+---------------+-----------------+------+--------------+-------------+
| **Guide for   |                 |      |              |             |
| Review of     |                 |      |              |             |
| Lead-Based    |                 |      |              |             |
| Paint         |                 |      |              |             |
| Compliance    |                 |      |              |             |
| in**          |                 |      |              |             |
|               |                 |      |              |             |
| **Properties  |                 |      |              |             |
| Receiving     |                 |      |              |             |
| Federal       |                 |      |              |             |
| R             |                 |      |              |             |
| ehabilitation |                 |      |              |             |
| Assistance**  |                 |      |              |             |
+---------------+-----------------+------+--------------+-------------+
| **Name of     |                 |      |              |             |
| Program       |                 |      |              |             |
| P             |                 |      |              |             |
| articipant:** |                 |      |              |             |
|               |                 |      |              |             |
|               |                 |      |              |             |
+---------------+-----------------+------+--------------+-------------+
| **Program     |                 |      |              |             |
| Participant   |                 |      |              |             |
| Staff         |                 |      |              |             |
| Consulted:**  |                 |      |              |             |
|               |                 |      |              |             |
|               |                 |      |              |             |
+---------------+-----------------+------+--------------+-------------+
| **Name of HUD |                 |      |              |             |
| Grant Program |                 |      |              |             |
| Reviewed:**   |                 |      |              |             |
|               |                 |      |              |             |
|               |                 |      |              |             |
+---------------+-----------------+------+--------------+-------------+
| **Owner Name  |                 | **   |              |             |
| and Address   |                 | Date |              |             |
| of Assisted   |                 | F    |              |             |
| Project:**    |                 | unds |              |             |
|               |                 | Aw   |              |             |
|               |                 | arde |              |             |
|               |                 | d:** |              |             |
|               |                 |      |              |             |
|               |                 |      |              |             |
|               |                 |      |              |             |
+---------------+-----------------+------+--------------+-------------+
| **Name(s) of  |                 |      | **Date of    |             |
| HUD           |                 |      | Review:**    |             |
| R             |                 |      |              |             |
| eviewer(s):** |                 |      |              |             |
+---------------+-----------------+------+--------------+-------------+

**NOTE:** All questions that address requirements contain the citation
for the source of the requirement (statute, regulation, NOFA, or grant
agreement). If the requirement is not met, HUD must make a finding of
noncompliance. All other questions (questions that do not contain the
citation for the requirement) do not address requirements, but are
included to assist the reviewer in understanding the participant\'s
program more fully and/or to identify issues that, if not properly
addressed, could result in deficient performance. Negative conclusions
to these questions may result in a \"concern\" being raised, but not a
\"**finding**.\"

**[Instructions]{.underline}:** This Exhibit is designed to monitor
rehabilitation activities for the program overall and for individual
rehabilitation projects. This Exhibit is divided into six sections to be
used as follows:

-   Section A, Program Reviews, is for reviewing the program's overall
    compliance;

-   Section B, File Review, is for reviewing requirements that apply to
    all rehabilitation projects;

-   Section C, Specific Requirements for Levels of Rehabilitation
    Assistance, applies based upon the amount of rehabilitation
    assistance provided for the project file selected for review. This
    section contains three levels: individual projects receiving
    rehabilitation assistance up to \$5,000 per project; projects
    receiving rehabilitation assistance over \$5,000 and up to \$25,000
    per unit; and projects receiving rehabilitation assistance over
    \$25,000 per unit;

-   Section D applies to HOME rental projects;

-   Section E applies to rehabilitation in insular areas and

-   Section F for a summary listing of any identified findings or
    concerns.

The definition of each level of assistance can be found at 24 CFR
35.915. If you select "NA" for your response, please explain why the
question does not apply. Information on LBP sampling guidance and
developing corrective actions is given in Chapter 24, Section 24-6.
Copies of monitoring reports addressing lead-based paint, including
completed Exhibits, are to be sent to the Office of Healthy Homes and
Lead Hazard Compliance, per Section 24-6 of the introduction to this
Chapter.

**[Questions:]{.underline}**

a\. [Program review]{.underline}

1\.

+------------------------------------------------------------+---------+
| Does the program consistently and accurately assess        |         |
| projects for possible exemption from the requirements of   |         |
| 24 CFR 35?                                                 |         |
|                                                            |         |
| \[24 CFR 35.115\]                                          |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

2\.

  ------------------------------------------------------------- ---------
  Does the program participant have staff that is knowledgeable 
  about HUD's lead-based paint regulations?                     

  **Describe Basis for Conclusion:**                            

                                                                
  ------------------------------------------------------------- ---------

3\.

+------------------------------------------------------------+---------+
| Does the program ensure that lead safe work practices are  |         |
| used during rehabilitation work on painted surfaces larger |         |
| than the *de minimis* amounts \[specified in 24 CFR        |         |
| 35.1350(d)\] that are known or presumed to have lead, and  |         |
| is all disturbed paint routinely and properly repaired?    |         |
|                                                            |         |
| \[24 CFR 35.930(b)(2)\]                                    |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

4\.

+----------------------------------------------------------+-----------+
| Where the Lead Safe Housing Rule requires temporary      |           |
| relocation, does the program ensure that occupants are   |           |
| relocated to units free of lead hazards and their        |           |
| belongings are protected?                                |           |
|                                                          |           |
| \[24 CFR 35.1345(a)(2)\]                                 |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

5\.

+------------------------------------------------------------+---------+
| Does the program ensure that the Lead Safe Housing Rule's  |         |
| requirements regarding worker and occupant safety are      |         |
| shared with the entities and individuals who perform the   |         |
| rehabilitation work on painted surfaces, such as           |         |
| contractors and subrecipients (e.g., subgrantees,          |         |
| nonprofits, Community Housing Development Organizations,   |         |
| Community Development Corporations, and volunteer groups)? |         |
|                                                            |         |
| \[24 CFR 35.900(a) and (b); 24 CFR 35.1350 and 24 CFR      |         |
| 35.1345\]                                                  |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

B. [individual file review]{.underline} (answer these questions for each
project file reviewed.)

+-----------------------------------------------------------------------+
| **Name of Program Participant or Entity Carrying Out the              |
| Rehabilitation Project:**                                             |
|                                                                       |
|                                                                       |
+-----------------------------------------------------------------------+

6\.

+------------------------------------------------------------+---------+
| Was this specific rehabilitation project evaluated for     |         |
| applicability of the Lead Safe Housing Rule? (If the       |         |
| response is "yes" AND the project meets the regulatory     |         |
| exemption standards, STOP HERE. If "yes" and the project   |         |
| is [not]{.underline} exempt, continue with the remaining   |         |
| questions in this Section B as well as the Section that    |         |
| applies to the level of rehabilitation assistance provided |         |
| to this project.)                                          |         |
|                                                            |         |
| \[24 CFR 35.115\]                                          |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

7\.

+------------------------------------------------------------+---------+
| Was the level of rehabilitation assistance (or total       |         |
| amount of Federal housing assistance) for this project     |         |
| calculated correctly and documented in the project file?   |         |
|                                                            |         |
| \[24 CFR 35.915\]                                          |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
+------------------------------------------------------------+---------+
|                                                            |         |
+------------------------------------------------------------+---------+

8\.

+------------------------------------------------------------+---------+
| Does the project file include the following documents (to  |         |
| be kept for at least three years) necessary to demonstrate |         |
| compliance with the requirements of the Lead Safe Housing  |         |
| Rule:                                                      |         |
+------------------------------------------------------------+---------+
| a\. Documentation of receipt by homeowner or occupant of   |         |
| the Lead Hazard Information Pamphlet?                      |         |
|                                                            |         |
| > \[24 CFR 35.910(b)\]                                     |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
|                                                            |         |
|                                                            |         |
+------------------------------------------------------------+---------+

+------------------------------------------------------------+---------+
| b.  Notices to Residents: Notice of Lead Hazard Evaluation |         |
|     (if paint testing was performed) or a Notice of        |         |
|     Presumption (if no paint testing was performed).       |         |
|     ([Note]{.underline}: If interim controls or abatement  |         |
|     are electively performed at this level of              |         |
|     rehabilitation assistance, then a Notice of Lead       |         |
|     Hazard Reduction must be provided to the residents.)   |         |
|                                                            |         |
| > \[24 CFR 35.910(a)\]                                     |         |
+------------------------------------------------------------+---------+
| **Describe Basis for Conclusion:**                         |         |
|                                                            |         |
|                                                            |         |
+------------------------------------------------------------+---------+

+----------------------------------------------------------+-----------+
| c\. A paint testing report (if testing was performed)    |           |
| performed by a certified inspector or risk assessor?     |           |
|                                                          |           |
| > \[24 CFR 35.930(b)(1)\]                                |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
|                                                          |           |
|                                                          |           |
+----------------------------------------------------------+-----------+

+----------------------------------------------------------+-----------+
| d\. A clearance report showing the unit, or the worksite |           |
| if it was contained, passed clearance (if lead-based     |           |
| paint is known or presumed to be in the unit and the     |           |
| amount of material to be disturbed is above the *de      |           |
| minimis* threshold)?\                                    |           |
| \[24 CFR 35.1340(c)\]                                    |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
|                                                          |           |
|                                                          |           |
+----------------------------------------------------------+-----------+

9\.

  ------------------------------------------------------------- ---------
  a\. Was work performed on painted surfaces where lead-based   
  paint was known or presumed present in the work area above    
  the *de minimis* threshold amount? (If the answer is no, skip 
  the rest of question 9.)                                      

  **Describe Basis for Conclusion:**                            

                                                                
  ------------------------------------------------------------- ---------

+----------------------------------------------------------+-----------+
| b\. Based on your review, were occupants and their       |           |
| belongings protected during work (e.g., documentation of |           |
| relocation, language in rehabilitation contract,         |           |
| homeowners' agreement, or other appropriate document)?   |           |
|                                                          |           |
| > \[24 CFR 35.1345\]                                     |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

+----------------------------------------------------------+-----------+
| c\. Based on your review, were workers (including        |           |
| volunteers) trained or supervised and did workers use    |           |
| lead safe work practices on work larger than the *de     |           |
| minimis* amounts (e.g., on-site reviews during work , a  |           |
| signed certification by the contractor)? (Note that      |           |
| intent to use practices does not satisfy this            |           |
| requirement.)                                            |           |
|                                                          |           |
| \[24 CFR 35.930(b)(2)\]                                  |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

c\. [SPECIFIC REQUIREMENTS FOR REHABILITATION ASSISTANCE]{.underline}
(Select the question that applies to the level of assistance provided.)

10\. [For Rehabilitation Assistance Up To and Including \$5,000 Per
Unit]{.underline}

+----------------------------------------------------------+-----------+
| Did the project include repair of all painted surfaces   |           |
| disturbed during rehabilitation?                         |           |
|                                                          |           |
| \[24 CFR 35.930(b)(2)\]                                  |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

11\. [For Rehabilitation Assistance Over \$5,000 and Up To \$25,000 Per
Unit]{.underline}

+----------------------------------------------------------+-----------+
| > a\. Was a risk assessment report obtained (unless      |           |
| > lead-based paint hazards were presumed)?               |           |
| >                                                        |           |
| > \[24 CFR 35.930(c)(2)\]                                |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+
| b.  Were interim controls (or standard treatments, if    |           |
|     hazards are presumed) conducted for all lead-based   |           |
|     paint hazards identified in the risk assessment for  |           |
|     the property?                                        |           |
|                                                          |           |
| > \[24 CFR 35.930(c)(3)\]                                |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

12\. [For Rehabilitation Assistance Over \$25,000 Per Unit]{.underline}

+----------------------------------------------------------+-----------+
| a\. Was a risk assessment report obtained (unless        |           |
| lead-based paint hazards were presumed)?                 |           |
|                                                          |           |
| > \[24 CFR 35.930(d)(2)\]                                |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+
| b\. Was abatement conducted of all lead-based paint      |           |
| hazards identified by the risk assessment (or presumed   |           |
| to be present) for the property?                         |           |
|                                                          |           |
| > \[24 CFR 35.980(d)(3)\]                                |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

D. [For HOME Rental Projects Only]{.underline}

13\.

+----------------------------------------------------------+-----------+
| During its monitoring for compliance with housing        |           |
| quality standards during the period of affordability,    |           |
| does the program participant review HOME rental project  |           |
| owners' records to ensure that ongoing lead-based paint  |           |
| maintenance is being performed in accordance with 24 CFR |           |
| 35.1355(a)**?**                                          |           |
|                                                          |           |
| \[24 CFR 92.504(d)\]                                     |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

E. [FOR INSULAR AREAS ONLY]{.underline} (Answer the question below for
projects covered by the Lead Safe Housing Rule. Additional files may
need to be selected in order to review for lead-based paint compliance
in projects that are covered.)

14\.

+----------------------------------------------------------+-----------+
| a\. Based on this review, were workers (including        |           |
| volunteers) trained or supervised and did workers use    |           |
| lead safe work practices (e.g., on-site reviews during   |           |
| work or a signed certification by the contractor)?       |           |
| (Note: Intent to use lead safe work practices does not   |           |
| satisfy this requirement.)                               |           |
|                                                          |           |
| > \[24 CFR 35.940(a) or 24 CFR 35.940(b)(2); 24 CFR      |           |
| > 35.1350(b)\]                                           |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+
| b\. If the rehabilitation assistance was above \$5,000   |           |
| per unit, was a visual assessment for the deteriorated   |           |
| paint performed, and was all deteriorated paint          |           |
| stabilized?                                              |           |
|                                                          |           |
| > \[24 CFR 35.940(b); 24 CFR 35.1340\]                   |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+
| c\. Did the clearance report show the unit (or the       |           |
| worksite, if it was contained) passed clearance (if      |           |
| lead-based paint is known or was presumed to be in the   |           |
| unit and the amount of material to be disturbed was      |           |
| above the *de minimis* threshold)?                       |           |
|                                                          |           |
| > \[24 CFR 35.940(a)(2) or 24 CFR 35.940(b)(3); 24 CFR   |           |
| > 35.1340\]                                              |           |
+----------------------------------------------------------+-----------+
| **Describe Basis for Conclusion:**                       |           |
+----------------------------------------------------------+-----------+
|                                                          |           |
+----------------------------------------------------------+-----------+

**F. [EXHIBIT SUMMARY:]{.underline}**

  -----------------------------------------------------------------------
  For any findings or concerns identified in this Exhibit, list the
  number of the question below in the appropriate column:

  **Finding Question #: Concern Question #:**

             
  -----------------------------------------------------------------------