U.S. EPA, Section 1018 Disclosure Rule Enforcement Response and Penalty Policy (2007)

• Author: Carolyne R. Hathaway/William K. Rawson/Ann Claassen/Julia A. Hatcher
• Pages: 701-735

Section 1018 Disclosure Rule Enforcement Response and Penalty Policy (2007) Page 701

Section 1018 – Disclosure Rule

Enforcement Response and Penalty Policy

United States Environmental Protection Agency

Office of Enforcement and Compliance Assurance

Office of Civil Enforcement

Waste and Chemical Enforcement Division

December 2007

Page 702 TSCA Deskbook

Table of Contents

Chapter 1: Introduction ...........................................................................................1

Chapter 2: Summary of Rule and Requirement .......................................................5

Chapter 3: Responsible Party / Appropriate Respondent ........................................ 7

Chapter 4: Determining the Level of Action............................................................ 8

Chapter 5: Calculating the Proposed Penalty ........................................................11

Chapter 6: Determining the Number of Violations ............................................... 15

Chapter 7: Adjustment Factors.............................................................................. 17

Appendix A Responsible Party Examples ...............................................................24

Appendix B Penalty Matrices .................................................................................27

Appendix C Internet References for Policy Documents ........................................31

Appendix D Examples of Potential Supplemental Environmental Projects ............33

Enforcement Response and Penalty Policy:

The Lead-Based Paint Disclosure Rule December 2007

Section 1018 Disclosure Rule Enforcement Response and Penalty Policy (2007) Page 703

Chapter 1: Introduction

Chapter 1: Introduction

The revised Section 1018 – Disclosure Rule Enforcement Response and Penalty Policy

supersedes the February 2000 Section 1018 -- Disclosure Rule Enforcement Response Policy. It

sets forth guidelines for the Environmental Protection Agency (EPA or the Agency) to use in

determining the appropriate enforcement response and penalty amount, in settlement or in

litigation, for violations of Section 1018 of the Residential Lead-Based Paint Hazard Reduction

Act of 1992. The revisions in this policy take into account an increase in the maximum statutory

penalty required by the Debt Collection Improvement Act of 1996, recent case law

developments and other relevant EPA policies that impact enforcement actions.

The purpose of this Enforcement Response and Penalty Policy (ERPP) is to provide

predictable and consistent enforcement responses and penalty amounts for violations of Section

1018, yet retain flexibility to allow for individual facts and circumstances of a particular case.

This policy is not binding on the Agency. The policies and procedures set forth herein

are intended solely for the guidance of employees of the EPA. They are not intended to, nor do

they constitute a rulemaking by the EPA, nor do they impose requirements on EPA staff or the

regulated community. They may not be relied upon to create a right or a benefit, substantive or

procedural, enforceable at law or in equity by any person. Further, this document is not

intended to limit the discretion of EPA staff. Enforcement staff should continue to make

appropriate case-by-case enforcement judgments guided, but not restricted or limited, by the

policies contained in this document.

I. Background

The Centers for Disease Control and Prevention (CDC) has established the elevated

blood-lead level (EBL) of 10 micrograms per deciliter (μg/dL) to be a level of concern for

children. In the early 1990s the National Health and Nutrition Examination Survey (NHANES)

data indicated that there were approximately 890,000 American children with levels greater

than 10 μg/dL. In addition, minority and low-income children were disproportionately affected.

Lead poisoning in children causes intelligence quotient deficiencies, reading and learning

disabilities, impaired hearing, reduced attention span, hyperactivity and behavior problems; in

severe cases it may lead to seizures, coma and death. NHANES data further indicated that in as

many as 4 million homes in the United States, children’s health was endangered by lead-based

paint and/or lead-based paint hazards. In response to this national crisis, Congress enacted Title

X: Residential Lead-Based Paint Hazard Reduction Act of 1992, 42 United States Code (USC)

Section 4851 (Title X).1

1The CDC’s recent statement on Preventing Lead Poisoning in Young Children, August 2005, recognized that recent

studies indicate that additional evidence exists of adverse health effects in children at blood lead levels of less than

10 μg/dL. However, the CDC has determined that it will not lower the level of concern at this time.

Enforcement Response and Penalty Policy:

The Lead-Based Paint Disclosure Rule 1 December 2007