Voluntary Compliance – A Pre-Enforcement

Framework for Healthy HousingDale Hagen

Alameda County Healthy Homes Department

Basics of Voluntary Compliance

• Assessment and Documentation• Owner Notification and Engagement• Technical Advisement• Compliance Monitoring

Why Try Voluntary Compliance

1. To get something done when– Enforcement is not an option– Enforcement is not the first option– Enforcement is not the best option

Why Try Voluntary Compliance

2. Give owners a chance to fix problems

3. Engage both parties-Tenants and Owners

4. Due diligence before reaching for enforcement help

5. Document Patterns of Behavior and Non-Responsiveness

Why Try Voluntary Compliance

5. Document the need and extent of the problem

- Type of Problem

- Geographic Area

6. Gather information on impact of problem on families and vulnerable populations

• Lead Poisoned Children• Unsafe Renovations (Lead)• Advancing Safe and Healthy Housing

for Children and Families (ASHHI)• Mold

Voluntary Compliance in Alameda County Programs

Lead

Voluntary Compliance:How We Got Started

• Alameda County Lead Poisoning Prevention Program– Public Health Nursing– Environmental Health Specialists– Outreach and Education Team– Housing Professionals– Enforcement through Environmental Health

• Case Review Working Group– Interdisciplinary Meetings– Technical Assistance– Compliance Monitoring

Voluntary Compliance:How We Got Started

Technical Advisement andCompliance Monitoring

• Notify and establish deadlines• Assigned Housing Specialist• Persistent follow-up• Interdisciplinary Review

• Initially:– Enforcement referrals limited– Lengthy process

• 2000 Median: 224 days to closure• 2011-14 Median: 88 days to closure

– Enforcement referrals ~1-2 per year

Impact-Lead Hazards

• Based on resources available– Triage by level of presumed hazard

• Voluntary compliance model– Owner notification w/deadlines– Technical advisement– Compliance monitoring

• Interdisciplinary Team review

Next Step: Expansion of EBL Response

Actions/Services 15+ 7-14 5-6Parent Notification X X XServices/Referrals X X XHome Visit X X  Nursing Case Management X  

Environmental Investigation X  

Visual Survey   XTechnical Advisement X x

Compliance Monitoring X x

Enforcement Referral X x

EBL Response-Triaged

Voluntary Compliance Elements

• Intake and Assessment• On-Site Assessment• Owner Engagement• Technical Advisement and

Compliance Monitoring• Enforcement Referral

– Where available and appropriate

Owner Engagement

• Notification• Connect to Health and Codes• Promote Urgency or Deadline• Offer Assistance

Voluntary Compliance-What Will You Do?

TRIAGE:• Engagement Criteria

– What will you respond to?• Response Criteria

– How will you respond (level of resources)• Closure Criteria

– How will you know when you are done?

Developing Criteria: Engagement Criteria and Level of Response

• Available Resources and Services• Severity

– Extent– Immediacy

• Vulnerable Populations– Lead: Children, child-care, school, EBL– Mold: Asthmatic or respiratory distress

What Will You Do? Response Options

• Advice• Notification and Technical Assistance• Site Assessment and Documentation• Compliance Monitoring• Enforcement Referrals

Assessment Criteria

• Visual or Testing?– Lead:

• EBL 15+: Environmental Test• EBL 7-14: Home Visit Visual-Presume• Unsafe Renovation: Visual-Presume

– Mold: Visual

Unsafe Renovation (Lead)

Review-Voluntary Compliance Elements

• Intake and Assessment• On-Site Assessment• Owner Engagement• Technical Advisement and

Compliance Monitoring• Enforcement Referral

– Where available and appropriate

Initial Inquiry/Complaint• Intake

– Gather information– Provide advice, response options

• Assess– Active– Severity

• Research• Phone calls-renovator and owner• Site Visit?

Site Assessment

Owner Notification

Why we are involved &- lead safety codes- Assessment Findings- Problem/Health Impact- Requirements /

Consequences- Offer of Assistance- Timeframe for response

Standards: State Law EPA RRP (where applicable)

Work Practices Improvement

4%

18%

52%

22%

4%

Initial13%

48%

13%

13%

13%

After Intervention

26%

26%

4%

13%

17%

13%

End of Monitoring

Closure Time Periods

FY 10 FY 12

# of incidents 59 77

Closed within:

30 days 31% 34%

60 days 37% 53%

90 days 49% 73%

Advancing Safe and Healthy Housing for Families and Children

• Assessment• Family Interview• Basic Environmental Treatment• Owner Notification and Engagement

– Letter– Scheduled Appointment– Follow-up for 3 months

• Enforcement Support-Oakland HH Pilot

Standards: HHRS 29 Hazards

Housing Health and Safety Assessment Report

• Assessment date, type and disclaimer

• Verify/Correct by qualified person

• HHD available for consultation

Housing Health and Safety Assessment Report

• Deficiency• Location• Health Risk• Recommended

Correction

Oakland Healthy Homes Pilot Project• Oakland

– Building Services– Housing Assistance Center

• Alameda County– Healthy Homes– Asthma Start– Place Matters

• Community/Tenant Groups• Also: Legal Aid, Vector Control, Health Care

Results

Project % w/owner Owner $

repairs Avg./unit

HUD FY09 HH 26% $1,115

ASHHI 49% $ 680

Further Evaluation

• Most serious repairs addressed?• Type, extent and severity of unaddressed

items?• Longer term impact?• Resources required.

Mold

• Phone Consults• Gathering Information• Referral to building department

– Advice about effective complaint• Moisture, water intrusion, water leak• Don’t say “mold”

Standards:Public Health Department Statements

Gather InformationMold Calls

July 2012-June 2013

Alameda 5Albany 0Berkeley 6Dublin 0Emeryville 0Fremont 1Hayward 4Livermore 0Newark 0Oakland 29Piedmont 0Pleasanton 0San Leandro 10Union City 0Unincorporated

Castro Valley 2San Lorenzo 4

Total 61

July 0

August 2

September 0

October 4

November 3

December 2

January 11

February 11

March 8

April 11

May 6

June 3

Mold

• Next Steps-

Challenges and Barriers

• Managing Expectations– You can’t make everyone happy– People hear what they want to hear– Be clear to yourself about what you will do– Deliver clear messages about expectations– Provide referrals to enforcement agencies

Challenges and Barriers

• Larger Conflicts– Maintain fair and neutral stance– Referral to:

• Mediation• Legal Aid• Tenant or Rental Owner organizations

Measures of Efficacy• Anecdotal• Median Days to Closure• Compliance at:

– Initial Visit– 2nd Visit

• Owner Contribution - %, $• Year over year changes in compliance• Compliance difference when RRP

certified?

Works Better With:

• Commitment to the process– Interdisciplinary Collaboration

• Willingness to start without all the answers• Housing/Health/Outreach

expertise/partners• Link corrective actions to existing

standards

Works Better With:

• Standard Process• Good Documentation• Referral Network• Resources

Skills

• Listening, Communicating and Educating

• Mediation• Housing Assessment• Health Connection• Develop collaborative relationships

Review-Voluntary Compliance Model

• Triaged Response• On-Site Assessment• Owner Engagement• Technical Advisement and

Compliance Monitoring• Enforcement Referral

– Where available and appropriate

Alameda County

Healthy Homes Department

Community Development Agency

Dale.Hagen@acgov.org

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