Outputs tjH_Ollter fed State I ocal Accneics)
Inspections, enforcement actions, eonsumet education
campaigns, etc.
Outcomes (front Oilier l-'ed State I ocal At'cncics)
- Penalties
- Rcneiits t.sales halted, products withdrawn from marketplace)
TSCA CMS - Appendix K. Lead-based Paint Program Resources
Ixxxiii
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