RRP Record Keeping—The Dealer’s Challenge
Your personnel have taken the RRP training, and your company has become an EPA Lead-Safe Certified Renovator. You give out the Renovate Right pamphlet to clients, occupants, and/or parents before every replacement or remodeling job on an old building. You train your employees, put up containment, use lead-safe work practices, and clean the job site within an inch of its life. You do cleaning verifications, or better yet, clearance exams.
So you’re safe, right? Safe from Environtmental Protection Agency audits, safe from litigation, safe from outrageous fines and penalties? Hmmm. Not quite. As you may have heard before, “the job isn’t over until the paperwork is done.”
One section of the Renovate, Repair, and Paint program training deals with record keeping. But many Certified Renovators admit that they’re more confused about what records they have to keep after the training than they were going in. And since your trainer may not have had the time to get into the nitty-gritty details of documentation, your company's trainees may not have gotten a clear idea what your company has to document. (One RRP instructor once said, “go home, read the law, and spend about 40 hours figuring out how to create a record keeping system.” Clearly, not very helpful.)
But make no mistake about it. Record keeping is a very important part of the RRP process. The EPA probably isn’t going to swoop down on your company at a job site at the exact time that your employees happen to be disturbing lead-based paint. No, it’s much more likely that they’ll contact your office and ask you for your records pertaining to that job you did on Oak Street back in November of last year. “Oh, and while you’re at it," the caller may add, "could you please send us all your records from all the other jobs that you did on pre-1978 houses, dwellings, and child-occupied facilities?”
And in a court of law, the lawyer certainly isn’t going to take your employee's word for it that he or she put up containment, or used a HEPA vacuum, or cleaned the floor well enough that someone could eat off it. Some kind of proof is needed that your company followed lead-safe work practices. (On the other hand, if the lawyers discover that your company used lead-safe practices and has adequate records, they’re more likely to look elsewhere for the source of their client’s lead poisoning or some other client's lead poisoning.)
This article is designed to clarify a company's responsibilities and provide guidelines for the records that you need to keep to comply with the RRP rule.
Record Keeping 101
If you already have a “job book” for each project, or have some other record keeping system that helps you document each project, then you can probably skip to the next section. But if keeping detailed records isn’t your strong suit, here are some tips.
- Set up some kind of system. You need to create an organization scheme. It could be three-ring binders, or different colored file folders, or electronic files—some system that forces you to keep your records organized. (And while a shoebox might work well for filing receipts from the hardware store, you’ll need to be a little more systematic when it comes to RRP records.)
- Decide when you or someone from your company is going to document your work. It could be at the start of each day while you’re drinking your coffee. Or, you could record everything each Thursday evening. But decide what’s most convenient, at a time when something else isn’t going to get in the way. Then commit to keeping the paperwork up-to-date. It’s a lot easier to document work while it’s fresh in your mind than it is to try to remember what happened on a job you did three weeks ago.
- Most importantly, stay with it. Record keeping is a skill that gets easier over time. And the more convenient your system is to use, the easier it will be to stick with it. If you need to, create a checklist of the records you need to keep. Then refer to the checklist on a regular basis to make sure you’ve covered all the bases.
What You Need to Document
First, a word about the Occupational Safety & Health Administration. OSHA has had regulations in place for 20 years regarding work that disturbs lead-based paint. These regulations include the process for determining how much lead your employees will be exposed to during the course of their work, and procedures for protecting the workers. There are records that you are required to keep, such as documenting your respirator program and your medical program.
About 20 percent of the states have taken over responsibility for the RRP program in their states. Some of those states have duplicated the record keeping requirements of the federal program, but others have added a few additional documents. For example, the state of Mississippi requires that you notify the Department of Environmental Quality at least six days before the start of your project.
Check with your state to find out if there are any additional or different records that you need to keep. A list of state differences is available at www.leadrecords.com/support.
The RRP rule does not have these requirements. But that doesn’t excuse you from adhering to OSHA’s regulations and record keeping requirements. In fact, as a result of the RRP program, OSHA is more apt to catch you for violating lead work procedures.
The RRP rule only requires that you keep records on dwellings and child-occupied facilities that were built before 1978. If you test for lead-based paint and discover that none is present–or, that the lead-based paint won’t be disturbed by your remodeling or painting project–an abbreviated set of records are required. The EPA requires that you keep the following seven different pieces of information on each project (following the general progression of a “lead job”):
- Assign a Certified Renovator
- Educate the client (or occupant, or parent)
- Test for lead-based paint
- Train your workers
- Work safely
- Clean up thoroughly
- Report to the client
Assign a Certified Renovator
A certified renovator must be assigned to each project that involves a pre-1978 dwelling or child-occupied facility. You have to keep a copy of the certified renovator’s certificate (as well as the certified firm’s certificate) on the job site for the duration of the activities that disturb lead-based paint. A copy of the certified renovator’s certificate should also be kept in your records. There’s always a chance that the certified renovator isn’t going to work for your company two years from now when the EPA comes calling. And while the EPA has a database of all certified renovators, it will be a lot more convenient if you have their certification number on file.
Educate the Client
The EPA wants to make sure that the public is informed about the dangers of lead-based paint that could arise from the renovation activity. They’ve been paying special attention already to whether window replacement dealers are “educating” clients by giving them the pamphlet, The Lead-Safe Certified Guide to Renovate Right. When your employees give the client, occupant or parent (if you’re working in a child-occupied facility) the pamphlet, make sure they get some form of proof that you gave them the pamphlet.
Depending on the type of building you’re working on, the EPA has different requirements for who needs to be notified, and how you can notify them. Refer to the Requirements and Options for Pre-Renovation Notification chart below for a summary of the EPA’s requirements.
Source: Lead Records Inc.
There are only two ways to notify an owner—whether that’s the owner of the house where you’re working, or the owner of the building. You can hand deliver the pamphlet (and therefore get a “live” signature) or mail the pamphlet to them. If you hand deliver the pamphlet, you can give it to them anytime (up to 60 days) before the work starts.
If you mail the pamphlet, it has to be mailed at least 7 days (but no more than 60 days) in advance. You have to send the pamphlet certified mail, with a return receipt requested. Either way, the owner has to get the pamphlet prior to the start of your work.
If you’re working inside someone’s dwelling, but they’re not the client (for instance, if the building landlord has commissioned the work) you still must deliver a copy of the Renovate Right pamphlet to each occupant. But if you’re not able to get a signature from each occupant, you have to document how you delivered the pamphlet and why the signature wasn’t obtained.
If you’re doing work in a “common area” of a building (for example, if you’re working in the laundry room of an apartment complex), you have to notify the building occupants of the upcoming renovation activity. You don’t have to give each occupant a pamphlet, but you need to make them aware of the scope of the renovation activities and you have to make free copies of the pamphlet available to them upon request. You can do this by hand-delivering notifications, by mailing them, or by posting signs in places where the occupants will be sure to see them.
If the scope of your project (i.e., the activities that disturb lead-based paint) changes, you need to re-notify everyone of the changes. So if the start date, or the end date, or the scope of the project changes, remember to send a notice of the change, or change the information on the posted signs.
If you’re working in a child-occupied Facility, the notification procedures mimic those of work in a common area. You have to deliver pamphlets to the building owner and an adult representative of the facility. Then you have to notify the parents and guardians of all the children who are affected by the renovation.
In each case there are nuances regarding how the notification takes place. So document everything—how you delivered the pamphlets, when you delivered the pamphlets, who delivered them, why you didn’t receive signatures, etc. The Certified Renovator is responsible for this notification process, so he or she should sign any documentation that is generated.
Test for Lead-Based Paint
You need to document the lead testing product that your company uses. Different manufacturers provide different information (and call it different things). The Test Kit Documentation Form that you received in your RRP training class may or may not reflect the information of the test kit you use.
As you test each component that you will disturb, you’ll need to document the results. Identify the test kit from which the test swab or bottle came and the results of the test. Of course, you may choose to presume that lead is present on one or more components, and proceed accordingly. You’ll need to document that as well.
In some cases (like HUD projects), you’ll need to have a certified agency test for lead. In that case, you’ll need to record the information about the agency, including their certification number. They’ll give you a report of their results, and you need to store the report with your files.
If you test, and discover that no lead is present on any of the components you’re going to disturb, you don’t have to keep any other records. Bundle up all the documentation that you’ve created to this point, and store it away.
Train Your Workers
Your workers are key to your company's lead-safe work. The RRP rule doesn’t require that they take the RRP class (unless you’re working on a HUD job, in which case they may need to be trained). But the rule requires that workers receive training from a Certified Renovator. The Certified Renovator has to record all of the skills each worker is trained to perform.
From setting up containment to cleaning up the job site after the lead-disturbing activities have been completed, you have to ensure that proper work procedures are followed. When you document your project, note the work practices that you performed, and write a brief description of what you did to ensure clean, safe practices.
The Certified Renovator is responsible for this documentation, so she or he needs to sign the form when it’s complete. Some Certified Renovators go the extra step to have the client sign the form as well. This provides proof that the client concurs that lead-safe work practices were used.
The Certified Renovator is required to conduct a cleaning verification (on interior jobs) to ensure that no debris or lead dust has been left behind. You perform the test using:
- one wet cloth per window sill
- one wet cloth per 40 square feet of horizontal surface (countertops, book cases, etc.)
- and one wet cloth per 40 square feet of floor
Document each area that you test. If you fail the cleaning verification in one area, but not others, you will need to re-clean that area, re-test that area, and document that you passed the verification the second time. The Certified Renovator should sign the form, and you may choose to have the client sign the form as well.
Under certain circumstances (for example, on HUD jobs), you’ll need to have a certified agency perform a clearance exam. Record the information about the agency, including the firm’s certificate number, and keep a record of the report that they provide.
Report to the Client
The EPA has added reporting requirements to the RRP rule. You are now required to give certain documentation to the client. This “final report” has to be delivered to the client at the time that you present the final invoice, or within 30 days of the completion of the project (whichever comes first).
If you’ve been keeping up with your record keeping, it won’t be hard to compile this final report. Just make copies of the documents you’ve already completed. The report should include, at a minimum:
- Results of the test for lead-based paint
- Documentation of the training of non-certified workers
- Documentation of the lead-safe work practices your company used
- Results of the cleaning verification or clearance exam
If your project was in the common area of a multi-family dwelling, or in a child-occupied facility, you must also make the final report available, upon request, to any occupant or parent/guardian.
Your digital camera is going to become your best friend. Take photos of anything that documents your company's compliance with the RRP rule. Photograph the barriers installed and the containment area. Photograph work practices, and of your workers in personal protective equipment. It’s impractical to keep lead test kits, or the cleaning wipes you used in the cleaning verification. Take photos of those items and label them. (A small dry erase board is very effective in captioning photos. Write the specifics of the photo on the dry erase board and place it in the shot.)
If you tackle an emergency repair project, you are excluded from most of the RRP processes. You must clean up the site and perform a cleaning verification. And you must keep records—information about the project location, the nature of the emergency, and the RRP processes that you didn’t perform.
You are required to maintain your records for three years, and you have to be able to produce the records upon request. So along with the record keeping system you create, set up a storage system as well. Label projects so that you can find them easily. It will pay to put a little thought into the system now, so that you’ll be able to rotate out the “expired” projects three years from now.
In the final analysis, the system that you use doesn’t matter as much as using a system. You can create a system of your own, or you can avoid the time and the headache by using a system that someone else has created. What’s most important is that you use some system, or you’ll get buried under the additional paperwork that the new law has created.
The EPA has said, in no uncertain terms, that a company's records (or lack thereof) are the “low-hanging fruit.” In a time of governmental budget cuts travel will be curtailed, and company records will be the primary way that EPA determines compliance with the RRP rule. Make sure you company is ready when they ask for your records.