Register March 2010 No. 651
APPENDIX B
INTERIM CONTROLS
Chapter 11, HUD Guidelines for the Evaluation and Control of
Lead-Based Paint Hazards in Housing
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Step-by-Step Summary
Interim Control: How To Do It
1. Owners of properties in good condition may decide to proceed directly to interim control without a risk assessment. This involves stabilizing any deteriorated paint (see Section II), on the assumption that all deteriorated paint contains lead-based paint, thoroughly cleaning all surfaces (see Section IV), and covering all bare soil (see Section V). These measures should be followed by a risk assessment (not a risk assessment screen) to determine if the property meets clearance standards and if any hazards were left uncorrected. All interim control activities should be carried out in accordance with the procedures described in these Guidelines.
2. Alternatively, an owner may first have an independent risk assessment performed by a certified professional to determine if lead-based paint hazards exist and to minimize hazard control activities.
3.
Together with a certified risk assessor, planner, or other designer, develop a site-specific lead hazard control plan based on the hazards identified, the feasibility of the control measures, occupant protection, and financing. For interim controls and some abatement techniques, the plan should include how and when ongoing monitoring by the owner and reevaluation by a certified risk assessor or certified inspector will be performed. (See Chapter
6 for standard reevaluation schedules).
4. For building components, determine which hazards will be addressed with interim controls (dust removal, paint stabilization, and/or control of friction/abrasion points). For lead-contaminated soil, decide which interim control measure is appropriate for the climate and the planned use of the area.
5. Develop specifications (if appropriate). The amount of detail provided should be commensurate with the size of the job. The specifications should state how any abatement activities and other construction work (e.g., weatherization) will coincide with the interim control work. It may be preferable to combine interim controls with abatement in many cases.
6. Although interim controls are not expected to generate hazardous waste, the planner or risk assessor should make this assessment for each project and notify local authorities if the local jurisdiction requires it.
7. Select a qualified, trained contractor to complete the hazard control work. For some small jobs, onsite maintenance workers may be able to perform the work. In either case, Occupational Safety and Health Administration (OSHA) regulations require all interim control workers to be trained.
8.
Select the appropriate interior and/or exterior Worksite Preparation Level (from Chapter
8) to protect residents.
9. Notify residents of the dwelling and nearby dwellings of the work and when it will begin. Distribute educational materials furnished by the U.S. Environmental Protection Agency (EPA) and/or the State or local government to residents about lead poisoning and lead-safe practices.
10. Correct any existing conditions that could undermine the success of the interim controls (e.g., structural deficiencies, moisture problems, uncleanable surfaces).
11.
For exterior work, preinterim control soil samples should be collected but not necessarily analyzed until clearance soil samples have been collected, analyzed, and compared to clearance standards. If soil levels are below applicable limits, the baseline samples need not be analyzed (see Chapter
15).
12. Execute interim control work. See the Step-by-Step Summaries in each section of this chapter for information about dust removal, paint film stabilization, friction and impact surface treatments, and interim soil controls.
13.
Store all waste in a secure area and make sure that it is properly labeled (see Chapter
10). Dispose of all waste properly.
14.
Conduct daily and final cleanups (see Chapter
14).
15.
Have an independent, certified inspector technician or risk assessor conduct a clearance examination 1 hour after cleanup to let dust settle (see Chapter
15). If no preliminary risk assessment was performed, only a certified risk assessor can conduct the clearance examination/risk assessment. If clearance is not achieved, complete interim controls and/or reclean. Following a successful clearance examination, the property owner should receive documentation to that effect, including a schedule for required reevaluation (if applicable). Local authorities may also require a Statement of Lead-Based Paint Compliance.
16. Pay contractor and clearance examiner.
17. The owner should conduct ongoing maintenance and monitoring of interim controls to ensure that they remain in place. Periodic reevaluations by a certified risk assessor should be completed according to the reevaluation schedule in the hazard control plan of the property.
18. Maintain records of all lead hazard control, reevaluation, and monitoring activities and turn them over to any new owner upon sale of the property.
Chapter 11: Interim Controls
Section I
I. Principles of Interim Control
A. Introduction
While interim controls have been carried out in some public housing developments under the name of “in-place management," the concept is relatively new in the field of lead hazard control. Interim controls are intended to make dwellings lead-safe by temporarily controlling lead-based paint hazards, as opposed to abatement, which is intended to permanently control lead hazards. See Chapter
12 for a more detailed discussion of the difference between abatement and interim controls. In Title X of the Housing and Community Development Act of 1992, interim controls are defined as “. . . a set of measures designed to reduce temporarily human exposure or likely exposure to lead-based paint hazards, including specialized cleaning, repairs, maintenance, painting, temporary containment, ongoing monitoring of lead-based paint hazards or potential hazards and the establishment and operation of management and resident education programs." Interim control measures are fully effective only as long as they are carefully monitored, maintained, and periodically professionally reevaluated. If interim controls are properly maintained, they can be effective indefinitely. As long as surfaces are covered with lead-based paint, however, they constitute potential hazards.
Basic elements include planning, implementation of interim controls, cleanup and clearance, education of residents and maintenance staff, ongoing maintenance and monitoring by the owner, and periodic reevaluation by a certified professional. The term “certified professional" means a certified risk assessor or certified inspector.
Interim lead hazard control measures include:
* Repairing all rotted or defective substrates that could lead to rapid paint deterioration (repairing defective building systems that cause substrate damage may be a prerequisite for effective interim control but is outside the scope of interim control per se).
* Paint film stabilization (see Section II)— stabilizing all deteriorated lead-based paint surfaces by removing deteriorating paint and repainting.
* Friction and impact surface treatments (see Section III)—treating floors and interior window sills and window troughs so that they are smooth and cleanable.
* Treating friction and impact surfaces, such as windows, doors, stair treads, and floors, when they are generating lead-based paint chips or excessive levels of leaded dust that cannot be controlled with ordinary cleaning.
* Treating protruding, accessible surfaces, such as interior window sills, where lead-based paint may be present and there is either visual or reported evidence that children are mouthing or chewing them.
* Treating all bare soil containing excessive levels of lead.
* Dust removal and control (see Section IV)—cleaning surfaces to reduce levels of leaded dust to acceptable levels, including cleaning carpets, if they are contaminated.
* Educating residents and maintenance workers on how to avoid lead poisoning.
* Conducting reevaluations by certified individuals, ongoing monitoring by owners, and observation by residents.
After completion of lead hazard control measures, an independent, certified inspector technician or risk assessor should carry out a clearance examination, which includes a visual inspection to determine whether all necessary lead hazard control measures were completed and collecting dust samples to determine whether floors, interior window sills, and window troughs meet clearance levels.
The property owner should implement an active maintenance regime to ensure that the property continues to be free of hazards. Such a maintenance regime should consider the likelihood that leaded dust may be tracked into the housing unit from the outside. Periodic visual monitoring and reevaluation according to a site-specific schedule prescribed in the risk assessment report should be carried out to determine whether the dwelling unit continues to be free of hazards.
B. When Interim Controls Are Appropriate and When They Are Not
Unless precluded by regulation, interim controls are most easily implemented when most surfaces with lead-based paint are intact and structurally sound and lead exposure comes primarily from deteriorating paint and excessive levels of lead in household dust and/or soil. Interim controls are also appropriate if the housing unit is slated for demolition or renovation within a few years. In many cases resources will not be available to finance permanent abatement, making interim controls the only feasible approach.
If the housing unit has substantial structural defects or if interior or exterior walls or major components, such as windows and porches, are seriously deteriorated or subject to excessive moisture, interim controls are unlikely to be very effective. Paint cannot be effectively stabilized unless substrates are dry, structurally sound, and waterproof. Other interim control measures, such as window repair, would also not be very effective if structural problems are likely to result in rapid treatment failure. Any structural problems should be repaired before interim controls can be implemented. If these problems cannot be repaired, then more frequent reevaluation will be necessary in case of premature failure.
Federal, State, and local legislation or regulations may require that certain lead hazards be permanently abated rather than controlled on an interim basis. For example, HUD requires that public housing authorities abate all lead-based paint in dwelling units undergoing comprehensive modernization. Title X requires that lead hazards be abated in the course of substantial rehabilitation projects that use more than $25,000 of Federal funds per dwelling unit. Some State and local governments have enacted laws and regulations requiring that certain lead hazards be abated.
Whenever building components are replaced, energy-efficient products should be used. This will help reduce energy consumption and also reduce the length of time it takes for new components (energy-efficient doors and windows) to pay for themselves.
C. Determining the Scope of Interim Controls
The property owner may decide to rely on a risk assessor to determine whether interim controls are appropriate, identify treatment options, and estimate the long-term costs of the various available options. (See Chapter
5 for a discussion of risk assessments.) In some cases in which HUD funding will be used, a risk assessment or a paint inspection will be required. Some State or local laws may also strongly recommend or even require a risk assessment before lead hazard controls can be carried out.
Unless prohibited by local law, the property owner may elect to proceed with lead hazard control measures without a risk assessment or a paint inspection. When no evaluation is conducted, the property owner must assume that all surfaces have lead-based paint, all floors and dust traps are contaminated, and all bare soil is also contaminated. In this case, the property owner could waste money if surfaces are treated that do not contain lead-based paint. When there is a substantial likelihood that some treatable surfaces do not contain lead-based paint, the cost of risk assessment may well be recovered by a more focused effort on confirmed hazards.
Some State and local laws prescribe certain treatments in order for the housing unit to qualify as lead-safe. Insurance companies or lenders may also prescribe certain treatments if a property is to qualify for insurance coverage or a loan. In all cases, the property owner should ensure, at a minimum, that required lead hazard control measures are carried out.
Whenever a housing unit is to be weatherized or rehabilitated, it is usually cost effective to control lead hazards at the same time. Usually, normal weatherization or rehabilitation activities can also eliminate some lead hazards if the work is modified so that it can be performed safely. However, if not carried out properly, these efforts will increase the risk of lead poisoning. In those situations, abatement is usually the most appropriate intervention since windows and other components are often replaced. It will usually be more expensive and disruptive to carry out weatherization or rehabilitation and lead hazard control separately.
D. Preparing a Lead Hazard Control Plan for Multifamily Housing
Conducting interim controls of lead-based paint hazards in multifamily housing presents issues not generally found in single-family housing. In most occupied multifamily developments, it is not feasible, financially or logistically, to carry out hazard control activity in all dwelling units at once. In properties with a relatively small number of dwelling units, it may be possible to proceed unit by unit and complete the hazard control work quickly. In larger properties, however, decisions must be made as to the order of the work in dwelling units and common areas, and perhaps, in rooms or components within dwelling units and common areas. Even when an entire building is vacant and undergoing renovation, hazard control elements of the work must be identified and scheduled. Therefore, it is usually advisable that there be a lead hazard control plan for properties with more than approximately 10 units.
Owners should have an independent certified risk assessor prepare a lead hazard control plan to address lead-based paint hazards identified by the risk assessment or, if no risk assessment has been conducted, the specific hazards that are assumed to be present. The plan should prioritize and schedule control measures and any additional hazard evaluations so that available resources are targeted for maximum benefit. Lead hazard control planners or designers may also be helpful in preparing such a plan. In developing the plan, the risk assessor should consult with the property owner to gain insights about the property to determine which strategies will be most appropriate. The goal of this consultation is to combine in the plan the risk assessor's knowledge of lead-based paint hazards with the property owner/manager's knowledge of the particular property—its maintenance history, persistent problems, occupancy profile, capital improvement program, etc.
In developing a lead hazard control plan, it is reasonable to consider treating units occupied by children under age 6 or pregnant women first. Common play areas, day-care centers, or dwelling units serving as day-care centers may also be candidates for early treatment. It is reasonable to consider the fact that it is less expensive to conduct hazard controls effectively and safely in vacant units than in occupied units; thus, it may be appropriate to postpone some hazard control treatments until unit turnover. It is reasonable to consider the possibility of relocating families with young children from uncontrolled units to hazard-controlled vacant units in order to more quickly and cost effectively reduce childhood exposure to lead in the environment.
