HomeMy WebLinkAbout025560 - General - Contract - Far Greater Northside Historical Neighborhood AssociationCITY SECR�'TARY � r' � r °
CONi'i�ACT NO . �� �.� ._�' �p
STATE OF TEXAS §
COUNTY OF TARRANT §
THIS contract is made and entered into by and between the City of Fort Worth ("City"), acting
by and through Libby Watson, its duly authorized Assistant City Manager, and Far Greater Northside
Historical Neighborhood Association ("Contractor"), by and through Burl Hampton, its duly
authorized President. Contractor's business address is 2902 Lula Street, Fort Worth, Texas 76106.
WHEREAS, the City of Fort Worth has received gant monies from the United States
Department of Housing and Urban Development ("HUD") through the Community Development
Block Grant ("CDBG") and,
WHEREAS, the primary purpose of the CDBG Progam is the development of viable urban
communities, by providing decent housing, a suitable living environment and expanding economic
opportunities, principally for persons of low and moderate income; and
WHEREAS, the citizens of Fort Worth and the City Council of Fort Worth have determined
that neighborhood revitalization is needed to assist persons of low and moderate income in Fort Worth
and have designed the Model Blocks Program as a primary means of assisting those neighborhoods to
achieve revitalization; and
WHEREAS, the Far Greater Northside neighborhood has adopted a comprehensive
revitalization strategy for the area and was selected on August 10, 1999, to receive from the City of
Fort Worth a Model Blocks award of $1.2 million for neighborhood revitalization; and
WHEREAS, Contractor is the implementing arm of the Far Greater Northside
neighborhood.
NOW, THEREFORE, THIS AGREEMENT FURTI�R WITNESSETH:
That, the parties covenant and agree as follows:
1. Scope of Services
a. The City hereby certifies that Contractor is a 501(c)(3), non-profit, development
corporation responsible for implementing the neighborhood revitalization strategy for the
Far Greater Northside Model Blocks area. Contractor will offer services in housing,
economic development, and public services in keeping with the comprehensive revitalization
strategy developed for the area. Contractor will undertake activities described in EX�TT
"A" - PROGRAM SUrMMARY in accordance with EXHIBIT "B" - PROGRAM TIlVIE
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b. Contractor agrees to meet the National Objective of activities benefiting low and
moderate income individuals contained in Section 507.208 of the Community
Development Block Grants of the HUD regulations ("Regulations"); and to maintain full
documentation supporting fulfillment of this National Objective in its files.
c. The City shall act through its agent, the City Manager, or his duly authorized
representative, unless otherwise stated in this contract. Contractor agrees to comply with
the uniform administrative requirements contained in Section 507.502 of the Community
Development Block Grants of the HUD Regulations. In addition, Contractor must comply
with requirements of Subchapter C of the Regulations. �
2. Duration
This contract period shall be for a term of two years, from the date of contract execution,
with a perfornnance review to be conducted by the City of Fort Worth at the end of tl�e first year.
Program measures are contained in E��IT "A". This Contract may be extended for one (1) one-
year term. Contractor shall request the extension in writing and submit the request to the City
sixty (60) days prior to the end of the Contract. The City may then approve extension of the
Contract for another year. It is specifically understood that it is the City.'s sole discretion whether
to approve or deny the request. if no request for extension is received after the expiration of the
term of two (2) years, the unexpended balance shall automatically revert to the City's CDBG
Program Fund. In such event, the contract is deemed terminated.
3. FundinQ
City will provide the Contractor with CDBG monies in an amount not to exceed a total of two
hundred seventy thousand dollars ($270,000) to be used as follows in the Far Greater Northside Model
Blocks area:
a. Housing Development Projects, in an amount not to exceed one-hundred ninety
thousand dollars ($190,000).
b. Economic Development Activities - Market Study, in an amount not to exceed ten
thousand dollars ($10,000).�
c. Public Services-landscaping homeowner lots, in an amount not to exceed ten thousand
dollars ($10,000).
d. Program Operations, in an amount not to exceed sixty thousand dollars ($60,000).
These funds must be expended in accordance with EXHIBIT "C" — OPERATING
BUDGET. Contractor may not increase or decrease line-item amounts in its program
budget for program operations without the prior written approval of the City.
All of the above activities must conform to rules and regulations as set forth in 24CFR570.
Contractor will notify the City promptly of any, additional funding it receives for operation of
the Program, and City reserves the right to amend the program budget in such instances.
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Contractor will not commingle CDBG monies with any other funds in any manner which
would prevent the City from readily identifying program expenditures for operation of the Program.
4. Contractor and Subcontt�actor Agreements
Contractor agrees that all work on the project will be performed under written contracts,
and Contractor will ensure that all subcontracted work is performed under written contracts
between the General Contractor or Project Manager and subcontractors and suppliers. Copies of
contracts between General Contractor or Project Manager and all subcontractors performing
work on the project must be submitted to City prior to work being performed. Contractor will
require that the General Contractor or Project Manager make payments to all subcontractors,
laborers and suppliers by check.
Contractor will require all construction contractors and subcontractors to comply with the
procedures concerning lead-based paint hazards, in accordance with EXHIBIT "D" - LEAD
BASED PAINT GUIDELINES, attached hereto and made a part of this contract.
S. Inspection by City
Contractor agrees to cooperate with City in arranging for inspections by representatives
of the City of the progress of construction from time to time and will promptly comply with
City's requirements and remedy any unsatisfactory conditions regarding construction or the
progress thereof.
6. Monitoring by City
a. City will monitor the performance of the Contractor against the performance
standards required under this Contract not less than annually. Substandard performance as
determined by City will constitute noncompliance with this Contract. If action to correct
such substandard performance is not taken by Contractor within a reasonable period of
time after being notified in writing by City, contract suspension or termination procedures
will be initiated.
b. Contractor agrees to fully cooperate with City in monitoring the Program. In this
regard Contractor agrees to keep records sufficient to document its compliance with all
applicable laws, regulations and Contract terms. In addition, Contractor agrees to fully
document- all Program expenditures charged to CDBG funds. The documentation must
support the amounts charged to the Program and demonstrate that the expenditures were
appropriate to the stated goals of the Program and allowable under applicable federal,
state and City guidelines. The City shall have access at all reasonable hours to offices and
records (dealing with the use of the funds that are the basis of this Contract) of
Contractor, its ofiicers, directors, agents, employees, and subcontractors for the purpose
of such monitoring.
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c. Contractor agrees to likewise monitor the effectiveness of the services and work to be
performed by its subcontractors.
7. Income Eligibility
The City uses the income definitions used by the Section 8 Program. Annual income
includes earned income, income from assets, and income from other sources as defined by 24
CFR Part 5. Annual income is used to establish client eligibility. Contractor agrees to abide by
HUD income guidelines, which are specific to the type of project that is undertaken by
Contractor. Contractor shall use the most current Income Limits for Low-Income and Very
Low-Income Families published by HUD to determine program eligibility.
8. Affirmative Marketing
Contractor must adopt affirmative marketing procedures and requirements for the housing
units developed under this Contract. The procedures and requirements must include methods for
informing the public and potential buyers about fair housing laws and policies so as to ensure
that individuals, without regard to race, creed, nationality or religion, are giveri an equal
opportunity to participate in the Program. The Contractor will be solely responsible for the
effective marketing responsibilities necessary to achieve the Program measures as set forth in
EXHIBIT "A".
9. Housing �uality Standards
For all housing units rehabilitated under this Contract, the Contractor is required to meet
HUD Housing Quality Standards (HQS), as well as City of Fort Worth Rehabilitation Standards,
and local housing codes and ordinances.
10. Uniform Administrative Requirements and Cost Principles
a. Financial Management
i. Accounting Standards
The Contractor agrees to comply with 24 CFR 84.21 and agrees to adhere to the
accounting principles and procedures required therein, utilize adequate internal
controls, and maintain necessary source documentation for all costs incurred.
ii. Cost Principles .
Contractor shall administer the Program in conformance with OMB Circular A-122,
"Cost Principles for Non-Profit Organizations" and attachments and revisions thereto,
regarding principles for determining costs for the Program.
b. Documentation and Record Keeping
i. Contractor shall maintain all records pertinent to the activities to be funded
under this Agreement required by HUD regulations specified in 24 CFR § 570.506. In
addition, Contractor agrees to keep records to fully document all expenditures
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charged to the CDBG program. The documentation must support the amounts
charged to Program and demonstrate that the expenditures were appropriate to the
stated goals of the Program and allowable under applicable federal, state and City
guidelines.
ii. Retention
(1) All records pertaining to Program shall be retained for five (5) years following
the date of termination of this contract. Contractor may destroy Program records
at the end of this five (5) year period if no outstanding audit finding exists.
(2) Contractor will maintain real property inventory records which clearly identify
properties purchased, improved, or sold. Properties retained shall meet eligibility
criteria and shall conform with 24 CFR § 570.505.
iii. Close Outs
Contractor's obligation to City shall not end until all close-out requirements are
completed. Activities during this close-out period shall include, but are not limited
to: making final payments, disposing of program assets (including the return of all
unused materials, equipment, unspent cash advances, program income balances, and
accounts receivable to City), and determining the custodianship of records.
iv. Audits and Inspections
(1) City, HUD, and the United States Comptroller General, or their
representatives, shall have access to any books, documents, records and papers
relating to the operations of Contractor under this contract for the purpose of
audit, examination, exception and transcription at all reasonable hours at all
offices of Contractor.
(2) For all contracts in the amount of $300,000 or more, Contractor must submit
to City an annual audit prepared in accordance' with 24 CFR Sections § 570.502-
570.503 generally, with specific reference to OMB Circulars (with attachments)
A-122 and A-133 as appropriate. The audit may cover either Contractor's fiscal
year during which this contract is in force or cover the period of this contract. The
audit must be prepared by an independent certified public accountant, be
completed within twelve (12) months following the end of the period being
audited and be submitted to City within thirty (30) days of its completion.
Contractor's audit schedule is attached hereto as EXHIEIT "E" - AUDIT
SCHEDULE. Costs of preparation of this audit may be an allowable expenditl�re
of CDBG funds in an amount proportional to that of the CDBG funds used in
contractor's total agency operating budget.
(3) City reserves the right to perform an audit of Contractor's program operations
and finances at any time during the term of this contract, if City determines that
such audit is necessary for City's compliance with OMB Circular A-128. City
will perform six (6) month and year-end financial and programmatic audits with
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periodic site visits as appropriate. Contractor agrees to allow access to all
pertinent materials. If such audit reveals a questioned practice or expenditure,
such questions must be resolved within fifteen (15) days after notice to
Contractor. If questions are not resolved within.this period, City reserves the right
to withhold further funding under this and/or future contract(s).
(4) If as a result of any audit it is determined that Contractor has misused,
misapplied or misappropriated all or any part of the grant funds described herein,
Contractor agrees to reimburse the City the amount of such monies misused,
misapplied or misappropriated, plus the amount of any sanction, penalty or other
charge levied against City because of such misuse, misapplication or
misappropriation.
c. Procurement
i. Compliance
The Contractor shall comply with City policy concerning the purchase of equipment
and shall maintain inventory records of all non-expendable personal property, as
defined by �such policy, procured with funds provided herein.
ii. OMB Standards
The Contractor shall procure all materials, property, or services in accordance with
the requirements of 24 CFR 84, Procurement� Standards and Property Management
Standards as modified by 24 CFR 570.502(b)(6), covering, covering utilization and
disposal of property.
iii. Contractor agrees that all work on the project will be performed under written
contracts, and Contractor will ensure that all subcontracted work is performed under
written contracts between the General Contractor or Project Manager and
subcontractors and suppliers. Funds will be withheld on any Request for Funds to the
City for goods or services for which there is no written agreement, or for which the
written agreement was not approved by the City.
11. Reporting Procedures
a. Financial Reports
Contractor will submit to City on a monthly basis an invoice for services and
activities accomplished by Contractor in performance of this� Contract. The invoice must
be signed by a duly authorized agent of Contractor and submitted by the 15`�' of the month
following the month being reported.
b. Performance Reports
Contractor will submit to City on a monthly basis: (1) Attachment I and (2)
Attachment I(A}, Pxogram Services Report to City for services and activities
accomplished by Contractor in performance of this contract. The report will be signed by
a duly authorized agent of Contractor and submitted by the 15`h of the month following
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the month which is reportetl.
12. Reversion ofAssets
a. Contractor agrees to return to City any CDBG funds remaining on hand at the end of
the Contract.
b. All property purchased with CDBG funds under this contract will be used solely for
operation of the Program. Contractor agrees to obtain City approval prior to purchase of
property. Contractor agrees to notify City upon receipt of property so that it may be
properly tagged and inventoried. Title to such property will be vested with the City, and,
at the termination of the Program for which CDBG funds have been received, Contractor
will deliver all such property to City for disposition at City's sole discretion.
c. In the event the Contractor is dissolved, this contract shall thereupon terminate. In
the event this contract is terminated with or without cause, or for any reason whatsoever,
all assets of the CDBG funds including cash, interest payments thereon from loans or
otherwise, all outstanding notes, mortgages and other instruments to secure CDBG funds
and any real property owned by the Contractor that was acquired or improved with
CDBG funds shall belong to the City and shall be transferred to the City .or to such
assignees as the City may designate.
13. Applicable Laws
a. Federal
Contractor agrees to comply with the following laws and the regulations issued
thereunder as they are currently written or are hereafter amended during performance of
this contract:
• Title VI of the Civil Rights Act of 1964 (42 USC 2000d et seq)
• Title VTII of the Civil Rights Act of 1968 (42 USC 3601 et seq)
• Executive Orders 11063, 11246, as amended by 11375 and as supplemented by
Department of Labor regulations (41 CFR , Part 60)
• The Age Discrimination Act of 1975 (42 USC 6101-07 and implementing
regulations at 24 CFR part 146)
• The National Environmental Policy Act of 1969 (NEPA) and the related
authorities listed HUD's implementing regulations (24 CFR Part 58).
• Section 504 of the Rehabilitation Act of 1973 (29 USC 794)
• The Immigration Reform and Control Act of 1986 (Pub. L. 99-603, 100 Stat. 3359,
as amended), specifically including the provisions requiring employer verification
of the legal status of its employees
• The Housing and Community Development Act of 1987 (Pub. L. 100-242, 101
Stat. 1815, as amended)
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• The National Afforc�able Housing Act of 1990
• The Americans with Disabilities Act of 1990 (42 USC 12101 et seq)
• The Drug Free Workplace Act of 1988 (24 CFR part 23, subpart F)
b. Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 USC
1701
As the work to be perfoxmed under this contract is on a project assisted under a
program providing direct Federal financial assistance from HUD and is subject to the
requirements of Section 3 of the Housing and Urban Development Act of 1968, as
amended, 12 USC 1701, Contractor convenants to abide by the requirements of the said
Section 3. It requires as follows:
i. That, to the greatest extent feasible, opportunities for training and employment be
given to lower income residents of the project area, and
ii. That, to the greatest extent feasible, contracts for work in connection with the
project be awarded to business concerns which are located in or owned in substantial
part by persons residing in the area of the project.
Contractor will comply with the � provisions of said Section 3 and the regulations
issued pursuant thereto by HUD, set forth in 24 CFR 135, and all applicable rules and
orders of the Department issued thereunder prior to the execution of this contract.
Contractor certifies and agrees that it is under no contractual or other disability which
would prevent it from complying with these requirements.
Contractor agrees that it will send to each labor organization or representative of
workers with which it has a collective bargaining agreement or other contract or
understanding, if any, a notice advising the said labor organization or workers
representatives of its commitments under this Section 3 clause and shall post copies of
the notice in conspicuous places a�ailable to employees and applicants for employment or
training. .
Contractor agrees that it will include the said Section 3 clause in every subcontract
for work in connection with the project and will, at direction of City, take appropriate
action pursuant to the subcontract upon a finding that the subcontractor is in violation of
regulations issued by HUD, 24 CFR 135.
Contractor agrees that it will not subcontract with any subcontractor where it has
notice or knowledge that the latter has been found in violation of regulations under 24
CFR 135 and will not let any contract unless the subcontractor has first provided
Contractor with a preliminary statement of ability to comply with the requirements of
these regulations.
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City and Contractor understand and agree that compliance with the provisions of
Section 3, the regulations set forth in 24 CFR 135, and all applicable rules and orders of
the Department issued thereunder prior to the execution of this contract shall be a
condition of the Federal financial assistance provided to the project, binding upon the
City and the Contractor, and their respective successors, assigns and subcontractors.
Failure to fulfill these requirements shall subject Contractor and its subcontractors, its
successors and assignees, to those sanctions specified by the Grant Agreement through
which Federal assistance is provided and to such sanctions as are specified by 24 CFR
135.
c. Clean Air Act; Clean Water Act; Environmental Protection Agency Acts (EPA) and
Regulations .
This contract is subject to the requirements of �a, ection 306 of the Clean Air Act, as
amended (42 USC 1857(h) et seq.), Section 508 of the Clean Water Act (33 USC 1368),
Water Pollution Control Act, as amended (33 USC 125 � et seq.) and the regulations of EPA
with respect thereto at 40 CFR, Part 15, as amended fro,m time to time, and Executive Order
11738 (42 USC 7606 nt.). In compliance with said regulations, Contractor agrees and, with
respect to any nonexempt transaction, shall require each subcontractor to agree to the
following requirements:
i. A stipulation that no facility to be utilized in th� performance of nonexempt contract
or subcontract work is included on the List of Violating Facilities issued by EPA
pursuant to 40 CFR 15.20;
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ii. Compliance with all the requirements of Section 114 of the Clean Air Act, as
amended (42 USC 1857c-8), and Section 308 of the Federal Water Pollution Control
Act, as am.ended (33 USC 1318), relating to inspection, monitoring, entry, reports and
information, as well as all other requirements specified in said Section 114 and Section
308 and all regulations and guidelines issued hereu�der;
iii. A stipulation that, as a condition for the award of the contract, prompt notice will
be given of any notification received from the Director, Office of Federal Activities,
EPA, indicating that a facility utilized or to b� utilized for the contract is under
consideration to be listed on the EPA List of Viola�ing Facilities;
iv. Agreement by Contractor that it will include or cause to be included the criteria
and requirements in Paragraphs (a) through (d) of this section in every nonexempt
subcontract, requiring that Contractor will take such action as the City may direct as a
means of enforcing such provisions. -
v. In no event shall any amount of the assistance provided under this contract be
utilized with respect to a facility which has given� rise to a conviction under the Clean
Air Act or the Clean Water Act. �
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d. Other Laws
Contractor covenants and agrees that its off cers, members, agents, employees,
program participants and subcontractors shall abide by and comply with all other laws,
Federal, State and local, reI'evant to the performance of this contract, including all
ordinances, rules and regulations of the City of Fort Worth and the Housing and
Community Development Act of 1974 (Pub. L. 93-383, 885 Stat. 633,), as amended, and
all regulations pertaining thereto. Contractor further promises and agrees that it has read,
and is familiar with, terms and conditions of the Community Development Block Grant
under which funds are granted and that it will fully comply with same. It is agreed and
understood that, if the City calls the attention of Contractor to any such violations on the
part of Contractor or any of its officers, members, agents, employees, program participants
or subcontractors, then Contractor shall immediately desist from and correct such violation.
14. Prohibition Against Discrimination
a. Generally
Contractor, in the execution, performance or attempted performance of this contract
and agreement, will not unlawfully discriminate against any person or persons because of
sex, race, religion, age, disability, color or national origin, nor will Coiitractor permit its
officers, members, agents, em�loyees, subcontractors or program participants to engage in
such discrimination.
b. Employment
During the performance of this contract Contractor agrees, and will require all of its
subcontractors to agree, as follows:
i. Contractor will not unlawfully discriminate against any employee or applicant for
employment because of sex, race, religion, age, disability, color or national origin.
Contractor will take affirmation action to ensure that applicants are employed and that
employees are treated during employment without unlawful regard to their sex, race,
religion, age, disability, color or national origin. Such action shall include, but not be
limited to, the following: employment, upgrading, demotion or transfer, recruitment or
recruitment advertising, layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship. Contractor agrees to
post in conspicuous places, available to employees and applicants for employment,
notices setting forth the provisions of this nondiscrimination clause.
ii.Contractor will, in all solicitations or advertisements for employees placed by or on
behalf of Contractor, state that all qualified applicants will receive consideration for
employment without regard to sex, race, religion, age, disability, color or national
origin.
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c. Age
i. In accordance with the policy of the Executive Branch of the Federal government,
Contractor covenants that neither it nor any of its officers, members, agents, employees,
program participants or subcontractors, while engaged in performing this contract, shall,
in connection with the employment, advancement or discharge of employees or in
connection with the terms, conditions or privileges of their employment, discriminate
against persons because of their age, except on the basis of a bona fide occupational
qualification, retirement plan or statutory requirement.
ii. Contractor further covenants that neither it nor its officers, members, agents,
employees, subcontractors, program participants, or persons acting on their behalf, shall
specify, in solicitations or advertisements for employees to work on this contract, a
maximum age limit for such employment unless the specified maximum age limit is
based upon a bona fide occupational qualification, retirement plan or statutory
requirement.
d. Disability
In accordance with the provisions of the Americans With Disabilities Act of 1990
("ADA"), Contractor warrants that it and any and all of its subcontractors will not
unlawfully discriminate on the basis of disability in the provision of services to the general
public, nor in the availability, terms and/or conditions of employment for applicants for
employment with, or employees of Contractor or any of its subcontractors. Contractor
warrants it will fully comply with ADA's provisions and any other applicable Federal, State
and local laws concerning disability and will defend, indemnify and hold the City harmless
against any claims or allegations asserted by third parties or subcontractors against the City
arising out of Contractor's and/or its subcontractors' alleged failure to comply with the
above-referenced laws concerning disability discrimination in the performance of this
agreement.
e. City Ordinances
This agreement is made, and entered into with reference specifically to the
ordinances codified at Chapter 17, Articl� III, Division 3("Discrimination in Employment
Practices"), of the City Code of the City of Fort Worth, and Contractor hereby covenants
and agrees that Contractor, its officers, members, agents, employees and subcontractors,
have fully complied with all provisions of same and that no employee, employee-applicant
or program participant has been discriminated against by the terms of such ordinances by
either the Contractor or its officers, members, agents, employees or subcontractors.
1 S. Prohibition Against Interest
a. No member, ofiicer or employee of the City or its designees or agents; no member of
the governing body of the locality in which the program is situated; and no other public
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official of such locality or localities, who exercises �ny functions or responsibilities with
respect to the program funded hereunder during his or her tenure or for one year thereafter,
shall have any interest, direct or indirect, in any contract or subcontract, or the_proceeds
thereof, for work to be performed hereunder. Contractor shall incorporate, or cause to be
incorporated, like language prohibiting such interest in all contracts and subcontracts
hereunder.
b. No member, officer, employee, or program participant of Contractor or its
subcontractors shall have a financial interest, direct or indirect, in this contract or the
monies transferred hereunder or be financially interested, directly or indirectly, in the sale to
Contractor of any land, materials, supplies or services purchased with any funds transferred
hereunder, except on behalf of Contractor, as an officer, employee, member or program
participant. Any willful violation of this paragraph with the knowledge, expressed or
implied, of Contractor or its subcontractors shall render this contract voidable by the City of
Fort Worth.
c. No member, officer, employee, agent, consultant, elected official or appointed official
of the participating jurisdiction, Contractor or its subcontractors who exercised any
functions or responsibilities with respect to activities assisted with CDBG funds or who
are in a position to participate in a decision making process or gain inside information
with regard to these activities, may obtain a financial interest or benefit from a CDBG
assisted activity, or have an interest in any contract, subcontract, or agreement with
respect thereto, or the proceeds thereunder, either for themselves or those with whom they
have family or business ties, during their tenure or for one year thereafter.
16. Minoriry and Women Business Enterprise Commitment
Contractor agrees to abide by the City of Fort Worth's policy to involve Minority and
Women Business Enterprises (MWBEs) in all phases of its procurement practices and to provide
them an equal opportunity to compete for contracts for construction, provision of professional
services, purchase of equipment and supplies and provision of other services required by City.
Therefore, Contractor agrees to incorporate City Ordinance No. 11923 and Ordinance No. 13471,
EXHIBIT "F", and all amendments or successor policies thereto, into all contracts and will
further require all persons or entities with whom it contracts to comply with said Policy.
17. Non Assignment
Contractor will not assign all or any part of its rights, privileges, responsibilities, or duties
under this contract without the prior written approval of the City. Any purported assignment
without such approval will constitute a breach of this contract and will be void in all respects. It is
agreed that the City has the right to inspect and approve in writing any proposed subcontracts
between Contractor and any subcontractor engaged in any activity in conjunction with this
CDBG funded project prior to any charges being incurred.
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18. Independent Contractor
a. Contractor shall operate hereunder as an independent contractor and not as an officer,
agent, servant or employee of the City. Contractor shall have exclusive control of, and the
exclusive right to control, the details of the work and services performed hereunder, and all
persons performing same, and shall be solely responsible for the acts and omissions of its
officers, members, agents, servants, employees, subcontractors, program participants,
licensees or invitees. The doctrine of respondent superior shall not apply as between the
City and Contractor, its officers, znembers, agents, servants, employees, subcontractors,
program participants, licensees or invitees, and nothing �herein shall be construed as creating
a partnership or joint enterprise between the City and Contractor. It is expressly understood
and agreed that no officer, member, agent, employee, subcontractor, licensee or invitee of
the Contractor, nor any program participant hereunder, is in the paid service of the City and
that the City does not have the legal right to control the details of the tasks performed
hereunder by Contractor, its officers, members, agents, employees, subcontractors, program
participants, licensees or invitees.
b. City shall in no way nor under any circumstances be responsible for any property
belonging to Contractor, its officers; members, agents, employees, subcontractors, program
participants, licensees or invitees, which may be lost, stolen, destroyed or in any way
damaged; and Contractor hereby indemnifies and holds harmless the City and its officers,
agents, and employees from and against any and all claims or suits.
19. Insurance and Bonding
a. Contractor covenants and agrees to indemnify, hold harmless and defend, at its own
expense, City and its officers, agents, servants and employees from and against any and
all claims or suits for property loss or damage and/or personal injury, including death, to
any and all persons, of whatsoever kind or character, whether real or asserted, arising out
of or in connection with the execution, performance, attempted performance or
nonperformance of this contract and agreement and/or the operations, activities and
services of the Program described herein, whether or not caused, in whole or in part, by
alleged negligence of officers, agents, servants, employees, contractors or subcontractors
of City; and Contractor hereby assumes all liability and responsibility of City and its
officers, agents, servants, and employees for any and all claims or suits for property loss
or damage and/or personal injury, including death, to any and all persons, of whatsoever
kinds or character, whether real or asserted, arising out of or in connection with the
execution, performance, attempted performance or non-performance of this contract and
agreement and/or the operations, activities and services of the programs described herein,
whether or not caused in whole or in part, by alleged negligence of officers, agents,
servants, employees, contractors or subcontractors of City. Contractor likewise
covenants and agrees to and does hereby indemnify and hold harmless City from and
against any and all injury, damage or destruction of property of City, arising out or in
connection with all acts or omissions of Contractor, its officers, members, agents,
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employees, subcontractors, invitees, licensees, or program participants, or caused, in
whole or in part, by alleged negligence of officers, agents, servants, employees,
contractors or subcontractors of City.
b. Contractor will maintain a blanket fidelity coverage in the form of an insurance bond
in the amount of $270,000, to insure against loss from the fraud, theft or dishonesty of
any of Contractor's officers, agents, trustees, directors or employees. The proceeds of
such bond shall be used to reimburse City for any and all loss of CDGB monies
occasioned by such misconduct. To effectuate such reimbursement, such bond shall
include a rider stating that reimbursement for any loss or losses thereunder shall be made
directly to City for the uses and benefit of Contractor.
c. Contractor shall furnish to the City , in a timely manner, certificates of insurance as
proof that it has secured and paid for policies of commercial insurance as specified
herein. Such insurance shall cover all insurable risks incident to or in connection with the
execution, performance, attempted performance or nonperformance of this contract and
agreement. Contractor shall maintain the following coverages and limits thereof:
i. Commercial General Liability Insurance
$1,000,000 each occurrence
$1,000,000 aggregate limit
ii. Business Automobile Liability Insurance
$1,000,000 each accident
Insurance policy shall be endorsed to cover "Any Auto".
Pending availability of the following coverage, and at the discretion of the
Contractor, the policy shall be the primary responding insurance policy versus a
personal auto insurance policy if or when in the course of Contractor's business as
contracted herein.
iii. Professional Liability Insurance
$ 500,000 each claim
In the event the insurance policy is written on a claims made basis, Contractor
shall agree to maintain such coverage a minimum of two (2) years post termination
of the contract agreement.
Note: This insurance shall cover the Contractor and any associated Board of Directors
members.
iv. Workers' Compensation Insurance
Part A: Statutory Limits .
Part B: Employer's Liability
$500,000 each accident
$500,000 disease - each employee
$500,000 disease — policy limit �
Note: Such insurance shall cover employees performing work on any and all projects
14
including' but not limitecl to construction, demolition, rehabilitation. Coverage shall be
maintained by Contractor or its subcontractors. In the event the respective
subcontractors do not maintain coverage, the Contractor shall maintain the coverage
on such subcontractors for each applicable subcontract.
v. Asbestos Abatement/Lead Abatement/Poliution
(Environmental Impairment Liability Insurance)
$1,000,000 each occurrence .
Note: The primary purpose of this requirement is to cover risks associated with
demolition projects. The coverage would be acceptable to the City of Fort Worth as
endorsed onto a Commercial General Liability insurance policy or provided under a
separate insurance policy.
vi. Additional Requirements
Such insurance amounts shall be revised upward at City's option and that
Contractor shall revise such amounts within thirty (30) days following notice to
Contractor of such requirements.
Contractor will submit to City document that it has obtained insurance
coverage and has executed bonds as required in this contract and prior to payment of
any monies hereunder.
Each insurance policy shall be endorsed to provide City with a maximum
sixty (60) days notice of cancellation, non-renewal, and/or material change in policy
terms or coverage. �
Insurance policies required herein shall be endorsed to include the City of Fort
Worth as an additional insured as its interests may appear. Additional insured parties
shall include employees, officers, agents, and volunteers of the City of Fort Worth.
The Workers' Compensation Insurance policy shall be endorsed to include a
waiver of subrogation, also referred to as a waiver of rights of recovery, in favor of
the City of Fort Worth.
Any failure on part of the City to request certificate(s) of insurance shall not
be construed as a waiver of such requirement nor as a waiver of the insurance
requirements themselves.
Insurers of Contractor's insurance policies shall be licensed to do business in �
the state of Texas by the Department of Insurance or be otherwise eligible and
authorized to business in the state of Texas. Insurers shall be acceptable to the City
insofar as their financial strength and solvency and each such company shall have a
current minimum A.M. Best Key Rating Guide rating of A:VII or other equivalent
insurance industry standard rating unless otherwise approved by the City of Fort
Worth.
Deductible limits on insurance policies shall not exceed $5,000 per occurrence
unless otherwise approved by the City of Fort Worth.
In the event there are any local, federal or other regulatory insurance or
bonding requirements for the housing program addressed in this contract, should such
requirements exceed those specified herein, the former shall prevail.
]5
Contractor shall furnish City proof that its procurement zneets the minimum
Federal requirements (24 CFR 85.36(h)) for contracts and subcontracts exceeding
$100,000 for bid guarantees, performance bonds, and payment bonds. These include:
• A bid guarantee from each bidder equivalent to five percent of the bid price. The
"bid guarantee" must be a firm commitment in the form of a bid bond, certified
check, or other negotiable instrument as assurance that the bidder is prepared to
execute a contract within the time specified for the bid amount;
• A performance bond from the (sub)contractor for 100 percent of the contract
price, to secure the (sub)cantractor's fulfillment of all obligations under the
contract; and, �
• A payment bond from the (sub)contractor for 100 percent of the contract price,
to assure payment of all persons supplying labor and material under the contract.
Contractor shall agree to require its subcontractors to maintain applicable
insurance coverages, limits, and other requirements as those specified herein; and,
Contractor shall require its subcontractors to provide Contractor with certificate(s) of
insurance documenting same; and, Contractor shall require its subcontractors to have
the City of Fort Worth and the Contractor endorsed as additional insureds (as their
interests may appear) on their respective insurance policies.
Contractor shall require its subcontractors to maintain builders rislc insurance
at the limit of applicable project(s) costs when the value of materials involved
exceeds $10,000 or at a different limit value limit as specified by the City of Fort
Worth.
20. Waiver of Immunity
If Contractor, as a charitable or nonprofit organization, has or claims an immunity or
exemption (statutory or otherwise) from and against liability for damages or injury, including death,
to persons or property, Contractor hereby expressly waives its rights to plead defensively such
immunity or exemption as against City. This section shall not be construed to affect a
governmental entity's immunities under constitutional, statutory or common law.
21. Termination
a. In addition to, and not in substitution for, other provisions of this Agreement
regarding the provision of public services with CDBG funds, pursuant to Title I of the
Housing and Community Development Act of 1974, as amended, it is expressly
understood and agreed by and between the parties hereto that this agreement is wholly
conditioned upon the actual receipt by City of Federal CDBG Year funds; that all monies
distributed to Contractor hereunder shall be exclusively from Federal monies received
under said grant and not from any monies of City; and that if such funds under said grant
are not timely forthcoming, in whole or in part, City may, at its sole discretion, terminate
this contract and agreement and City shall not be liable for payment for any work or
services performed by Contractor under or in connection with this contract.
16
b. City may terminate this contract whenever such termination is determined to be in the
best interest of City, or in event of Contractor's default, inability or failure to perform or
to comply with any of the terms herein, or for other good cause.
c. The parties acknowledge that CDBG funds paid hereunder are intended to provide
only partial funding for Contractor's program operations. If non-CDBG funds included in
the Operating Budget are not forthcoming to Contractor during the contract term, City
may terminate this contract.
d. CDBG funds provided hereunder may not be used as collateral for loans to Contractor
to defray program operation expenses, and any attempted use of CDBG funds for this
purpose will result in termination of this contract by City.
e. Termination will be effected by written notice to Contractor, specifying the portions
of the contract affected and the effective date of termination. Upon Contractor's receipt of
such termination notice, Contractor will: •
• Stop work under the contract on the date and to the extent specified by City; and
• Cease expenditures of CDBG monies, except as necessary for completion of the
portions of the contract not tarminated; and
• Terminate all orders and contracts to the extent that they relate to� terminated
portions of the contract.
f. Contractor will return to City any unused monies previously distributed by City under
this contract within thirty (30) days of the effective date of contract termination. City will
have no responsibility or liability for Contractor's expenditures or actions occurring after
the effective date of contract termination.
22. Certification Re�arding Lobbying
The undersigned representative of Contractor hereby certifies, to the best of his or
her lcnowledge and belief, that:
a. No federal appropriated funds have been paid or will be paid, by or on behalf of
Contractor, to any person for influencing or attempting to influence an officer or
employee of any agency, a member of Congress, an officer or employee of Congress or
an employee of a member of Congress in connection with the awarding of any federal
contract, the making of any federal grant, the making of any federal loan, the entering
into of any cooperative agreement and the extension, continuation, renewal, amendment,
or modification of any federal contract, grant, loan or cooperative agreement. Contractor
shall require that the language of this certification be included in all subcontracts or
agreements involving the expenditure of federal funds.
17
b. If any funds other than federal appropriated funds have been paid or will be paid to
any person for influencing or attempting to influence an officer or employee of any
agency, a member of Congress, an officer or employee of Congress, or an employee of a
member of Congress in connection with this federal contract, grant, loan or cooperative
agreement, Contractor shall complete and submit Standard Form-LLL, " Disclosure Form
to Report Lobbying," in accordance with its instructions.
23. Miscellaneous Provisions
a. All terms of this contract shall apply to any and all subcontractors of Contractor
which are in any way paid with CDBG funds or which perform any work in connection
with Contractor's program.
b. The provisions of this agreement are severable, and, if for any reason a clause,
sentence, paragraph or other part of this agreement shall be determined to be invalid by a
court ar federal or state agency, board or commission having jurisdiction over the subject
matter thereof, such invalidity shall not affect other provisions which can be given effect
without the invalid provision.
c. The paragraph headings contained herein are for convenience in reference to this
contract and are not intended to define or to limit the scope of any provision of this
contract.
d. The failure of the City to insist upon the perfdrmance of any term or provision of this
agreement or to exercise any right herein conferred shall not be construed as a waiver or
relinquishment to any extent of City's right to assert or rely upon any such term or right
on any future occasion.
e. Should any action, whether real or asserted, at law or in equity, arise out of the
execution, performance, attempted performance or nonperformance of this contract,
venue for said action shall lie in Tarrant County, Texas.
f. This written instrument and the exhibits attached hereto, which are incorporated by
reference and made a part of this contract for all purposes, constitute the entire contract
between the parties hereto concerning the work and services under this contract. Any
prior or contemporaneous oral or written agreement which purports to vary from the
terms of this contract shall be void. Any amendments to the terms of this contract must
be in writing and must be approved by each party to this contract.
1s
IN WITNESS WHEREOF, the parties hereto have executed four copies of this contract in Fort Worth, Tarrant
County, Texas, this ` c��, day of �t�,-�a�i�, , AD. 200C�'.
�j �
APPROVED AS TO FORM AND LEGALITY:
By:
sistant City Attorney
ATTEST:
ATTEST:
CITY OF FORT WORTH
BY� r� ��v�f
� �City Secretary
,�—'�_
B /�,,%�t , (.,
� � Libby tson, A,ssistant City Manager
��
(��- - /� 7 /�'
Gontract Authorization
���J�'�i��
Date
FAR GREATER NORTHSIDE HISTORICAL
NEIGHBORHOOD ASSOCIATION
BY� ` �JV 1--
Bu 1 Ham President
19
STATE OF TEXAS
COUNTY OF TARRANT
�
�
BEFORE ME, the undersigned authority, a Notary Public in and for the State of Texas, on this day personally
appeared Libby Watson, known to me to be the person whose name is subscribed to the foregoing instrument, and
acknowledged to me that the same was the act of the City of Fort Worth and that she executed the same as the act
of said City of Fort Worth for the purposes and consideration therein expressed and in the capacity therein stated.
GIVEN UNDER MY HAND AND SEAL OF OFFICE this
A.D. 20 �0 .
�.
t►�`"'"� EtOS�%.i.A B�R��
��. i�TAi�I( Pt�BLt� _
�ti s Sta�e c�F Tex�
�� �. �.. �`�-2�0 _
, �„ � �
STATE OF TEXAS
COUNTY OF TARRANT
r�
�
a � tM� day of
Notary Public in and for the State of Texas
BEFORE ME, the undersigned authority, a Notary Public in and for the State of Texas, on this day personally
appeared Burl Hampton, known to me to be the person whose name is subscribed to the foregoing instrument, and
acknowledged to me that he executed the same for the purposes and consideration therein expressed, as the act and
deed of the Far Greater Northside Historical Neighborhood Association, and in the capacity therein stated as its
duly authorized officer or representative.
GIVEN UNDER MY HAND AND SEAL OF OFFICE this �.D day of �0.�„_,� ���/
A.D. 20�p .
. � ! WIWAM HEIMTI` ��,J ` . �/Q
MY COMMISSION EXPIR�3 , " ` '�����' ""'- '�` �"�
,�;, '� ��Y�1�� Notary Public in and for the State of Texas
20
L� Xtillil l"A" PROGRAM SUIVIMA,RY
PROGRAM TITLE
FAR GREATER NORTHSIDE NEIGHBORHOOD REVITALiZATION STRATEGY
DESCRIPTION:
The Far Crreater Northside Historical Neighborhood Association (Contractor) will provide staff, facilities, and
development services to implement the neighborhood revitalization strategy in the areas of housin�, economic
development and nublic services.
The period of performance is two years from the date of contract execution.
PROGRAM OBJECTIVES:
To effect community development of the Far Greater Northside Model Blocks as outlined in the neighborhood
revitalization strategy for the area, Contractor will undertake the following programs:
• Housing through 1) housing site acquisition 2) housing development projects for low and moderate
income families. �
• Economic Development by conducting a market study.
• Public Services by landscaping and beautifying homeowner lots.
PROGRAM MEASURES:
Housing
1. Acquisition of sites for housing development
2. Housing Development
Economic Development
Public Services
1. Landscape and beautify homeowner lots
Program Operations
TOTAL PROGRAM BUDGET
Estimated
2000
4 sites
4 homes
1 market study
Select a consultant and
complete design
• Hire a Director
• Set up an office
• Set up personnel
policies
• Set up reporting and
accounting system
• Acquire insurance
• Submit monthly
report according to
the contract
Estimated
2001
4 sites
4 homes
15 homeowner
lots
• Submit
monthly report
according to
the contract
Budget
$190,000
$10,000
$10,000
$60,000
$270,000
21
EXHIBIT "B" PROGRAM TIMELINE
1-3 4-6
months months
ADMINISTRATIVE SET-UP '
Hire a Director
Establish office
Establish banking accounts `
Acquire liability and workman's comp insurance
Establish reporting/accounting systems
Recruit pro-bono and volunteer staff (on�oing)
BOARD DEVELOPMENT I I
Insurance requirements
Develop bud�et and fiscal oversi�ht procedures �
Develop personnel policies
Board training (on�oing)
�
, HOUSING DEVELOPMENT I I
Acquisition of properties � �
• Locate properties
• Perform research and resolve site issues �
• Secure property options or prepare purchase contracts � �
Program Design � � J
• Develop program goals and �uidelines
• Design eligibility criteria for program
• Design forms and informational materials
Contracting and Construction
• Organize a design committee and azchitectural design �
• Prepare estimates of construciion �
• Bid aut contracts for construction �
• Select contractors �
• Construction �
Marketing �
• Design marketing program
• Market program to potential homeowners (ongoing)
• Qualify clients for program (on�oin�)
Homebuyer Counseling � �
• Arran�e homeownership training classes (ongoing)
• Provide credit counselin� (ongoing)
• Provide money management classes (ongoing) ,
� � �
� � �
7-9 10-12
months months
�
� � � � �.
13-15
months
16-18 19-21
months months
� �
� �
22-24
months
� �
' 22
(4 properties) � I � � � � (4 properties) � �
I � I I I I I I
EXHIBIT "B" PROGRAM TIMELINE
° _ , � rRo.rECTs. �� , � �, � � r � y � , � - , ;
� 1-3 months 4-6 months
ECONOMIC DEVELOPMENT
Define the focus and scope of the market study
Prepare Request for Proposal
Bid out contracts for the market study
Select a consultant
Conduct the market study
PUBLIC SERVICES
Develop program goals and guidelines
Design eligibility criteria for program
Design forms and informational materials
Market program to potential homeowners
Qualify clients for program
Organize a design committee
Prepare Request for Proposal
Bid out contracts for the design and select a consuitant
The desi�n committee and homeowners work with the
consultant to develop the design
Purchase landscape elements
Recruit volunteers (ongoing)
Cleaning and planting
� ' ° , PROJECTED TIMELINE � , y �� %� � F ��� �
7-9 months � 10-12 13-15 � 16- I 8� 19-21 22-24��� �
months months months months months
I � � I I
� I I � I
I � I
� , , . . . . �
23
EXHIBIT "C" OPERATING BUDGET
PROPOSED OPERATING BUDGET FOR YEAR I
� Total Budget, CDBG Other Sources
Budget
I [A] IB] [�] [D] IE]
PERSQNELL�S��VICES, -: ; I
Salaries +
FICA �
Health Insurance I
Life Insurance �
Unemployment-State �
Unemployment-Federal �
Worker's compensation �
Retirement �
Misc. Fringe Benefits ^ I
SUFPLIES ` �� � �
Office Supplies
Postage . �
Other Operating Supplies
Teaching Aids
CONTRACTUAL SERVICES � ,
Telephone
Electric �
Gas (utility) �
Water/Waste �
Rent �
Custodial Services �
Copier �
Office Equipment
Printing
Repairs
Fidelity Bond
Liability Insurance
Consultant Fee
Legal & Accounting �
Annual Audit �
, Other Professional Services
Private Auto Allowance-local
Private Auto Allowance-Other
Leased Vehicle Charges
Gasoline, Oil & Lube
Conference & Seminars
Indirect Cost
CAPITAL OUTLAY ' . . •
Land
Furniture & Fixtures
Office Equipment Rental
TOTAL �� �� �
, - ,. xi� � <.,. . -
„ HOME Pundraising Development
CHDO Fees
$32;86�� ":�' ;$„`13?750 `' °' $�7,115' ` $2;000 ' � `;
$30,287 $13,317 $14,970 $2,000
$1,878 $433 $1,445
$700 $700
$1,300 ' ," °$ ' `" , � ` ` ,$300
$800 � $300�
$200 � �
$300 �
�
�$18;835 t<, °� ` .$1;250� � $12;585
$515 � $515
$670 � $670
�
$250 $250
$2,000 $2,000 �
$1,000 �
$500 �
$1;000 $1,000 �
$500 �
�
$600 $600�
$800 $800�
�
$3,600 $3,600 �
$6,000 $1,000 $2,500
$400
$1,000
$1,000 ' � ,
$1,000 `� ° , ,, ��
$500
$200
$300
$5;000.�' y � r
�
$1,000 �
$5001
$500�
�
�
�
�
$2,500 �
$400 ,
$500 $500
� $i,00a
$1,000 $1,OOQ
$54,000 _ ,��,=��$1�,000 � � � ,$30,000 , _. ,a `$9,,000 'w = p - —
24
EXHIBIT "C" OPERATING BUDGET
PROPOSED i�PERATING BUDGET FOR YEAR II
'Tot� Buc�$�t� CDBG Other Sources
Bud�et
� �.�� r : ; [B] [Cl [Dl [El
�....... �yq (, <
���.'�:ll�..���s����c.%.�� £�'f:.�"�� . �!����i���
Salaries ..;......���.��'�'
FICA ;�;;;;:::�$ix8�8;
Health Insurance
Life Insurance
'::`'::�'r.':�;;'s'�»i.i:'���i�r;��
Unemployment-State
/It%/ h iY///d/ --A/I!�
Unemployment-Federal
Worker's compensation , . $�4Q:�
Retirement � "``�
...
Misc. FrinQe Benefits `
HOME Fundraising Development
CHDO Fees
�,,,� � ,� � , __ , � .� ;� . _;
������' ���', ... .. � �.�r 3 tk hL
� .� .� : .,...;�Y���
$27,220 ' $3,067
$1,445 $433
$700
���;.>:: ,�...:,, � �
��<':;�4 :�i; `. _ . .,_ . . .
Office Supplies � �8Q��� $800
Postage :::::;�.��,0: $200
Other Operadng Supplies ��!E�a� $300
Teaching� Aids
. .:, , w:43'). ;. . .�;, ,.... ..... .�. , .: .. � q . �� � � � w«:�:h�o-s�5: . �
/,.�t ..�. t�:.:.:ar j � � y�
#: � k��r ,�� .������R�" y�$ a �3k������ ...., '��»t����\,.,.,.«...<.«.<..:'.`�^`�� �i «. n�».'� �..�» .��, ��,.�Y„
..,. t �r'n E.R<F` 3 ^.s., 's{:':�:,E.:i . , s � �
., ..... e s� ...�..,.i.�" . ...... w ..:...... ....w �
Telephone �5:�5� $515
, . �..,������..��
Electric �67{�.� $670
Gas (utility) �
Water/Waste . $��4� $250
� ..:: ....... .....
Rent :':°?:::�;��;��Q; $2,000
Custodial Services ;;:;::;:�i;Q�O:: $1,000
Copier �'r�::::;i; �:i� ::�
��: �� �� �
Office Equipment j
Prindng ��;OQO� $1,000
Repairs `'�;�
Fidelity Bond $6€1b,� $600
_ , ...
Liability Insurance ; '" . _ _ ,__,.,; $$�Q $800
Consultant Fee
: /.I
J
Legal & Accounting �, ���EtlO� $2,600 $1,000
Annual Audit � .. .��61000`� $4,000 $2,000
Other Professional Services .:.: :� '
. ,. ...
Pnvate Auto Allowance-local ,,,, , ,;,;;;;;;$4�t�:' $400
Private Auto Allowance-Other
Leased Vehicle Charges ` ,
� � _�
Gasoline, Oil & Lube :
Conference & Seminars ..'�: $.� �40:I $500 . $500
Indirect Cost �
.. 4
�.�FITAI.�C)T���� ' %��<�`��h � �� � *�. ., , ��• % $ ` � . . �. . 4
:.. ..
_�.:: ...
, ,
•• < .�
.. .:. . .. < .<.... � . . ; ; � >
�,.�. _
Land � �
Furniture & Fixtures �'�.:=�����
ti ..� ,.�� ����;:� .::.,
Office E9uipment Rental
�
T(�������. `. ,��;� �m,..> �.�..��'��:,t�3`.S�`���,�tN��.�s����4'�' ����,���.�,����>�>�� , ��;Q (�,
25
EXHIBIT "D" LEA.D BASED PAINT GUIDELINES
Subpart B-Generaf Lead-8ased Paint
Requirements and Definitions for All
Programs.
§ 35.100 Purpose and appiicabitity.
(a) Purpose. The requirements of
subparts B through R of this part are
Levei of protec-
tion
1 .........................
2 .........................
3 .........................
4 .........................
No. 178 / Wednesday, September 15, 1999 / Rules and Regulations
promulgated to implement the Lead-
Based Paint Poisoning Prevention Act,
as amended (42 U.S.C. 4821 et seq.), and
the Residential Lead-Based Paint Hazard
Reduction Act of 1992 (42 U.S.C. 4851
et seq.).
(b) Applicability.—(1) This subpart.
This subpart applies to all target
housing that is federally o�vned and
target housing receiving Federal
assistance to �vhich subparts C, D, F
through M, and R of this part apply,
e;ccept �vhere indicated.
(2) Ochersubparts.—(i) Ceneral.
Subparts C, D, and F thcough M of this
part each set forth requirements for a
specific type of Federal housing activity
or assistance, sucl� as multiFamily
mortgage insiirance. {�roject-based rental
�ssistance, rehabilitation, or tenant-
based rental assistance. Subpart R of
[hts part provicles standards anci
methods For activities required in
subparts B, C, D, and F through M of
this part.
. (ii) Application co programs. Most
HUD housing programs are covered by
only one subpart of Chis part, but some
programs can be usecl for more than one
type of assistance and therefore are
coverecl by more than one subpart of
this part. A curren� list oF programs
covered by each subpart of this part is
available on the in[emet at
�vw�v.hud.gov, or by mail from the
Na[ional Lead Information Center at 1-
800-424-LEAD. Examples of flexible
programs that can provide more than
one type of assistance are the HOME
Investment Partnerships program, the
Community Development Block Grant
program, and the Indian Housing Block
Grant Program. Grantees, participating
jurisdictions, Indian tribes and other
entities administering such flexible
programs mus[ decide �vhich subpart
applies to the type of assistance being
provided to a particular d�velling unit or
residential property.
(iii) Application to dtivelling units. In
some cases, more than one type of
assistance may be provided to the same
dwelling unit. In suct� cases, the subpart
Subpart, section, and type of assistance
or section �vith the most protecttve
initial hazard reduction requirements
applies. Paragraph (c) of this sectton
provides a table that lists the subparts
and sections of this part in order from
the most protective to the least
protec�ive. (This list is based only on
the requirements for initiai hazard
reduc�ion. The summary of
requirements on this list ts not a
complete list oErequirements. It is
necessary to refer to the applicable
subparts and sections to determine all
applicable requirements.)
(iv) Example. A multifamily building
has L00 dwelling units and was built in
1965. The property is financed with
F{UD mulcifamily morcgage insurance.
This building is covered by subpart G of
this part (see § 35.625—�1t�1[ifamily
mortgage insurance for properties
conscrucced after 1959). �vhich is at
procecti��eness level 5 in �he table set
forth in paragraph (c) of this section. In
the same building, however, 50 of the
100 cl�veliing units are receiving project-
based assistance, and the average annual
assistance per assisted unit is �5,500.
Those 50 units, and common areas
sen•icing those units, are covered by the
requirements of subpart H of this part
(see § 35.715—Project-based assistance
for mul�ifamily properties receiving
more than $5,000 per unit), �vhich are
at protectiveness level 3. Therefore,
because l�vel 3 is a higher level of
protec�iveness than level 5, the units
receiving Qroject-based assis[ance, and
common areas servicing those units,
mus� comply at level 3, �vhile the rest
of the building can be operated at level
5. The o�vner may choose to operate the
entire building at level 3 for simplicity.
(c) Table One. The follo�ving table
lists the subparts and sections of this
parc apptying to HUD programs in order
from most protective to least protective
hazard reduction requirements. The
summary of hazard reduction
requiremen[s in this table is not
complece. Readers must refer to relevant
subpart for complete requirements.
Subpart L, Public housing. Subpart G, § 35.630, Multifamily m�rtgage insurance for conversions
and major rehabilitations.
Subpart J, § 35.930(d), Properties receiving more than 525,000 per unit in rehabilitation assist-
ance.
Subpart G, §35.620, Multifamily mortgage insurance for properties constcucted beEore 1960, other
than conversions and major rehabilitations. Subpart H, § 35.715, Project-based assistance for
multifamily properties receiving more than S5,000 per unit. Subpart I, HUD-owned multitamily
prope�ty. SubpaR J, § 35.930(c), Prope�ties receiving more than 55,OQ0 and up to 525.000 pet
unit in rehabiiitation assistance.
Subpart F, HllD-owned singie iamily properties. Subpart H, § 35.720, Project-based rental assist-
ance for multifamily propeRies receiving up to S5,000 per unit and single tamily properties. Sub•
part K, Acquisition, leasing, support services, or operation. Subpart M, Tenant-basad rental as-
sistance.
Hazard reduction re-
quirements
Full abatement of lead-
based paint. �
Abatement of lead-
based paint hazards.
tnterim controls.
Paint stabilization.
Federal Register / Vol. 64, I�1o. 178 / Wednesday, September 15, 1999 / Rules and Regulations 50203
Level of protec- Subpart, section, and lype of assistance Hazard reduction re-
tion quirements
5 ......................... Subpart G, § 35.625, Multifamily mortgage insurance for properties constructed after 1959 ...........
6 ......................... Subpart J, § 35.930(b), Properties receiving up to and including $5,000 in rehabilitation assistance
§ 35.105 Eifective dates.
The effective date for subparts B
through R of this part is September 15,
2000, except that the effective date for
prohibited methods of paint removal,
described in § 35.140, is November 15,
1999. Subparts F through M of this part
pr•ovide further information on the
application of the eEfective date to
specific programs. Before September 15,
2000, a designated party has the option
of following the procedures in subpar[s
B through R of this part, or complying
with current HUD lead-based paint
regulations.
§35.106 Information collection
requirements.
The information collection
requirements contained in this part have
been approved by the Office of
Management and Budget (OMB) in
accordance with the requirements of the
Paperwork Reduction Act of 1995 (44
U.S.C. 2501-3520), and have been
assigned OMB control number 2539—
0009. An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless the collection displays a valid
control number.
§35.110 Definitions.
Abatement means any set of ineasures
designed to permanently eliminate lead-
based paint orlead-based paint hazards
(see definition of "permanent").
Abatement includes:
(1) The removal of lead-based paint
and dust-lead hazards, the permanent
enclosure or encapsulation of lead-
based paint. the replacement of
components or fixtures painted with
lead-based paint, and the removal or
permanen[ covering of soil-lead hazards;
and •
(2) All preparation, cleanup, disposal,
and post abatement clearance testing
activities associated �vith such
measures.
Act means the Leac!-Based Paint
Poisoning Prevention Act, as amended,
42 U.S.C. 4822 et seq.
Bare soil means soil or sand not
covered by grass, sod, o[her live ground
covers, wood chips, gravel, artificial
turf, or similar covering.
Certified means licensed or certified
to perform such activities as risk
assessment, lead-based paint inspection,
or abatement supervision, either by a
State or Indian tribe with a lead-based
paint certification program authorized
by the Environmental Protection Agency
(EPA), or by the EPA, in accordance
with 40 CFR part 745, subparts L or Q.
Chewable surface means an interior or
ex[erior surface painted �vith lead-based
paint that a young child can mouth or
chew. A chewable surface is the same as
an "accessible surface" as defined in 42
U.S.C. 4851b(2)). Hard metal substrates
and other materials that cannot be
dented by the bite of a young child are
not considered chewable.
Clearance examination means an
activity conducted following lead-based
paint hazard reduc[ion activities to
determine that the hazard reduction
activities are complete and that no soil-
lead hazards or settled dust-lead
hazards, as defined in this part, exist in
the dwelling unit or worksite. The
clearance process includes a visual
assessment and collec[ion and analysis
of environmental samples. Dust-lead
standards for clearance are found at
§ 35.1320.
CILP recipient means an owner of a
multifamily property which is
undergoing rehabilita[ion funded by the
Flexible Subsidy-Capita� Improvement
Loan Program (CILP).
Common area means a portion of a
residential property that is available for
use by occupants of more than one
dwelling unit. Such an area may
include, bu[ is not limited to, hallways,
stairways, laundry and recreational
rooms, playgrounds, communi[y
centers, on-site day care facilities,
garages and boundary fences.
Component means an architectural
element of a dwelling unit or common
area identified by type and location,
such as a bedroom wall, an exterior
window sill, a baseboard in a living
room, a kitchen floor, an interior
window sill in a bathroom. a porch
floor, stair treads in a common stairwell.
or an exterior wall.
Composite sample means a collection
of mor� than one sample of the same
medium (e.g., dust, soil or paint) from
the same type of surface (e.g., floor,
interior window sill, or window trough),
such that multiple samples can be
analyzect as a single sample.
Containment means the physical
measures taken to ensure that dust and
Ongoinglead-based
paint maintenance.
Safe work practices dur-
ing rehabilitation.
debris created or released during lead-
based paint hazard reduction are not
spread, blown or tracked from inside to
outside of the worksite.
Designated party means a Federal
agency, grantee, subrecipient.
participating jurisdiction, housing
agency, CILP recipient, Indian [ribe,
tribally designated housing entity
(TDHE), sponsor or property owner
responsible for complying �vith
applicable requirements.
Deteriorated paint means any interior
or exterior paint or other coating that is
peeling, chipping, chalking or cracking,
or any paint or coating loca[ed on an
interior or exterior surface or fixture that
is other�vise damaged or separated from
the substrate.
Dry sanding means sanding without
moisture and includes both hand and
machine sanding.
Dusc-lead hazard means surface dust
that contains a dust-lead loading (area
concentration of lead) at or exceeding
the levels promulgated by the EPA
pursuant to section 403 of the Toxic
Substances Control Act or, if such levels
are no[ in effect, the standards in
§ 35.1320.
D�velling unit means a:
(1) Single-family dwelling, including
attached structures such as porches and
stoops; or
(2) Housing unit in a structure that
contains more than 1 separate housing
unit, and in which each such unit is
used or occupied, or intended to be
used or occupied, in whole or in part,
as the home or separate living quarters
of 1 or more persons.
Encapsulation means the application
of a covering or coating tha[ acts as a
barrier between the lead-based paint
and the environment and that relies for
its durability on adhesion between the
encapsulant and the painted surface.
and on the integrity of the existing
bonds between paint layers and bet�veen
the paint and the substrate.
Encapsulation may be used as a method
of abatement if it is designect and
performed so as to be permanent (see
definition of "permanent").
Enclosure means the use of rigid,
durable construction materials that are
mechanically fastened to the substrate
in order to act as a barrier between lead-
based paint and the environment.
Enclosure may be used as a method of
50204 Federal Register / Vol. 64, No. 178 / Wednesday, September 15, 1999 / Rules and Regulations
abatement if it is designed to be subparts J and K of this part, except the
permanent (see definition of HOME program or the Flexible Subsidy-
"permanent"). Capital Improvement Loan Program
Environmental intervention 61ood (CILP).
]ead level means a confirmed Hard costs of rehabilitation means:
concentration of lead in whole blood (1) Costs to correct substandard
equal to or greater than 20 µg/dL conditions or to meet applicable locai
(micrograms of lead per deciliter) for a rehabilitation standards;
single test or 15-19 µg/dL in two tests (2) Casts to make essential
taken at least 3 months apart. improvements, including energy-related
Evaluation means a risk assessment, a repairs, and those necessary to permit
lead hazard screen, a lead-based paint use by persons �vith disabilities; and
inspection, paint testing, or a costs to repair or replace major housing
combination of these to determine the systems in danger of failure; and
presence of lead-based paint hazards'or (3) Costs of non-essential
lead-based paint. improvemen[s, including additions and
Expected to reside means there is alterations to an existing structure; but
actual knowledge that a child will (4) Hard costs do not include
reside in a dwelling unit reserved for administrative costs (e.g., overhead for
the elderly or designated exclusively for administering a rehabilitation program,
persons with disabilities. If a resident P�ocessing fees, etc.).
woman is known to be pregnant, there y�Zard reduction means measures
is actual knowledge that a child will designed [o reduce or eliminate human
reside in the dwelling unit. exposure to lead-based paint hazards
Federal agency means the United through methods including interim
States or any executive department, controls or abatement or a combination
independent establishment, of the two. •
administrative agency and HEPA vacuum means a vacuum
instrumentality of the United States, cleaner device with an included high-
including a corporation in which all or
a substantial amount of the stock is efficiency particulate air (HEPA) filter
beneficially owned by the United States through which the contaminated air
or by any of these enti[ies. The term flows, operated in accordance with the
"Federal agency" includes, but is no[ instructions of its manufac[urer. A
limi[ed to, Rural Housing Service HEPA fil[er is one that captures'at least
(formerly Rural Housing and ��•97 percent of airborne particles of at
Community Development Service that least 0.3 micrometers in diameter.
was formerly Farmer's Home Housing for the elderly means
Administration), Resolution Trust retirement communities or similar types
Corporation, General Services of housing reserved for households
Administration. Department oi Defense, composed of one or more persons 62
Department of Veterans Affairs, years of age or more, or other age if
Department of the Interior, and recognized as elderly by a specific
Department of Transportation. Federal housing assistance program.
Federally owned property means Housing receiving Federal assistance
residential proper[y owned or managed means housing which is covered by an
by a Federal agency, or for which a application for HUD mortgage
Federal agency is a trustee or insurance, receives housing assistance
conservator. � payments under a program administered
Firm commitment means a valid by HUD, or otherwise receives more
commitment issued by HUD or the than $5,000 in project-based assistance
Fede�al Housing Commissioner setting under a Federal housing program
forth the terms and conditions upon administered by an agency other than
which a mortgage will be insured or HUD.
guaranteed. HUD means the United States
Friction surface means an interior or Department of Housing and Urban
ex[erior surface that is subject to Development.
abrasion or fric[ion, including, but not HUD-owned property means
limited to, certain window, floor', and residential property owned or managed
stair surfaces. by HUD, or for which HUD is a trustee
g means gram, mg means milligram or conservator.
(thousandth of a gram), and µg means Impact surface means an interior or
microgram (millionth of a gram). exterior surface that is subject to damage
Grantee means any State or local by repeated sudden force, such as
government, Indian tribe, IHBG certain par[s of door Frames.
recipient, insular area or nonprofit Indian Housing Block Grant (IHBG)
organization that has been designated by recipient means a tribe or a tribally
HUD to administer Federal housing designated housing entity (TDHE)
assistance under a program covered by receiving IHBC funds.
lndian tri6e means a tribe as defined
in the Native American Housing
Assistance and Self-Determination Act
of 1996 (25 U.S.C. 4101 et seq.)
Inspection (See Lead-based paint
inspection).
Insular areas means Guam, the
Northern Mariana Islands, the United
States Virgin Islands and American
Samoa.
Interim controls means a set of
measures designed to reduce
temporarily human exposure or likely
exposure to lead-based paint hazards.
Interim controls include, but are not
limited to, repairs, painting, temporary
containment, specialized cleaning,
clearance, ongoing lead-based paint
main[enance activities. and the
establishment and operation of
management and resident education
programs.
Incerior rvindow sill means the portion
of the horizontal window ledge that
pro[rudes into the interior of the room,
adjacent to the window sash when the
window is closed. The interior window
sill is sometimes referred to as the
�vindow stool.
Lead-based paint means paint or
other surface coatings that contain lead
equal to or exceeding 1.0 milligram per
square centimeter or 0.5 percent by
weight or 5,000 parts per million (ppm)
by weight.
Lead-based paint hazard means any
condition that causes exposure to lead
from dust-lead hazards, soil-lead
hazards, or lead-based paint that is
deteriorated or present in chewable
surfaces, friction surfaces, or impact
surfaces, and that would result in
adverse human health effects.
Lead-based paint inspection means a
surface-by-surface investigation to
determine the presence of lead-based
paint and the provision of a report
explaining the results of the
investigation. �
Lead hazard screen means a limited
risk assessment activity that involves
paint testing and dust sampling and
analysis as described in 40 CFR
745.227(c) and soil sampling and
analysis as described in 40 CFR
745.227(d).
Mor•cgagee means a lender of a
mortgage loan.
Morrgagor means a borrower of a
mortgage loan.
Multifamily proper[y means a
residential property containing five or
more d�velling units.
Occupant means a person who
inhabits a d�velling unit.
Owner means a person, Eirm,
corpora[ion. nonprofit organization.
partnership, government, guardian,
conservator, receiver, trustee, executor,
Federal Register / Vol. 64, No. 178 / Wednesday, September 15, 1999 / Rules and Regulations 50205
or other judicial officer, or other entity
which, alone or with others, owns,
holds, or controls the freehold or
leasehold title or part of the title to
property, with or without actually
possessing it. The definition includes a
vendee who possesses the title, but does
not include a mortgagee or an owner of
a reversionary interest under a ground
rent lease.
Paint stabilization means repairing
any physical defect in the substrate of
a painted surface that is causing paint
deterioration, removing loose paint and
other material from the surface to be
treated, and applying a new protective
coating or paint.
Paint testing means the process of
determining, by a certified lead-based
paint inspec[or or risk assessor, the
presence or the absence of lead-based
paint on cle[eriorated paint surfaces or
painted surfaces to be disturbed or
replaced.
Paint removal means a method of
abatement that permanently eliminates
lead-based paint from surfaces.
Painted surface to be discurbed means
a paint surface that is to be scraped,
sandecl, cu[, penetra[ed or otherwise
affected by rehabilitation work in a
manner that could potentially create a
lead-based paint hazard by generating
dust, fumes, or paint chips.
Participatingjurisdiccion means any
State or local government that has been
designated by HUD to administer a
HOME program grant.
Permanent means an expected design
life of at least 20 years.
Play area means an area of frequent
soil contact by children of less than 6
years of age, as indicated by the
presence of play equipment (e.g.
sandboxes, swing sets, sliding boards,
etc.) or toys or other children's
possessions, observations of play
patterns, or information provided by
parents, residents or property owners.
Project-based renta! assistance means
Federal rental assistance that is tied to
a resiclential property with a specific
location and remains �vith that
particular location throughout the term
of the assistance.
Public health depar[ment means a
State, tribal, county or municipal public
health department or the Indian Health
Service. • .
Public housing development means a
residential property assisted under the
United States Housing Act of 1937 (42
U.S.C. 1437 et seq.), but not including
housing assisted under section 8 of the
1937 Act.
Reevaluation means a visual
assessment oF painted surfaces and
limited dust and soil sampling
conducted periodically following lead-
based paint hazard reduction where
lead-based paint is still present.
Rehabilitation means the
improvement of an existing structure
through alterations, incidental additions
or enhancements. Rehabilitation
includes repairs necessary to correct the
results of deferred maintenance, the
replacement of principal fixtures and
components, improvements to increase
the efficient use of energy, and
installation of security devices.
Replacement means a strategy of
aba[ement that entails the removal of
building components that have surfaces
coated with lead-based paint and the
installation of new components free of
lead-based paint.
Residential property means a dwelling
unit, common areas, building exterior
surfaces, and any surrounding land,
including outbuildings, fences and play
equipment affixed to the land, belonging
to an owner and available for use by
residents, but not including land used
for agricultural, commercial, industrial
or other non-residential purposes, and
not including paint on the pavement of I
parking lots, garages, or roadways. ;
Risk assessment means: '
(1) An on-site investigation to
determine the existence, nature,
severity, and location of lead-based
paint hazarcis; and
(2) The provision of a report by the
individual or firm conducting the risk
assessment explaining the results of the
investigation and options for reducing
lead-based paint hazards.
Single family property means a
residential property containing one
through four dwelling uni[s.
Single room occupancy (SRO) housing
means housing consisting of zero- '
bedroom dwelling units that may
contain food preparation or sanitary
facilities or both (see Zero-bedroom
dwelling).
Soil-lead hazard means bare soil on
residential property that contains lead
equal to or exceeding levels
promulgated by the U.S. Environmental
Protection Agency pursuant to section
403 of the Toxic Substances Control Act
or, if such leveis are no[ in effect, the
following levels: 400 µg/g in play areas;
and 2000 µg/g in other areas with bare
soil that total more than 9 square feet
(0.8 square meters) per residential
property.
Sponsormeans mortgagor (borrower).
Subrecipient means any nonprofit
organization selected by the grantee or
participa[ing jurisdiction to administer
all or a portion of the Federal
rehabilitation assistance or other non-
rehabilitation assistance, or any such
organization seleeted by a subrecipient
of the grantee or participating
jurisdiction. An owner or developec
receiving Federal rehabilitation
assistance or other assistance for a
residential property is not considered a
subrecipient for the purposes of carrying
out that project.
Standard treatments means a series of
hazard reduction measures designed to
reduce all lead-based paint hazards in a
dwelling unit without the benefit of a
risk assessment or other evaluation.
Substrate means the material directly
beneath the painted surface out of
�vhich the components are constructed.
including wood, drywall, plaster,
concrete, brick or metal.
Target housing means any housing
constructed prior to 1978, except
housing for the elderly or persons with
disabilities (unless a child of less than
6 years of age resides or is expected to
reside in such housing for the elderly or
persons with disabilities) or any zero-
bedroom dwelling. In the case of
jurisdictions which banned the sale or
use of lead-based paint prior to 1978,
HUD may designate an earlier date.
Tenant means the individual named
as the lessee in a lease, rental agreement
or occupancy agreement for a dwelling
unit.
Visual assessment means looking for,
as applicable:
(1) Deteriorated paint;
(2) Visible surface dust, debris and
residue as part of a risk assessment or
clearance examination; or
(3) The completion or failure of a
hazard reduction measure.
Wet sanding or wet scraping means a
process of removing loose paint in
�vhich the painted surface to be sanded
or scraped is kept wet to minimize the
dispersal of paint chips and airborne
dus[.
Window trough means the area
between the interior window sill (stool)
and the storm window frame. If there is
no storm window, the window trough is
[he area that receives both the upper
and lower window sashes when they are
both lo�vered.
Worksite means an interior or exterior
area where lead-based paint hazard
reduction activity takes place. There
may be more than one worksite in a'
dwelling unit or at a residential
property.
Zero-bedroom dwelling means any
residential d�velling in which the living
areas are not separated from the
sleeping area. The [erm includes
efficiencies, studio apartments.
dormitory or single room occupancy
housing, military barrachs, and rentals
of individual rooms in residential
dwellings (see Single room occupancy
(SRO)).
50206 Federal Register / Vol. 64, No. 178 / Wednesday, September 15, 1999 / Rules and Regulations
§35.115 Exemptions.
(a) Subparts B through R of this part
do not apply to the following:
(1) A residential property for which
consCruction was completed on or after
January 1. 1978, or. in the case of
jurisdictions which banned the sale or
residential use of lead-containing paint
prior to 1978, an earlier date as HUD
may designate (see § 35.160).
(2) A zero-bedroom dwelling unit,
including a single room occupancy
(SRO) dwelling unit. .
(3) Housing for the elderly, or a
residential property designated
exclusively for persons with disabilities:
except this exemption shall not apply if
a child less than age 6 resides or is
expected to reside in the dwelling unit
(see definitions of "housing for the
elderly" and "expected to reside" in
§ 35.110).
(4) Residential property found not to
have lead-baseci paint by a lead-based
paint inspection conducted in
accordance with § 35.1320(a) (for more
information regarding inspection
procedures consult the 1997 edition of
Chapter 7 of the HUD Guidelines).
Results of additional test(s) by a
certified lead-based pain[ inspector may
be used to confirm or refute a prior
finding.
(5) Residential property in which all
lead-based paint has been identified,
removed, and clearance has been
achieved in accordance with 40 CFR
745.227(b)(e) before September 15,
2000, or in accordance with �� 35.1320,
35.1325 and 35.1340 on or after "
September 15, 2000. This exemption
does not apply to resiclential property
�vhere enclosuce or encapsulation has
been used as a method of abatement.
(6) An unoccupied dwelling unit or
residential property that is to be
demolished, provided the dwelling unit
or property will remain unoccupied
until demolition.
(7) A property or part of a property
that is not used and will not be used for
human residential habitation, except
that spaces such as entryways, hallways,
corridors, passageways or stairways
serving both residential and
nonresidential uses in a mixed-use
property shall not be exempt.
(8) Any rehabilitation that does not
disturb a Qainted surface.
(9) For emergency actions .
immediately necessary to safeguard
agains[ imminent danger to human liFe,
health or safety, or to protect property
from further structural damage (such as
�vhen a property has been damaged by
a natural disaster, fire, or structural
collapse), occupants shal( be protected
from exposure to lead in dust and debris
generated by such emergency actions to
the extent practicable, and the
requirements of subparts B through R of
this part shall not apply. This
exemption applies only to repairs
necessary to respond to the emergency.
The requirements of subparts B through
R of this part shall apply to any work
undertaken subsequent to, or above and
beyond, such emergency actions.
(10) If a Federal law enforcement
agency has seized a residential property
and owns the property for less than 270
days, §� 35.210 and 35.215 shall not
ap ly to the property.
�11) The requirements of subpart K of
this part do not apply if the assistance
being provided is emecgency rental
assistance or foreclosure prevention
assistance, provided that this exemption
shall expire for a dwelling unit no later
than 100 days after the initial payment
or assistance.
(12) Performance oP an evaluation or
lead-based paint hazard reduction or
lead-based paint abatement on an
e.cterior painted surface as required
under this part may be delayed for a
reasonable time during a period when
weather conditions are unsuitable for
conventional construction activities.
(13) Where abatement of lead-based
paint hazards or lead-based paint is
required by this part and the property is
listed or has been determined to be
eligible for listing in the National
Register of Historic Places or
contributing to a National Register
Historic District, the designated party
may, if requested by the State Historic
Preservation Office, conduct inierim
controls in accordance with § 35.1330
instead of abatement. If interim cont�ols
are conducted, ongoing lead-based paint
maintenance and reevaluation shall be
conducted as required by the applicable
subpart of this part in accordance with
§ 35.1355.
(b) For the purposes of subpart C of
this part, each Federal agency other than
HUD will determine whether
appropriations are sufficient to
implement this rule. If appropriations
are not sufficient, subpart C of this part
shall not apply to that Federal agency.
If appropriations are sufficient, subpart
C of this part shall apply.
§ 35.124 Options.
(a) Standard treatments. Where
interim controls are required by this
part, the designated party has the option
to presume that lead-based paint or
lead-based paint hazards or both are
present throughout the residential
property. In such a case, evaluation is
not required. Standard treatments shall
then be conducted in accordance with
§ 35.1335 on all applicable surfaces,
including soil. Standard treatments are
completed only when clearance is
achieved in accordance with § 35.1340.
(b) Abatement. Where abatement is
required by this part, the designated
party may presume that lead-based
paint or lead-based paint hazards or
both are present throughout [he
residential property. In such a case,
evaluation is not required. Abatement
shall then be conducted on all
applicable surfaces, including soil, in
accordance with § 35.1325, and
completed when clearance is achieved
in accordance with § 35.1340. This
option is not available in public
housing, where inspection is required.
(c) Lead hazard screen. Where a risk
assessment is requised, the designated
party may choose first to conduct a lead
hazard screen in accordance with
� 35.1320(b). IF the results of the lead
hazard screen indicate the need for a
full risk assessment (e.g., if the
environmental measuremen[s exceed
levels established for lead hazard
screens in §35.1320(b)(Z)), a complete
risk assessment shall be conducted.
Environmental samples collected for the
lead hazard screen may be used in the
risk assessment. If the results of the lead
hazard screen do not indicate the need
for a follow-up risk assessment. a risk
assessment is not required.
(d) Paint testing. Where paint
stabilization or interim controls of
deteriorated paint surfaces are required
by this rule, the designated party has the
option to conduct paint testing of all .
surfaces with non-intact paint. If paint
[esting indicates the absence of lead-
based paint on a specific surface, paint
stabilization or interim controls are not
required on that surface.
§ 35.125 Notice of evaluation and hazard
reduction activities.
The following activities shall be
conducted if notice is required by
subparts D and F through M of this }iart.
(a) Notice of evaluation or
presumption. When evalua[ion is .
undertaken and lead-based paint or
lead-based paint hazards are found to be
present, or if a presumption is made that
lead-based paint orlead-based paint
hazards are present in accordance with
the options described in � 35.120, the
designated party shall provide a notice
to occupants �vithin 15 calendar days of
the date when the designated party
receives the report or makes the
presumption.
(1) The notice of the evaluation shall
include:
(i) A summary of the nature, scope
and results of the evaluation:
(ii) A contact name, address and
telephone number for more information.
Federal Register / Vol. 64, No. 178 / Wednesday, September 15, 1999 / Rules and Regulations 50207
and to obtain access to the actual
evaluation report; and
(iii) The date of the notice.
(2) The notice of presumption shall
include:
(i) The nature and scope of the
presumption;
(ii) A contact name, address and
telephone number for more information;
and
(iii) The date of the notice.
(b) Notice of hazard reduction
activity. When hazard reduction
activities are undertaken, each
desi nated party shall:
(1�Provide a notice to occupants no
more than 15 calendar days after the
hazard reduction activities have been
completec]. Notice of hazard reduction
shall include, but not be limited to:
(i) A summary of the nature, scope
and results (including clearance), of the
hazard reduction activities.
(ii) A contact name, address and
telephone number for more information:
and
(iii) Available information on the
location of any remaining lead-based
paint in the rooms, spaces or areas
where hazarcl reduction activities were
conducted, on a surface-by-surface
basis;
(2} Update the notice, based on
reevaluation of the resldential property
and as any adclitional hazard reduction
work is conducted.
(c) A vailability of notices of
evaluation, presumption, and hazard
reduction aclivities. (1) The notices of
evaluation, presumption, and hazard
reduction shall be of a size and type that
is easily read by occupants.
(2) To the extent practicable, each
notice shall be made available, upon
request, in a format �ccessible to
persons with disabilities (e.g„ Braille,
large type, computer disk, audio tape).
(3) Each notice shall be provided in
the occupants' primary language or in
the language of the occupants' contracC
or lease.
(4) The designated party shall provide
each notice to the occupants by:
(i) Pos[ing and maintaining it in .
centrally located common areas and
distributing it to any dwelling unit if
necessary because the head of
household is a person with a known
disability; or
(ii) Distributing it to each occupied
dwelling unit affected by the evaluation
presumption, or hazard reduction
activity or serviced by common areas in
which an evaluation, presumption or
hazard reduction has taken place.
§35.130 Lead hazard information
pamphlet.
lf provision of a lead hazard
information pamphlet is required in
subparts D and F through M of this part,
the designatecl party shall provide to
each occupied dwelling unit to which
subparts D and F through M of this part
apply, the lead hazard information
pamphlet developed by EPA, HLiD and
the Consumer Product Safety
Commission pursuant to section 406 of
the Toxic Substances Control Act (15
U.S.C. 2686), or an EPA-approved
alternative; except that the designated
party need not provide a lead hazard
information pamphlet if the designated
party can demonstrate that the pamphle[
has already been provided in
accordance with the lead-based paint
notification and disclosure requirements
at § 35.88(a)(I), or 40 CFR 745.107(a)(1)
or in accordance with the requirements
for hazard education bePore renovation
at 40 CFR par[ 745, subpart E.
at 16 CFR 1500.3, and/or a hazardous
chemical in accordance with the
Occupational Safety and Health
Administration regulations at 29 CFR
1910.1200 or 1926.59, as applicable to
the work.
§ 35.145 Compliance with Federal laws
and authorities.
All lead-based paint activities,
including waste disposal, performed
under this part shall be performed in
accordance with applicable Federal
laws and authorities. For example, such
activities are subject to the applicable
environmentat review requirements of
the I�Iational Environmental Policy Act
of 1969 (42 U.S.C. 4321 et seq.), the
To:cic Substances Con�rol Act. Title IV
(15 U.S.C. 2860 etseg.), and other
environmental laws and authorities (see,
e.g., la�vs and authorities listed in § 50.4
of this title).
§ 35.150 Compliance with other State,
tribai, and loca! laws. �
(a) HUD responsibility. If HUD
determines that a State, tribal or local
la�v, ordinance, code or regula[ion
provides for evaluation or hazard
reduction in a manner that provides a
comparable level of protection from the
hazards of lead-based paint poisoning to
that provided by the requirements of
subparts B. C, D, F through M and R of
this part and that adherence to the
requirements of subparts B, C, D, F
through M, and R of this part, would be
duplicative or otherwise cause
inefficiencies, HUD may modify or
waive some or all of the requirements of
the subparts in a manner that will
promote efficiency while ensuring a
comparable level of protection.
(b) Participant responsibility. Nothing
in this part is intended to relieve any
participant in a program covered by this
subpart of any responsibility for
compliance with State, tribal or local
laws, ordinances, codes or regulations
governing evaluation and hazard
reduction. If a State, tribal or local law,
ordinance, code or regulation defines
lead-based paint differently than the
Federal definition, the more protective
definition (i.e., the lower level) shall be
followed in that State, tribal or local
jurisdiction. •
§35.155 Minimum requirements.
(a) I�othing in subparts B, C. D, F
through M, and R of this par[ is
intended to preclude a designated party
or occupant from conducting additional
evaluation or hazard reduction
measures beyond the minimum
requirements established for each
program in this regulation. For example.
if the applicable subpart requires visual
§35.135 Use of paint containing tead.
{a) lVew use prohibition. The use of
paint containing more than 0.06 percent
dry weight of lead on any interior or
exterior surface in fecterally owned
housing or housing receiving Federal
assistance is prohibited. As appropriate,
each Federal agency shall include the
prohibition in con[racts, gran[s,
cooperative agreements, insurance
agreements, guaranty agreements, trust
agreements, or other similar documents.
(b) Pre-1978 prohibition. In the case of
a jurisdiction which banned the sale or
residential use of lead-containing paint
before 1978, HL(D may designate an
earlier date for certain provisions of
subparts D and F through M of this part.
§ 35.140 Prohibited methods of paint
removal.
The following methods shall not be
used to remove paint that is, or may be,
lead-based paint:
(a) Open flame burning or torching.
(b) Machine sanding or grinding
without a high-efficiency particulate air
(HEPA) local exhaust control.
(c) Abrasive blasting or sandblasting
without HEPA local exhaust control.
(d) Heat guns operating above 1100
degrees Fahrenheit or charring the
paint.
(e) Dry sanding or dry scraping.
except dry scraping in conjunction with
heat guns or within 1.0 ft. (0.30 m.} of
electrical outlets, or when treating
defective paint spots totaling no more
' than 2 sq. ft. (0.2 sq. m.) in any or�e
interior room or space. or totaling no
more than 20 sq. ft. (2.0 sq. m.) on
exterior surfaces.
(fl Paint stripping in a poorly
ventilated space using a volatile stripper
that is a hazardous substance in
accordance �vith regulations of the
Consumer Product Safety Cammission
50208 Federal Register / Vol. 64, No. 178 / Wednesday, September 15, 1999 / Rules and Regulations
assessment, the designated party may
choose to perform a risk assessment in
accordance with � 35.1320. Similarly, if
the applicable subpart requires interim
controls, a designated party or occupant
may choose to implement abatement in
accordance with § 35.1325.
(b) To the extent that assistance from
any of the programs covered by subparts
B, C, D, and F through M of this part is
used in conjunction �vith other HUD
program assistance, the most protective
requirements prevail.
§ 35.160 Waivers.
In accordance with g 5.110 of this
title, on a case-by-case basis and upon
determination of good cause, HUD may,
subject to statutory limitations, waive
any provision of subparts B, C, D, F
through M, and R of this part.
§ 35.165 Prior evaluation or hazard
reduction.
If an evaluation or hazard reduction
�vas conducted at a residential property
or dwelling unit before the propeFty or
dwelling unit became subject to the
requirements of subparts B, C, D, F
through M, and R of this part, such an
evaluation, hazard reduction or
abatement meets the rec�uirements of
subparts B, C. D, F through M, and R of
this part and need not be repeated under
the following conditions:
(a) Lead-based paint inspection. (1) A
lead-based paint inspection conducted
before August 30. 1999, meets the
requirements of this rule if:
(i) At the time of the inspection the
lead-based paintinspector was
approved by a State or Indian tribe to
perform lead-based paint inspections. It
is not necessary that the State or tribal
approval program had EPA
authorization at the time of the
inspection.
(ii) Notwithstanding paragraph
(a)(1)(i) of this section, the inspection
�vas conducted and accepted as valid by
a housing agency in fulfillment of the
lead-based paint inspection requirement
of the public and Indian housing
program.
(2) A lead-based paint inspection
conducted after August 29, 1999 must
have been conduc[ed by a certified lead-
based paintinspector.
(b) Risk assessment. (1) A risk
assessment must be no more than 12
months old to be considered current.
(2) A risk assessment conducted
before August 30, 1999 meets the
requirements of this part if at the time
of the risk assessment the risk assessor
�vas approved by a State or Indian tribe
to perform risk assessments. It is not
necessary that the State or tribal
approval program had EPA
authorization at the time of the risk
asseSsment.
(3) A risk assessment conducted after
August 29, 1999 must have been
conducted by a certified risk assessor.
(4) Paragraph (b) of this section does
not apply in a case where a risk
assessment is required in response to
the identtfica[ion of a child with an
environmental intervention blood lead
level. In such a case, the requirements
in the applicable subpart for responding
to a child with an environmental
intervention blood lead level shall
apply,
(c) lnterim controls. If a residential
proper[y is under a program of interim
controls and ongoing lead-based paint
maintenance and reevaluation activities
established pursuant to a risk
assessment conducted in accordance
with paragraph (b) of this section, the
interim controls that have been
conducted meet the requirements of this
part if clearance was achieved after such
controls were implemented. In such a
case, the program oF interim controls
and ongoing activities shall be
continued in accordance with the
re uirements of this part.
�ci) Abatement. (1) An abatement
conducted before August 30, 1999 mee[s
the requirements of this part if:
(i) At the time of the abatement the
abatement supervisor �vas approved by
a State or Indian tribe to perform lead-
based paint abatement. It is not
necessary that the State or tribal
approval program had EPA
authorization at the time of the
abatement. �
(ii) Notwithstanding paragraph
(d)(1)(i) of this section, it was conducted
and accepted by a housing agency in
fulfillment of the lead-based paint
abatement requirement of the public
housing program or by an Indian
housing authority (as formerly defined
under the U.S. Housing Act of 1937) in
fulfillment of the lead-based paint
requirement of the Indian housing
program formerly funded under the U.S.
Housing Act of 1937.
(2) An abatement conducted after
August 29, 1999 must have been
conducted under the supervision of a
certified lead-based paint abatement
supervisor.
§ 35.170 Noncompliance with the
requirements of subparts B through R of
this part.
(a) Monitoring and enforcement. A
designated party who fails to comply
with any requirement of subparts B, C,
D, F through M, and R of this part shall
be subject to the sanctions available
under the relevant Federal housing
assistance or ownership program and
may be subject to other penalties
authorized by law.
(b) A property owner who informs a
potential purchaser or occupant of lead-
based paint or possible lead-based paint
hazards in a residential property or
dwelling unit, in accordance with
subpart A of this part, is not relieved of
the requirements to evaluate and reduce
lead-based paint hazardsin accordance
with subparts B through R of this part
as applicable.
§ 35.175 Records.
The designated party, as spe.cified in
subparts C, D, and F through M of this
part, shall keep a copy of each notice,
evaluation, and clearance or abatement
report required by subparts C, D, and F
through M of this part for at least three
years. Those records applicable to a
portion of a residential property for
which ongoing lead-based paint
maintenance and/or reevaluation
activities are required shall be kept and
made available for the Department's
review, until at least three years after
such activities are no longer required.
50212 Federal Register / Vol. 64, No. 178 / Wednesday, September 15,
Subpart J—Rehabiiitation
§ 35.900 Purpose and applicability.
(a) Purpose and applicability. (1) The
purpose of this subpart J is to establish
procedures to eliminate as far as
practicablelead-based paint hazardsin
a residential property that receives
Federal rehabilitation assistance under
program administered by HUD.
Rehabilitation assistance does not
include project-based rental assistance,
rehabilitation mortgage insurance or
assiscance to public housing.
(2) The requirements of this subpart
shall not apply to HOME funds which
are committed to a specific p�oject in
accordance with § 92.2 of this title
before September 15, 2000. Such
Federal Register / Vol. 64, No. 178 / Wednesday, September 15, 1999 / Rules and Regulations 50213
projects shall be subject to the
requirements of § 92.355 of this title that
were in effect at the time of project
commitment or the requirements of this
subpart.
(3) For the purposes of the Indian
Housing Block Grant program and the
CDBG Entitlement program, the
requirements of this subpart shall apply
to all residential rehabilitation activities
(except those otherwise exempted) for
which funds are first obligated on or
after September 15, 2000. For the
purposes of the State, HUD-
Administered Small Cities, and Insular
Areas CDBG programs, the requirements
of this subpart shall apply to all covered
activities (except those otherwise
exempted) for which grant funding is
awarded to tl�e unit of local government
by the State or HUD, as applicable, on
or after September 15, 2000. For the
purposes of the Emergency Shelter
Grant Program (42 U.S.C. 11371-11378)
and the formula grants awarded under
the Housing Opportunities for Persons
with AIDS Program (HOPWA) (42
U.S.C. 12901 et. seq.), the requirements
of this subpart shall apply to activities
for which program funds are first
obligated on or after September 15,
2000.
(4) For the purposes of competitively
awa►•ded grants under the HOPWA
Program and the Supportive Housing
Program (42 U.S.C. 11481-11389), the
requirements of this subpart shall apply
to grants a�varded under Notices of
Funding Availability published on or
after September 15, 2000.
(5) For the purposes of the Indian
CDBG program (§ 1003.607 of this title),
the requirements of this subpart shall
not apply to funds whose notice of
funding availability is announced or
funding letter is sent before September
15, 2000. Such project grantees shall be
subject to the regulations in effect at the
time of announcement or funding letter.
(b) The grantee or participating
jurisdiction may assign to a subrecipient
or other entity [he responsibilities set
forth in this subpart.
§ 35.905 Definitions and other general
requirements.
Definitions and other general
requirements that apply to this subpart
are found in subpart B of this part.
§ 35.910 Notices and pamphtet.
(a) Notices. In cases where evaluation
or hazard reduction or both are
undertaken as part of federally funded
rehabilitation, the grantee, participating
jurisdiction, or CILP recipient, shall
provide a notice to occupants in
accordance with § 35.125.
(b) L�ad hazard informa[ion
pamphlet. The grantee, participating
jurisdiction, or CILP recipient, shall
provide the lead hazard information
pamphlet in accordance with § 35.130.
§ 35.915 Calculating rehabilitation costs,
except for the CILP Program.
(a) Applica6ility. This section applies
to recipients of Federal rehabilitation
assistance, except for CILP recipients,
for which § 35.920 applies.
(b) Rehabilitation assistance. (1) Lead-
based paint requirements for
rehabilitation fall into three categories
which depend on the amount of
rehabilitation assistance provided. The
three categories are:
(i) Assistance of up to and including
�5,000 per unit;
(ii) Assistance of more than $5,000
per unit up to and including $25.000
per unit; and
(iii) Assistance of more than $25,000
per unit.
(2) For purposes of implementiing
§§ 35.930-35.935, the amount of
rehabilitation assistance is the average
per unit amount of Federal funds for the
hard costs of rehabilitation, excluding
lead-based paint hazard evaluation and
hazard reduction activ'ities. Costs of site
preparation, occupant protection,
relocation, interim controls, abatement.
clearance and waste handling
attributable to lead-based paint hazard
reduction are not to be included in the
hard costs of rehabilitation.
(c) Calculating rehabilitation
assistance. For a residential property
that includes both federally assisted and
non-assisted units, the rehabilitation
costs of non-assisted units are not
included in the calculation.
(1) The average cost of rehabilitation
for the assisted units is calculated as
follows:
Per Unit Rehabilitation $ _ (a/c) + (b/d)
Where:
a= Federal Rehabilitation Assistance for
� all assisted units
b= Federal Rehabilitation Assistance for
common areas and exterior painted
surfaces
c= Number of federally assisted units
d= Total number of units
(2) Eight out of 10 dwelli•ng units in
a residential property receive Federal.
rehabilitation assistance. The total
amount of Federal rehabilitation
assistance for the dwelling units is
$90,000, and the total amount of Federal
rehabilitation assistance for the common
areas and exterior surfaces is $10,000.
Based on the formula above, the average
per unit amount of Federal
rehabilitation assistance is $12,250. This
is illustrated as follows: $12.250 =
($90,000/8) + ($10,000/10).
§ 35.920 Caiculating rehabilitation costs
for the Flexibie Subsidy-CILP program.
All dwelling units and common areas
in a residential property are considered
to be assisted under the CILP program.
The cost of rehabilitation is calculated
as follows:
Per Unit Rehab $= Federal Rehab
Assistance / Total Number of Units.
§35.925 Examples of determining
applicable requirements.
The following examples illustrate
how to deterinine whether the
requirements of §§ 35.930(b), (c), or (d)
apply to a dwelling unit receiving
Federal rehabilitation assistance (dollar
amounts are on a per unit basis):
(a) If the total amount of Federal •
assistance for a dwelling is $2.000, and
the hard costs of rehabilitation are
$10,000, the lead-based paint
requirements would be those described
in � 35.930(b), because Federal
rehabilitation assistance is up to and
including $5,000.
(b) If the total amount of Federal
assistance for a dwelling unit is $6,000,
and the hard costs of rehabilitation are
$2,OOO,thelead-based paint
requirements would be those described
in § 35.930(b). Although the total
amount of Federal dollars is more than
$5,000, only the $2,000 of that total can
be applied to rehabilitation. Therefore,
the Federal rehabilitation assistance is
$2,000 which is not more than �5,000.
(c) If the total amount of Federal
assistance for a unit is $6,000, and the
hard costs of rehabilitation are $6,000,
the lead-based paint requirements are
those described in § 35.930(c), because
the amount of Federal rehabilitation
assistance is more than $5.000 but not
more than $25.000.
§ 35.930 Evaluation and hazard reduction
requirements.
(a) Paint testing. The gran[ee,
participating jurisdiction, or CILP
recipient shall either perform paint
testing on the painted surfaces to be
disturbed or replaced during
rehabilitation activities, or presume that
all these painted surfaces are coated
with lead-based paint.
(b) Residentia] property receiving an
average of up to and including $5.000
per unit in Federal rehabilitation
assistance. Each grantee, par[icipating
jurisdiction, or CILP recipient shall:
(1) Conduct paint testing or presume
the presence of lead-based paint, in
accordance wi�h paragraph (a) of this
section. If paint testing indicates that
the painted surfaces are not coated with
lead-based paint, safe work practices
and clearance are not required.
50214 Federal Register / Vol. 64, No. 178 / Wednesday, September 15, 1999 / Rules and Regulations
(2) Implement safe work practices
during rehabilitation work in
accordance with § 35.1350 and repair
any paint that is disturbed.
(3) After completion of any
rehabilitation disturbing painted
surfaces, perform a clearance
examination of the worksite(s) in
accordance with § 35.1340. Clearance is
not required if rehabilitation did not
disturb painted surfaces of a total area
more than that set forth in § 35.1350(b).
(c) Residential property receiving an
average of more than 55,000 and up to
and including $25,000 per unit in
Federal r•ehabilitation assistance. Each
grantee, participating jurisdiction, or
CILP recipient shall:
(1) Conduct paint testing or presume
the presence of lead-based paint, in
accordance with paragraph (a) of this
section.
(2) Perform a risk assessment in the
dwelling units receiving Federal
assistance, in common areas servicing
those units, and exterior painted
surfaces, in accordance with
§ 35.1320(b), before rehabilitation
begins.
(3) Perform interim controls in
accordance with § 35.1330 of all lead-
based paint hazards identified pursuant
to paragraphs (c)(i) and (c)(2) of this
section and any lead-based paint
hazards created as a result of the
rehabilitation work.
(d) Residential property receiving an
average ofmore than $25,000 per unit
in Federal rehabilitation assistance.
Each grantee, participating jurisdiction.
or CILP recipient shall:
(1) Conduct paint testing or presume
the presence of lead-based paint in
accordance with paragraph (a) of this
section.
(2) Perform a risk assessment in the
dwelling units receiving Federal
assistance and in associated common
areas and exterior painted surfaces in
accordance with § 35.1320(b) before
rehabilitation begins.
(3) Abate all lead-based paint hazards
identified by the paint testing or risk
assessment conducted pursuant to
paragraphs (d)(1) and (d)(2) of this
section, and any lead-based paint
hazards created as a result of the
rehabilitation work, in accordance with
§ 35.1325, except that interim controls
are acceptable on exterior surfaces that
are not disturbed by rehabilitation.
§35.935 Ongoing lead-based paint
maintenance activities.
In the case of a rental property
receiving Federal rehabilitation
assistance under the HOME program or
the Flexible Subsidy-CILP program, the
grantee, participating jurisdiction or
CILP recipient shall require the property
owner to incorporate ongoing lead-
based paint maintenance activities into
regular building operations, in
accordance with § 35.1355(a).
§ 35.940 Special requirements for insufar
areas.
If a dwelling unit receiving Federal
assistance under a program covered by
this subpart is located in an insular area,
the requirements of this section shall
apply and the requirements of § 35.930
shall not apply. All other sections of
this subpart ] shall apply. The insular
area shall conduct the following
activities for the dwelling unit, common
areas servicing the dwelling unit, and
the exterior surfaces of the building in
which the dwelling unit is located:
(a) Residential property receiving an
average of up to and including $5,000
per unit in Federal rehabilitation
assistance. (I) Implement safe work
practices during rehabilitation work in
accordance with § 35.1350 and repair
any paint that is disturbed by
rehabilitation.
(2) After completion of any
rehabilitation disturbing painted
surfaces, perform a clearance
examination of the worksite(s) in
accordance with � 35.1340. Clearance
shall be achieved before residents are
allowed to occupy the worksite(s).
Clearance is not required if
rehabilitation did not disturb painted
surfaces of a total area more than that
set forth in § 35.1350(b).
(b) Residential property receiving an
average ofmore than $5,000 per unitin
Federal rehabilitation assistance. (1)
Before beginning rehabilitation, perform
a visual assessment of all painted
surfaces in order to identify deteriorated
paint.
(2) Perform paint stabilization of each
deteriorated paint surface and each
painted surface being disturbed by
rehabilitation, in accordance with
�§ 35.1330(a) and (b).
(3) After completion of all paint
stabilization, perform a clearance
examination of the affected dwelling
units and common areas in accordance
with § 35.1340. Clearance shall be
achieved before residents are allowed to
occupy rooms or spaces in which paint
stabilization has been performed.
Subpart K—Acquisition, Leasing,
Support Services, or Operation.
§ 35.1000 Purpose and applicability.
(a) The purpose of this subpart K is to
establish procedures [o eliminate as far
as practicable lead-based paint hazards
in a residential property that receives
Federal assistance under certain HUD
programs for acquisition, leasing.
support services, or operation.
Acquisition, leasing, support services,
and operation do not include mortgage
insurance, sale of federally-owned
housing, project-based or tenant-based
rental assistance, rehabilitation
assistance, or assistance to public
housing. For requirements pertaining to
those activities or types of assistance,
see the applicable subpart of this part.
(b) The grantee or participating
jurisdiction may assign to a subrecipient
or other en[ity the responsibilities set
forth in this subpart.
(c)(1) The requirements of this subpart
shall not apply to HOME funds which
are committed to a specific project in
accordance with § 92.2 of this title
before September 1 S, 2000. Such
projects shall be subject to the
requirements of � 92.355 of this title that
were in effec[ at the time of project
commitment, or the requirements of this
subpart.
(2) For the �urposes of the CDBG
Entitlement program and the Indian
Housing Block Grant program, the
requiremen[s oF this subpart shall apply
to all residential rehabilitation activities
(except those otherwise exempted) for
which funds are first obligated on or
after September 15, 2000. For the
purposes of the State. HUD-
Administered Sinall Cities, and Insular
Areas CDBG programs, the requirements
of this subpart shall apply to all covered
activi[ies (except those otherwise
exempted) for which grant funding is
awarded to the unit of local government
by the State or HUD, as applicable, on
or after September 15, 2000. For the
purposes of the Emergency Shelter
Grant Program (42 U.S.C. 11371-11378)
and the formula grants awarded under
the Housing Opportunities for Persons
with AIDS Program (HOPWA) (42
U.S.C. 12901 et. seq.), the requirements
of this subpart shall apply to activities
for which program funds are first
obligated on or after September 15,
2000.
(3) For tl�e purposes of competitively
awarded grants under the HOPWA
Program and [he Supportive Housing
Program (42 U.S.C. 11481-11389), the
requirements of this subpart shall apply
to grants awarded under Notices of
Funding Availability published on or
after September 15, 2000.
(4) For the purposes of the Indian
CDBG program (§ 1003.607 of this title),
the requirements of this subpart shall
not apply to funds whose notice of
funding availability is announced or
funding letter is sent before September
15, 2000. Such project grantees shall be
subject to the regulations in effect at the
time of announcement or funding letter.
Federal Register / Vol. 64, No. 178 / Wednesday, September 15, 1999 / Rules and Regulations 50215
§ 35.1005 Definitions and other general
requirements.
Definitions and other general
requirements that apply to this subpart
are found in subpart B of this part.
§35.1010 Notices and pamphlet
(a) Notice. In cases where evaluation
or hazard reduction, including paint
stabilization, is undertaken, each
grantee or participating jurisdiction
shall provide a notice to residents in
accordance �vith § 35. l 25. A visual
assessment is not considered an
evaluation for purposes of this part.
(b) Lead hazard information
pamphlet. The grantee or participating
jurisdiction shall provide the lead
hazard information pamphlet in
accordance �vith § 35.130.
§35.1015 Visual assessment, paint
stabilization, and maintenance.
If a dwelling unit receives Federal
assistance under a program covered by
this subpart, each grantee or
participating jurisdiction shall conduct
the following activities for the dwelling
unit, common areas servicing the
clwelling unit, and the exterior surfaces
of the building in which the dwelling
unit is located:
(a) A visual assessment of all painted
surfaces in order to identify deteriorated
paint;
(b) Paint stabilization of each
deteriorated pain[ surface, and
clearance, in accordance with
�§35.1330(a) and (b), before occupancy
of a vacant d�velling unit or, where a
unit is occupied, immediately after
receipt of Federal assistance; and
(c) The grantee or participating
jurisdiction shall incorporate ongoing
lead-based paint maintenance activities
into regular building operations, in
accordance with § 35.1355(a).
(d) The grantee or participating
jurisdiction shall provide a notice to
occupants in accordance with
§§ 35.125(b) (1) and (c), describing the
results of the clearance examination.
§ 35.1020 Funding for evaluation and
hazard reduction.
The grantee or participating
jurisdiction shall determine whether the
cost of evaluation and hazard reduction
is to be borne by the o�vner/developer,
the grantee or a combination of tHe
owner/developer and the grantee, based
on program requirements and local
program design. ,
50218 Federal Register / Vol. 64, No. 178 / Wednesday, September 15, 1999 / Rules and Regulations
Evaluation method
Surtace
Floors, µg/ft 2
(mg/m 2)
Interior win-
dow sills, µg/ Window troughs,
ft2 µg/ft z (mg/m 2)
(mg/m 2)
Lead Hazard Screen ................................................................................................................. 25 (0.27) 125 (1.4) Not Applicable.
Risk Assessment ...................................................................................................................... 40 (0.43) 250 (2.7) Not Applicable.
Reevaivation ............................................................................................................................. 40 (0.43) 250 (2.7) Not Applicable.
Clearance .................................................................................................................................. 40 (0.43) 250 (2.7) S00 (8.6).
Note: "Floors" includes carpeted and uncarpeted interior floors.
(ii) Soil. (A) A soil-lead hazard for
play areas frequented by children under
6 years of age shall be bare soil with
lead equal to or exceeding 400
micrograms per gram.
(B) For other areas, soil-lead hazards
shall be bare soil that totals more than
9 square feet (0.8 square meters) per
§ 35.1315 Coliection and laboratory
analysis ot samples.
All paint chip, dust, or soil samples
shall be collected and analyzed in
accordance with standards established
either by a State or Indian tribe under
a program authorized by EPA in
accordance with 40 CFR par[ 745,
subpart Q, or by the EPA in accordance
with 40 CFR 74�.227, and as further
provided in this subpart.
§ 35.1320 Lead-based paint inspections
and risk assessments.
(a) Lead-based paint inspections.
Lead-based paint inspections shall be
performed in accordance �vith methods
and standards established either by a
Sta[e or Indian tribe under a program
authorized by EPA, or by EPA at 40 CFR
745.227(b), except.that the clefinition of
lead-based paint shall not include a
loading (area concentration) or mass
concen[ration greater than that in the
definition at § 35.110 of this part.
(b) Risk assessments. (1) Risk
assessments shall be performed in
accordance with methods and standards
established either by a State or Indian
tribe under a program authorized by
EPA, or by EPA at 40 CFR 745.227(d),
and paragraph (b)(2) of this section.
(2) Risk assessors shall use levels
defining dust-lead hazards and soil-lead
hazards that are no greater than those
promulgated by EPA pursuant to section
403 of the Toxic Substances Control Act
(15 U.S.C. 2683), or, if such levels are
not in effect, the following for dust or
soil:
(i) Dust. A dust-lead hazard shall be
a dust-lead level equal to or greater than
the applicable loading (area
concentration), based on �vipe samples,
in the following table:
Subpart R—Methods and Standards
for Lead-Paint Hazard Evaluation and
Hazard Reduction Activities
§ 35.1300 Pwrpose and applicability.
The purpose of this subpar[ R is to
provide standards and methods for
evaluation and hazard reduction
activities required in subparts B, C, D,
and F through M of this part.
§ 35.1305 Definitions and other general
requirements.
Definitions and other general
requirements that apply to this subpart
are found in subpart B of this part.
§ 35.1310 References.
Further guidance information
regarding evaluation and hazard
reduction activities described in this
subpart is found in the following:
(a) The HUD Guidelines for the
Evaluation and Control of Lead-B'ased
Paint Hazards in Housing (Guidelines);
(b) The EPA Guidance on Residen[ial
Lead-Based Paint, Lead-Contaminated
Dust, and Lead Contaminated Soil:
(c) Guidance, methods or protocols
issued by States and Indian tribes that
have been authorized by EPA under 40
CFR 745.324 to adminis[er and enforce
lead-based paint programs.
INTERIM DUST LEAD STANDARDS
screen indicates the need for a follow-
up risk assessment (e.g., if dust-lead
measurements exceed the levels
established for lead hazard screens in
this section), a risk assessmen[ shall be
conducted in accordance with
paragraphs (b)(1) and (b)(2) of this
section. Dust, soil, and paint samples
collected for the lead hazard screen may
property with lead equal to or exceeding
2,000 micrograms per gram.
(3) Lead hazard screens shall be
performed in accordance with [he
methods and standards established
either by a State or Indian [ribe under
a program authorized by EPA, or by EPA
at 40 CFR 745.227(c), and paragraph
(b) (2) of this section. If the lead hazard
Federal Register / Vol. 64, No. 178 / Wednesday, September 15, 1999 / Rules and Regulations 502I9
be used in the risk assessment. If the
lead hazard screen does not indicate the
need for a follow-up risk assessment, no
further risk-assessment is required.
(c) It is strongly recommended, but
notrequired,thatlead-based paint
inspectors and risk assessors provide a
summary of the results suitable for
posting or distribution to occupants in
compliance with § 35.125.
§ 35.1325 Abatement.
Abatement shail be performed in
accordance wi[h methods and standards
established either by a State or Indian
tribe under a program authorized by
EPA, or by EPA at 40 CFR 745.227(e),
and shall be completed by achieving
clearance in accordance with § 35.1340.
If encapsulation or enclosure is used as
a method of abatement, ongoing lead-
based paint maintenance activities shall
be performed as required by the
applicable st�bpart of this part in
accordance with § 35.1355. Abatement
of an intact, factory-applied prime
coating on metal surfaces is not required
unless the surface is a fric[ion surface.
§ 35.1330 Interim controls.
Interim controls of lead-based Qaint
hazards identified in a risk assessment
shall be conducted in accordance with
the provisions of this section. Interim
control measures include paint
stabiliza[ion of deteriorated paint,
treatments for friction and impact
surfaces where levels of lead dust are
above the levels specified in § 35.1320,
dust control, and lead-contaminated soil
control. As provided by g 35.155,
interim controls may be performed in
combination with, or be replaced by,
abatement methods.
(a) General reguiremen[s. (1} Only
those interim control methods identified
as acceptable methods in a current risk
assessment report shall be used to
control identified hazards, except that,
if only paint stabilization is required in
accordance with subparts F, H. K or M
of this part, it shall not be necessary to
have conducted a risk assessment.
(2) Occupants of dwelling units where
interim controls are being periormed
shall be protected during the course of
the work in accordance with § 35.1345.
(3) Clearance testing shall be
performed at the conclusion of interim
control activities in accordance with
§ 35.1340.
(4) A person performing interim
controls must be trained in accordance
with 29 GFR 1926.59 and either be
supervised by an individual certified as
a lead-based paint abatement supervisor
or have successfully completed one of
the following courses:
(i) A lead-based paint abatement
supervisar course accredited in
accordance with 40 CFR ?45.225;
(ii) A lead-based paint abatement
worker course accredited in accordance
with 40 CFR 745.225;
(iii) The Lead-Based Paint
Maintenance Training Program, "Work
Smart, Work Wet, and Work Clean to
Work' Lead Safe," prepared by the
[Vational Environmental Training
Association for EPA antt HUD;
(iv) "The Remodeler's and
Renovator's Lead-Based Paint Training
Program," prepared by HUA and the
IVational Association of the Remodeling
Industry; or
(v) Another course approved by HUD
for this purpose after consultation with
EPA.
(b) Paintstabilization. (1) Interim
control treatments used to stabilize
cleteriorated lead-based paint shall be
performed in accordance with the
requirements of this section. Interim
control treatments of intact. factory
applied prime coatings on metal
surfaces are not requireci. Finish
coatings on such surfaces shall be
treated by interim controls if those
coatings contain lead-based paint.
(2) Any physical defect in the
substrate oF a painted surface or
component that is causing deterioration
of the surface or component shall be
repaired before treating the surface or
component. Examples of defective
substrate conditions include dry-rot.
rust, moisture-related ciefects, crumbling
plaster, and missing siciing or other
components that are not securely
fastened.
(3) Before applying new paint, all
loose paint and other loose material
shall be removed from the surface to be
treated. Acceptable methods for
preparing the surface to be treated
include wet scraping, wet sanding, and
power sanding performed in
conjunction with a HEPA filtered local
exhaust attachment operated according
to the manufacturer's instructions.
(4) Dry sanding or dry scraping is
permitted only in accorclance with
§ 35.140(e) (i.e., for electrical safe[y
reasons or for specified minor amounts
of work).
(5) Paint stabilization shall include
the application of a new protective
coa[ing or paint. The surface substrate
shall be dry and pro[ected From future
moisture damage beFore applying a new
protective coating or paint. All
protective coatings and paints shall be
applied in accordance with the
manufacturer's recommendations.
(6) Paint stabilization shall
incorporate the use of safe worlc
practices in accordance with § 35.1350.
(c) Friction and impact surfaces. (1)
Friction surfaces are required to be
treated only if:
(i) Lead dust levels on the nearest
horizontal surface underneath the
friction surface (e.g., the window sill,
window trough, or floor) are equal to or
greater than the standards specified in
35.1320 (b) ;
{ii) There is evidence that the paint
surface is subject to abrasion; and
(iii) Lead-based paint is known or
presumed to be present on the friction
surface.
(2) Impact surfaces are required to be
treateci only if:
(i) Paint on an impact surface is
ciamaged or otherwise deteriorated;
(ii) The damaged pain[ is caused by
impac[ from a related building
component (such as a cloor knob that
knocl:s into a wall, or a door that knocks
against its door frame); and
(iii) Lead-based paint is known or
presumed to be present on the impact
surface.
(3) Examples of building components
that may contain friction or impact
surfaces include the following:
(i) Window systems:
(ii) Doors;
(iii) Stair treads and risers;
(iv) Baseboards:
(v) Dra�vers and cabinets; and
(vi) Porches, decks, interior floors,
and any other painted surfaces that are
abraded, rubbed, or impacted.
(4) Interim control treatments for
friction surfaces shall eliminate friction
points or treat the friction surface so
that paint is not subject to abrasion.
Examples of acceptable treatments
include rehanging and/or planing doors
so tha[ the door does not rub against the
door frame, and installing window
channel guide's that reduce or eliminate
abrasion of painted surfaces. Paint on
stair treads and floors shall be protected
with a durable cover or coating that will
prevent abrasion of the painted surfaces.
Examples of acceptable materials
include carpeting, tile, and sheet
flooring.
(5) Interim control treacments for
impact surfaces shall protec[ the paint
from impact. Examples of acceptable
treatments include treatments that
eliminate impact with the paint surface.
such as a door stop to prevent a door
from striking a �vall or baseboard.
(6) lnterim control for impact or
friction surfaces does not include
eovering such a surface with a coating
or other treatment, such as painting over
the surface, that does not protect lead-
based paint from impact or abrasion.
50220 Federal Register / Vol. 64, No. 178 / Wednesday, September 15, 1999 / Rules and Regulations
(d) Chewable surfaces. (1) Chewable
surfaces are required to be treated only
if there is evidence that a child of less
than 6 years of age has chewed on the
painted surface, and lead-based paint is
known or presumed to be present on the
surface.
(2) Interim control treatments for
chewable surfaces shall make the lead-
based paint inaccessible for chewing by
children of less than 6 years of age.
Examples include enclosures or coatings
that cannot be penetrated by the teeth of
such children.
(e) Dust-lead hazard control. (1)
Interim control trea[ments used to
control dust-lead hazards shall be
performed in accordance with the
requirements of this section. Additional
information on dust removal is found in
the HUD Guidelines, particularly
Chapter 11 (see � 35.1310).
(2) Dust con[rol shall involve a
thorough cleaning of all horizontal
surfaces, such as interior �vindow sills,
window troughs, floors, and stairs, but
excluding ceiLings. All horizontal
surfaces, such as floors, stairs, window
sills and window troughs, that are
rough, pitted, or porous shall be covered
with a smooth, cleanable covering or
coating, such as metal coil stock, plastic,
polyurethane, or linoleum.
(3) Surfaces covered by a rug or
carpeting shall be cleaned as follows:
(i) The floor surface under a rug or
carpeting shall be cleaned where
feasible, including upon removal of the
rug or carpeting, with a HEPA vacuum
or other method of equivalent efficacy.
(ii) An unattached rug or an attached
carpet that is to be removed, and
padding associated with such rug or
carpet, located in an area of the
dwelling unit with dust-lead hazards on
the floor, shall be thoroughly vacuumed
with a HEPA vacuum or other method
of equivalent efficacy. Pratective
measures shall be used to prevent the
spread of dust during removal of a rug,
carpet or padding from the dwelling.
For example, it shall be misted to
reduce dust generation during removal.
The item(s) being removed shall be
�vrapped or otherwise sealed before
removal from the worksite.
(iii) An attached carpet located in an
area of the dwelling unit �vith dust-lead
hazards on the floor shall be thoroughly
vacuumed wi[h a HEPA vacuum or
other method of equivalent efficacy if it
is not to be removecl.
(� Soil-lead hazards. (1) Interim
control treatments used to control soil-
lead hazarcls shall be performed in
accordance with this section.
(2) Soil with a leac( concentration
equal to or greater than 5,000 Etg/g of
lead shall be abated in accordance with
40 CFR 745.227(e).
(3) Acceptable interim control
methods for soil lead are impermanent
surface coverings and land use controls.
(i) Impermanent surface coverings
may be used to treat lead-contaminated
soil if applied in accordance with the
following requirements. Examples of
acceptable impermanent coverings
include gravel, bark, sod, and artificial
turf.
(A) Impermanent surface coverings
selected shall be designed to withstand
the reasonably-expected traffic. For
example, if the area to be treated is
heavily traveled, neither grass or sod
shall be used.
(B) When loose impermanent surface
coverings such as bark or gravel are
used, they shall be applied in a
thickness not less than six inches deep.
(C) The impermanent surface covering
material shall not contain more than 200
µg/g of lead.
(D) Adequate controls to prevent
erosion shall be used in conjunction
with impermanent surface coverings.
(ii) Land use controls may be used to
reduce exposure to soil-lead hazards
only if they effectively control access to
areas with soil-lead hazards. Examples
of land use controls include: fencing,
warning signs, and landscaping.
(A) Land use controls shall be
implemented only if residents have
reasonable alternatives to using the area
to be controlled.
(B) If land use controls are used for a
soil area that is subject to erosion,
measures shall be taken to contain the
soil and control dispersion of lead.
§ 35.1335 Standard treatments.
Standard treatments shall be
conducted in accordance with this
section.
(a) Paint sta6ilization. All deteriorated
paint on exterior and interior surfaces
located on the residential property shall
be stabilized in accordance with
§ 35.1330(a)(b), or abated in accordance
with § 35.1325.
(b) Smooth and cleanable horizontal
surfaces. All horizontal surfaces, such
as uncarpeted floors, stairs, interior
window sills and winclow troughs, that
are rough, pitted, or porous, shall be
covered with a smooth, cleanable
covering or coating, such as metal coil
stock, plastic, polyurethane, or
linoleum.
(c) Correcting dus[-generating
conditions. Conditions causing friction
or impact of painted surfaces shall be
corrected in accordance with
§ 35.1330(c) (4)—(6).
(d) Bare residential soil. Bare soil
shall be treated in accordance with the
requirements of § 35.1330, unless it is
found not to be a soil-lead hazard in
accordance with § 35.1320(b).
(e) Safe work practices. All standard
treatments described in paragraphs (a)
through (d) of this section shall
incorporate the use of safe work
practices in accordance with § 35.1350.
(fl Clearance. A clearance
examination shall be performed in ,
accordance with § 35.1340 at the
conclusion of any lead hazard reduction
activities.
(� Qualifications. An individual
performing standard treatments must
meet the training and/or supervision
requirements of §35.1330(a)(4).
§35.1340 Clearance.
Clearance examinations required
Lmder subparts B, C, D, F through M,
and R, of this part shall be performed in
accordance with the provisions of this
section.
(a) Clearance following abatement.
Clearance examinations performed
following abatement of lead-based paint
or lead-based paint hazards shall be
performed in accordance with 40 CFR
745.227(e) and paragraphs (c)—(� of this
section. Such clearances shall be
performed by a person certified to
perform risk assessments or lead-based
pain[ inspections.
(b) Clearance following activities
other than abatement. Clearance
examinations performed following
interim controls, paint stabilization,
standard treatments, ongoing lead-based
paint maintenance, or rehabilitation
shall be performed in accordance with
the requirements of this paragraph (b)
and paragraphs (c)—(g) of this section.
(1) Qualified personnel. Clearance
examinations shall be periormed by:
(i) A certified risk assessor;
(ii) A certified lead-based paint
inspector;
(iii) A person �vho has successfully
completed a training course for
clearance technicians (or a discipline of
similar purpose and title) that is
developed or accepted by EPA or a State
or tribal program authorized by EPA
pursuant to 40 CFR part 745, subpart Q,
and that is given by a training provider
accredited by EPA or a State or Indian
tribe for training in lead-based paint
inspection or risk assessment. provided
a certified risk assessor or a certified
lead-based paint inspector approves the
work of the clearance technician and
signs the report of the clearance
examination; or
(iv) A technician licensed or certified
by EPA or a State or Inclian tribe to
perform clearance examinations without
the approval of a certified risk assessor
or certified lead-based paint inspector,
Federal Register / Vol. 64, No. 178 / Wednesday, September 15, 1999 / Rules and Regulations 50221
provided that a clearance examination
by such a licensed or certified
technician shall be performed only for
a single-family property or individual
dwelling units and associated common
areas in a multi-unit property, and
provided further that a clearance
examination by a such a licensed or
certified clearance technician shall not
be performed using random sampling of
dwelling units or common areas in
multifamily properties, except that a
clearance examination performed by
such a licensed or certified clearance
technician is acceptable for any
residential property if the clearance
examination is approveci and the report
signed by a cei•tified risk assessor or a
certifieci lead-based painc inspector.
(2) Required activities. (i) Clearance
examinations shall inclucie a visual
assessment, dust sampling, submission
of samples for analysis for lead,
interpreta[ion of sampling results, and
preparation of a report. Clearance
examinations shall be performed in
dwelling units, common areas and
exterior areas in accordance with this
section and the steps set forth at 40 CFR
745.227(e)(8). If clearance is being
performed for more than 10 dwelling
uni[s of similar construction and
maintenance, as in a mul[ifamily
property, random sampling for the
purposes of clearance may be conducted
in accordance with 40 CFR
745.227(e) (9).
(ii) The visual assessment shall be
performed to determine if deteriorated
paint surfaces and/or visible amounts of
dust, debris, paint chips or other residue
are still present. Both exterior and
interior painted surfaces shall be
examined for the presence of
deteriorated paint. If deteriorated paint
or visible dust, debris or residue are
present in areas subject to dust
sampling, they must be eliminated prior
to the continuation of the clearance
examination, except elimination of
.deteriorated paint is not required if it
has been determined, through paint
testing or a lead-based paint inspection,
that the deteriorated paint is not lead-
based paint. If exterior painted surfaces
have been disturbed by the hazard
reduction, maintenance or rehabilitation
activity, the visual assessment shall
include an assessment of the ground
ancl any outdoor living areas close to the
affected exterior pain[ed surfaces.
Visible dust or debris in living areas
shall be cleaned up and visible paint
chips on the ground shall be removed.
(iii) Dust samples shall be wipe
samples anci shall be taken on floors
and, where practic�ble, interior window
sills and windaw troughs. Dust samples
shall be collected and analyzed in
accordance with § 35.1315 of this part.
(iv) Clearance reports shall be
prepared in accordance with paragraph
(c) of this section.
(c) Clearance report. When clearance
is required, the designated party shall
ensure that a clearance report is
prepared that provides. documentation
of the hazard reduction or maintenance
activi[y as well as the clearance
examination. When abatement is
performed, the report shall be an
abatement report in accordance with 40
CFR 745.227(e)(10). When another
hazard reduction or maintenance
activity requiring a clearance report is
performed, the report shall include the
following information:
(I) The address of the residential
property and, if only part of a
multifamily property is affected, the
specific dwelling units and common
areas affected.
(2) The following information on the
clearance examination:
(i) The date(s) of the clearance
examination;
(ii) The name, address, and signature
of each person performing the clearance
examination, including certification
number:
(iii) The results of the visual
assessment for the presence of
cteteriorated paint and visible dust,
c(ebris, residue or paint chips;
(iv) The results of the analysis of dust
samples, in µg/sq.ft., by location of
sample; and
(v) The name and address of each
laboratory that conducted the analysis
of the dust samples, including the
identification number for each such
laboratory recognized by EPA under
section 405(b) of the Toxic Substances
Control Act (15 U.S.C. 2685(b)).
(3) The following information on the
hazard reduction or maintenance
activity for which clearance was
performed:
(i) The start and completion dates of
the hazard reduction or maintenance
activity;
(ii) The name and address of each
firm or organization conducting the
hazard reduction or maintenance
activity and the name of each supervisor
assigned;
(iii) A detailed written description of
the hazard reduction or maintenance
activity, including the methods used,
locations of exterior surfaces, interior
rooms, common areas, and/or
components �vhere the hazard reduction
activity occurred, and any suggested
monitoring of encapsulants or
enclosures; and
(iv) If soil hazards �vere reduced, a
detailed description of the location(s) of
the hazard reduction activity and the
method(s) used.
(d) Standards. The clearance
standards in § 35.1320(b) (2) shall apply.
If test results equal or exceed the
standards, the dwelling unit, worksite,
or common area represented by the
sam le fails the clearance examination.
(e�C/earance failure. All surfaces
represented by a failed clearance sample
shall be recleaned or treated by hazard
reduction, and retested, until the
applicable clearance level in
§ 35.1320(b) (2) is met.
(� Independence. Clearance
examinations shall be performed by
persons or entities independent of those
performing hazard reduction or
maintenance activities, unless the
designated par[y uses qualified in-house
employees to conduct clearance. An in-
house employee shall not conduct bo[h
a hazard reduction or maintenance
activity and its clearance examination.
(� Worksite clearance. When
clearance is of an interior �vorksite, not
an entire dwelling unit or residential
property, dust samples taken for
paragraph (b) of this section shall be
taken from the floor and �vindow (if
available) to represent the area within
the dust containment area. Clearance is
not required if maintenance or hazard
reduction activities in the �vorksite do
not disturb painted surfaces of a total
area more than that set forth in
� 35.1350(d)
§ 35.1345 Occupant protection and
worksite preparation.
This section establishes procedures
for protecting dwelling unit occupants
and the environment from
contamination from lead-contaminated
or lead-containing materials during
hazard reduction activities.
(a) Occupantprotection. (1)
Occupants shall not be permitted to
enter the worksite during hazard
reduction activities (unless they are
employed in the conduct of these
activities at the worksite), until after
hazard reduction work has been
completed and clearance. if required,
has been achieved.
(2) Occupants shall be temporarily
relocated before and during hazard
reduction activities to a suitable, decent,
safe, and similarly accessible dwelling
unit that does not have lead-based paint
hazards, except if:
(i) Treatment �vill not disturb lead-
based paint, clust-lead hazards or soil-
lead hazards;
(ii) Only the exterior oE' the dwelling
unit is treated, and windows, doors,
ventilation intakes and other openings
in or near the worksite are sealed during
hazard control work and cleaned
50222 Federal Register / Vol. 64, 1Vo. 178 / Wednes�lay, September 15, 1999 / Rules and Regulations
afterward, and entry free of dust-lead
hazards, soil-lead hazards, and debris is
provided;
(iii� Treatment of the interior will be
completed within one period of 8-
daytime hours, the worksite is
contained so as to prevent the release of
leaded dust and debris into other areas,
and treatment does not create other
safety, health or environmental hazards
(e.g., exposed live electrical wiring,
release of toxic fumes, or on-site
disposal of hazardous waste); or
(iv) Treatment of the interior will be
completed within 5 calendar days, the
worksite is contained so as to prevent
the release of leaded dust and debris
into other areas, treatment does not
create other safety, health or
environmental hazards; and, at the end
of work on each day, the worksite and
the area within at least 10 feet (3 meters)
of the containment area is cleaned to
remove any visible dust or deliris, and
occupants have safe access to sleeping
areas, and bathroom and kitchen
facilities.
(3} The dweiling unit and the
worksite shall be secured against
unauthorized entry, and occupants'
belongings protected from
contamination by dust-lead hazards and
debris during hazard reduction
activities. Occupants' belongings in the
containment area shall be relocated to a
safe and secure area outside the
containment area, or covered with an
impermeable covering with all seams
and edges taped or otherwise sealed.
(b) Worksite preparation. (1) The
worksite shall be pcepared to prevent
the release of leaded dust, and contain
lead-based paint chips and other debris
from hazard reduction activities within
the worksite until they can be safely
removed. Practices that minimize the
spread of leaded dust, paint chips, soil
and debris shall be used during worksite
preparation.
(2) A warning sign shall be posted at
each entry to a room where hazard
reduction activities are conducted when
occupants are present: or at each main
and secondary entryway to a building
from which occupants have been
relocateci; or, for an exterior hazard
reduction act9vity, where it is easily
read 20 feet (6 meters) from the edge of
the hazard reduction activity worksite.
Each warning sign shall be as described
in 29 CER 1926.62(m), except that it
shall be posted irrespective of
employees' lead exposure and, to the
extent practicable, provided in the
occupants' primary language.
§ 35.1350 Safe work practices.
(a) Prohibited methods. Methods of
paint removat listed in � 35.140 shall
not be used.
(b) Occupant protection and worksite
preparation. Occupants and their
belongings shall be protected, and the
worksite prepared, in accordance with
§ 35.1345.
(c) Specialized cleaning. After hazard
reduction ac[ivities have been
completed. the worksite shall be .
cleaned using cleaning methods,
products, and devices that are
successful in cleaning up dust-lead
hazards, such as a HEPA vacuum or
other method of equivalent efficacy, and
lead-specific detergents or equivalent.
(d) De minimis levels. Safe work
practices are not required when
maintenance or hazard reduction
activities do not disturb painted
surFaces that total rnore than: •
(1) 20 square feet (2 square meters) on
exterior surfaces; .
(2) 2 square feet (0.2 square meters) in
an one interior room or space; or
(�3) 10 percent of the total surface area
on an interior or exterior type of
component with a small surface area.
Examples include �vindow sills,
baseboards, and trim.
§ 35.1355 Ongoing lead-based paint
maintenance and reevaluation activities.
(a) Maintenance. Maintenance
ac[ivities shall be conducted in
accordance with paragraphs (a) (2)-(6) of
this section, except as provided in
paragraph (a)(1) of this section.
(1) Maintenance activities need not be
conclucted in accordance with this
section if both of the following
conditions are met, as applicable:
(i) Either a lead-based paint
inspection indicates that no lead-based
paint is present in the ctwelling units,
common areas, and on exterior surfaces,
or a clearance report prepared in
accordance with � 35.1340(a) indicates
that all lead-based paint has been
removed: and
(ii) If a risk assessment is required by
the applicable subpart of this part, a
current risk assessment indicates that no
soil-lead hazards and no dust-lead
hazards are present.
(2) A visual assessment for
deteriorated paint, bare soil, and the
failure of any hazard reduction
measures shall be performed at unit
turnover and every twelve months.
(3) (i) De[eriorated paint. All
cleteriorated paint on interior and
ex[erior surfaces located on the
i•esidential property shall be stabilized
in accordance with § 35.1330(a)(b),
except for any paint that an evaluation
has found is not lead-based paint.
(ii) Bare soil. All bare soil shall be
treated with standard treatments in
accordance with § 35.1335 (d) through
(�, or interim controls in accordance
with § 35.1330(a) and (fl; except for any
bare soil that a current evaluation has
found is not a soil-lead haxard.
(4) Safe work practices, in accordance
with sec. 35.1350, shall be used when
performing any maintenance or
renovation work that disturbs paint that
may be lead-b'ased paint.
(5) Any encapsulation or enclosure of
lead-based paint orlead-based paint
hazards which has failed to maintain its
effectiveness shall be repaired, or
abatemen[ or interim controls sha11 be
performed in accordance with
§§ 35.1325 or 35.1330, respectively.
(6} Clearance testing of the worksite
shall be performed at the conclusion of
repair, abatement or interim controls in
accordance with � 35.1340.
(7) Each dwelling unit shall be
provided with written notice asking
occupants to report deteriorated paint
and, if applicable, failure of
encapsulation or enclosure. along with
the name, address and telephone
number of the person whom occupants
should contact. The language of the
notice shall be in accordance with
§35.125(c)(3). The designated party
shall respond to such reporc and
stabilize the deteriorated paint or repair
the encapsulation or enclosure within
30 days.
(b) Reevaluation. Reevaluation shall
be conducted in accordance with this
paragraph (b), and the designated party
shall conduct interim controls of lead-
based paint hazards found in the
reevaluation.
(1) Reevaluation shall be conducted if
hazard reduction has been conducted to
reduce lead-based paint hazards found
in a risk assessment or if standard
[reatments have been conducted, except
that reevaluation is not required if any
of the following cases are met:
(i) An initial risk assessment found no
lead-based paint hazards;
(ii) A lead-based paint inspection
found no lead-based paint: or
(iii) All lead-based paint was abated
in accordance with � 35.1325, provided
that no failures of encapsulations or
enclosures have been found during
visual assessments conducted in
accordance with � 35.1355(a)(2) or
during other observations by
maintenance and repair workers in
accordance with § 35.1355 (a) (5) since
the encapsula[ions or inclosures were
performed.
(2) Reevaluation shall be conducted to
identify:
(i) Deteriorated paint surfaces �vith
known or suspected lead-based paint;
Federal Register / Vol. 64, No. 178 / Wednesday, September 15, 1999 / Rules and Regulations 50223
(ii) Deteriorated or failed interim
controls of lead-based paint hazards or
enca sulation or enclosure treatments;
(iii� Dust-lead hazards; and
(iv) Soil that is newly bare wlth lead
levels equal to or above the standards in
§ 35.1320(b) (2).
(3) Each reevaluation shall be
performed by a certified risk assessor.
(4) Each reevaluation shall be
conducted in accordance �vith the
following schedule iE a risk assessment
or other evaluation has found
deteriorated lead-based paint in the
residential property, a soil-lead hazard,
or a dust-lead hazard on a floor or
interior window sill. (Window troughs
are not sampled during reevalua[ion).
The first reevaluation shall be
conducted no later than t4vo years from
completion of hazard reduction.
Subsequent reevaluation shall be
conducted at intervals of two years, plus
or minus 60 days. To be exempt from
additional reevaluation, at least two
consecutive reevaluations conducted at
such two-year intervals must be
conducted without finding lead-based
paint hazards or a failure of an
encapsulation or enclosure. If, however,
a reevatuation finds lead-based paint
hazards or a failure. a[ least two more
consecutive reevaluations conducted at
such two year intervals must be
conducted without finding lead-based
paint hazards or a failure.
(5) Each reevaluation shall be
performed as follows:
(i) Dwelling units and common areas
shall be selected and reevaluated in
accordance �vith � 35.1320(b).
(ii) The worksites of previous hazard
reduction activities that are similar on
the basis of their original lead-based
paint hazard and type of trea[ment shall
be grouped. Worksites within such
groups shall be selected and reevaluated
in accordance with � 35.1320(b).
(6) Each reevaluation shall include
reviewing available information,
conducting selected visual assessment,
recommending responses to hazard
reduction omissions or failures,
performing selected evaluation of paint,
soil and dust, and recommending
response to newly-founcl lead-based
paint hazards.
(i) Review of available informatian.
The risk assessor shall review any
available pas[ evaluation, hazard
rectuction and clearance reports, and
any other available information
describing hazard reduction measures.
ongoing maintenance activities, and
relevant building operations.
(ii) Visual assessrnent. The risk
assessor shal l:
(A) Visually evaluate ali lead-based
paint hazard reduction treatments, any
known ot st�spected lead-based pa�nt,
any deteriorated paint, and each exterior
site, and shall identify any new areas of
bare soil;
(B) Determine acceptable options for
controlling the hazard; and
(C) Await the correction of any hazard
reduction omission or failure and the
reduction of any lead-based paint
hazard before sampling any dust or soil
the risk assessor determines may
reasonably be associated with such
hazard.
(iii) Reaction to hazard reduction
omission or failure. If any hazard
reduction control has not been
implemented or is failing (e.g., an
encapsulant is peeling away from the
wall, a paint-stabilized surface is no
longer intact, or gravel covering an area
of bare soil has worn away), or
deteriorated lead-based paint is presen[,
the risk assessor shall:
(A) Determine acceptable options for
con[rolling the hazard; and
(B) Await the correction of any hazard
reduction omission or failure and the
reduction of any lead-based paint
hazard before sampling any dust or soil
the risk assessor determines may
reasonably be associated with such
hazard.
' (iv) Selected paint, soil and dust
evaluation. (A) The risk assessor shall
sample deteriorated paint surfaces
identified during [he visual assessment
and have the samples analyzed, in
accordance with 40 CFR
745.227(b)(3)(4), but only if reliable
information about lead content is
unavailable.
(B) The risk assessor shall evaluate
new areas of bare soil identified during
the visual assessment. Soil samples
shall be collected and analyzed in
accordance with 40 CFR 745.227(d)(8)—
(11), but only if the soil lead levels have
not been previously measured.
(C) The risk assessor shall take
selected dust samples and have them
analyzed. Dust samples shall be
collected and analyzed in accordance
with § 35.1320(b). At least two
composite samples, one from floors and
the other from interior 4vindow sills.
shall be taken in each dwelling unit and
common area selected. Each composite
sample shall consist of four individual
samples, each collected from a different
room or area. If the dwelling unit
contains both carpeted and uncarpeted
living areas, separate floor samples are
required from the carpeted and
uncarpeted areas. Equivalent single-
surface sampling may be used instead of
composite sampling.
(7) The risk assessor shall provide the
designated party with a written report
documenting the presence or absence of
lead-based paint hazards, the current
status of any hazard reduction and
standard treatment measures used
previously and any newly-conducted
evaluation and ha2ard reduction
activities. The report shall include the
information in 40 CFR 745.227(d)(11),
and shall:
(i) Identify any lead-based paint
hazards previously detected and discuss
the effectiveness of any hazard
reduction or standard treatment
measures used, and list those for which
no measures have been used.
(ii) Describe any new hazards found.
and present the owner wi[h acceptable
control options and their accompanying
reevaluation schedules.
(iii) Identify when the next
reevaluation, if any, must occur, in
accordance with the requirements of
paragraph (b) (4) oF this section.
(c) Response to the reevaluation. (1)
Hazard reduction omission or failure
found by a reevaluation. The designated
party shall respond in accordance with
Qaragraph (b)(6)(iii)(A) of this section to
a report by the risk assessor of a hazard
recluction control that has not been
implemented or is failing, or that
deteriora[ed lead-based paint is present.
(2) Newly-identified lead-based paint
hazard found by a reevaluation. The
designated party shall treat each:
(i) Dust-lead hazard or paint lead
hazard by cleaning or hazard reduction
measures, �vhich are considered
completed when clearance is achieved
in accordance with § 35.1340.
(ii) Soil-lead hazard by hazard
reduction measures, �vhich are
considered completed rvhen clearance is
achieved in accordance with § 35.1340.
Disciosure of Information on Lead-Based Paint and/or Lead-Based Pairtt Hazards
Lead Warning Statemerrt
Every purchaser of any interpst in residenfial real properly on which a residential dwelling was built prior to 1978 is
not�'fied that such property may preseni exposure to lead from lead-based paint that may place young children at risk
of developing lead poisoning. tead poisoning in young chi►dren may produce permanent neuroiogicai damage,
including leaming disabilities, reduced intelligence quotien� behavioral problems, and impaired memory. Lead
poisoning also poses a particu(ar risk to pregnant women. The se/1er of any interesE in residenfia( rea( property is
required to provide the buyer wifh any informafion on lead-based paint hc¢ards from risk assessments or inspecfions
in the seller's possession and natify the buyer of any Imown lead-based paint hazards. A risk ctssessmenf or inspe�iion
for possrble lead-based paint hazards is recommended prior to purchase.
SelleYs Disclosure
(a) Presence of lead-based paint and/or lead-based paint hazaras (check (i) or (ii) below):
(i)
(ii)
Known lead-based paint and/or lead-based paint hazards are present in the housing
(explain). �
Seiler has no knowiedge of iead-based paint and/or lead-based paint hazards in the housing.
(b) Records and reports availabie to the seller (check�(i) or (ii) below):
{i) Seller has provided the purchaser with all available records and reports pertaining to lead-
based paint and/or lead-based paint hazards in the housing (iist documents below).
(ii� Seller has no reports or records pertaining to lead-based paint and/or lead-based paint
hazards in the housing.
Purchasers Acknowledgment (initial)
(c) Purchaser has received copies of all information listed above.
(d) Purchaser has received the pamph{et Proteti Your Family from Lead in Your Home.
(e) Purchaser has (check (i) or (ii) below):
(i) received a 10-day opportunity (or mutually agreed upon period) to conduct a risk assess-
ment or inspection for the presence of lead-based paint and/or lead-based paint hazards; or
(ii) waived the opportunity to conduct a risk assessment or inspection for the presence of
lead-based paint and/or lead-based paint hazards.
Agen�s Acknowtedgment (initial)
Agent has informed the seller of the seller's obligations under 42 U.S.C. 4852(d) and is
aware of his/her responsibility to ensure compliance.
��
Ceriificatian of Accuracy
The following parties have reviewed the informaiion above and certify, to the best of iheir knowtedge, that the
9nformation they have provided is true and accurate.
Seller
Purchaser
Agent
Date Sefler
Date Purchaser
Date Agent
Date
Date
Date
Dedarad6n de Informad6n wbre Pintura a Base de Piomo y/o Peiigros de ta Pintura a Base de Plomo
Decfaracibn sobre los Peligros dei Plomo
Se noflf)ca a todo comprador de cualquier inter�s en propledad real resldencia! en la cual fue construlda una vlvlenda
resldenclal antes del ano 1978, que dlcha propledad puede presentrar una expostct6n a plomo de !a pinfura a base de plomo
gue podr(a poner a nlnos J6venPs en sltuacl6n de rlesgo de desarrol/ar envenenamlenfo de plomo. E! envenenamler►io de
plomo en ninos jbvenes puede producir danos neurol6glcos permanentes, Incluyendo lncapacldad para el aprendlza)e,
cociente de lnte!lgencla reducldo, problemas de comportamtento y memorta danada. EI envenenamlenfo de plomo fambl�n
representa un pellgro especlal paralas mujeres embarazadas. E/ vendedor de cuaiqutertnter�s en una prop►edad prtvada real
resldencla! tlene la obllgad6n de proporclonarfe al comprador toda la lnformaddn que posea sobre Ios peligros de la pintura
a base de plomo que se hayan determ)nado en evaluaciones o Jnspeaiones de rlesgo y de notifrcar/e al comprador sobre
cualquter peltgro que conozca de la pinfura a base de plomo. Se recomienda realizar una evaluacl6n o inspecct6n de posibles
pellgros de la pintura a base de plomo antes de la mmpra.
DeclaraciGn del Vendedor
(a) Presencia de pirrtura a base de plomo y/o �eligros de pir�tura a base de plomo (marque (i� d(ll) abaJo):
(i) Conflrmado que hay pintura a base de plomo y/o peligro de pintura a base de plomo en la vivlenda
(explique).
(ii) EI vendedor no tiene ningun conocimiento de que haya pintura a base de plomo y/o peligro de
pintura a base de plomo en la vivienda.
(b) Archivos e informes disponibles para el vendedor (marque (i) b(ii) abajo):
(i) EI vendedor le ha proporcionada al comprador todos los archlvos e informes disponibles reladona-
dos con pintura a base de plomo y/o peligro de pintura a base de plomo en la vivienda (anote los
documentos abajo).
(ii} EI vendedor no tiene archivos ni irtformes relacionados con pintura a base de p{omo y!o peligro de
pintura a base de plomo en la vivienda. _
Acuse de Recibo del Comprador (iniciai)
(c) El comprador ha recibido copias de foda la informacion indicada arriba.
(d) EI comprador ha recibido el folleto titulado Profef a a Su FamJlla de! Plomo en Su Casa.
(e) E{ comprador ha (marque (i) d(ii) abajo};
(i} recibido una oportunidad por 10 dias (o un periodo de tiempo de mutuo acuerdo) para hacer una
evaluacion o inspeccion de riesgo de presenaa de pintura a base de plomo o de peligros de pintura
a base de plomo; o
(ii) renunciado a la oportunidad de hacer una evaluacion o inspeccion de riesgo de presencia de
pintura a base de plomo o de peligros de pintura a base de plomo.
Acuse de Recibo del Agente (iniciai)
(fl EI agente le ha informado al vendedor de las obligadones del vendedor de acuerdo con
42 U.S.C. 4852(d) y esEa consciente de su responsabilidad de asegurar su cumpiimiento.
CertificaciGn de Exactitud
l.as partes siguientes han revtsado la informacion que aparece arriba y certifican que, segitn su entender, toda 1a
informacidn que han proporcionado es verdadera y exacta.
Vendedor Fecha V2ndedor Fecha
Comprador Fecha Comprador Fecha
Agente Fecha Agente Fecha
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any houses and apartments built before 1978 have
paint that contains lead (called lead-based paint). Lead
from paint, chips, and dust can pose serious health
hazards if not taken care of properly.
Federal law requires that individuals receive certain information
before renting, buying, or renovating pre-1978 housing:
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L��9�i�Ci��� have to disclose known infor-
mation on lead-based paint and lead-based
paint hazards before leases take effect.
Leases must include a disclosure form
about lead-based paint.
S��LE�� have to disclose known informa-
tion on lead-based paint and lead-based
paint hazards before selling a house. Sales
contracts must include a disclosure form
about lead-based paint. Buyers have up to
10 days to check for lead hazards.
���i�i���'C3� S have to give you this
pamphiet before starting work. (After
June 1, 1999.)
��''��� 1�'�1VT i1t9C3RE 1�F���S1��'!i)3�
on these requirements, call the
National Lead Information Clearinghouse
at 1-800-424-LEAD.
This document is in the public domain. It may be reproduced by an individual or
organization without permission. Information provided in this booklet is based
upon current scientific and technicai understanding of the issues presented and
is reFlective of the jurisdictional boundaries established by the statutes governing
the co-authoring agencies. following the advice given will not necessarily pro-
vide complete protection in all situations or against all health hazards that can
be caused bylead exposure.
0
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��t�i: Lead exposure can harm young
children and babies even before they
are born.
����': Even children who seem healthy can
have high levels of lead in their bodies.
����`: People can get lead in their bodies by
breathing or swallowing lead dust, or by
eating soil or paint chips containing
lead.
�',���": People have many options for reducing
lead hazards. 1n most cases, lead-based
paint that is in good condition is not a
hazard.
a ��G�': Removing lead-based paint improperly
can increase the danger to your family.
- If you think your home might have lead
i hazards, read this pamphlet to learn some
simple steps to protect your family.
�. , , �
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People can get lead in their body if they:
� Put their hands or other objects
covered with lead dust in their mouths.
� Eat paint chips or soil that contains
lead.
� Breathe in lead dust (especially during
renovations that disturb painted
surfaces) .
Lead is even more dangerous to children
than adults because:
Babies and young children often put
their hands and other objects in their
mouths. These objects can have lead
dust on them.
� Children's growing bodies absorb more
lead.
Children's brains and nervous systems
are more sensitive to the damaging
effects of lead.
S �'
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Lead's Effects
If not detected early, children with high
levels of lead in their bodies can suffer
from:
Damage to the brain and
nervous system
� Behavior and learning
problems (such as hyperactivity)
� Slowed growth
� Hearing problems
� Headaches
Lead is also harmful to adults. Adults
can suffer from:
� Difficulties during pregnancy
� Other reproductive problems (in both
men and women)
� High blood pressure
� Digestive problems
� Nerve disorders
� Memory and concentration problems
� Muscfe and joint pain
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�� �����.��� Many homes buiit before 1978 have lead-
based paint. The federal government
��� ����� ���� banned lead-based paint from housing in
����: ��� 1978. Some states stopped its use even
���� ������ �� earlier. Lead can be found:
��� ��=�dW � In homes in the city, country, or suburbs.
����� �����• In apartments, singie-family homes, and
both private and public housing.
� Inside and outside of the house.
� In soii around a home. (Soil can pick u�
lead from exterior paint or other sources
such as past use of leaded gas in cars.)
�i � < �� �< � �,� �
To reduce your child's exposure to lead,
��� ���� get your child checked, have your home
�.�f����'�i� ��� tested (especially if your home has paint
���� ��g��� in poor condition and was buift before
�� ��� ����� 1978), and fix any hazards you may have.
���, ���� Children's blood lead levels tend to increase
� rapidly from 6 to 12 months of age, and
��� ���� ���°� tend to peak at 18 to 24 months of age.
��� �� ���d' Consult your doctor for advice on testing
your children. A simple blood test can
detect high levels of lead. Blood tests are
usually recommended for:
� Children at ages 1 and 2. •
� Children or other family members who
have been exposed to high levels of lead.
� Children who should be tested under
your state or local health screening plan.
Your doctor can explain what the test results
mean and if more testing will be needed.
�
�
A : �• .;K: ,9� � -.: .A ��' .�� � ,,♦ R ,:: K ,R. ; ��.
Lead-based paint that is in good condition
is usually not a hazard.
Peeling, chipping, chalking, or cracking
lead-based paint is a hazard and needs
immediate attention.
Lead-based paint may a{so be a hazard
when found on surfaces that chi{dren can
chew or that get a lot of wear-and-tear.
These areas include:
� Windows and window silis.
� Doors and door frames.
� Stairs, railings, and banisters.
� Porches and fences.
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Lead dust can form when lead-based paint
is dry scraped, dry sanded, or heated. Dust
also forms when painted surfaces
bump or rub together. Lead chips and � ��_� �
dust can get on surfaces and objects �° �� �` �`"�
that people touch. 5ettled lead dust ���
can re-enter the air when people vac- _,...,
_ _. _.
uum, sweep, or walk through it. �
Lead in soil a �� <�.�a
c n be a hazard when
children play in bare soil or when �
people bring soil into the house on ��
their shoes. Call your state agency
. .... .
(see page � 1) to find out about test- :���
ing soil for lead. �!
,, �
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You can get your home checked for fead haz-
ards in one of two ways, or both:
� A paint inspection tells you the lead
content of every different type of painted
surface in your home. It won't tell you
whether the paint is a hazard or how you
should deal with it.
A risk assessment teiis you if there are
ar�y sources of serious lead exposure
(such as peeling paint and lead dust). It
also tells you what actions to take to
address these hazards.
Have qualified professionals do the work.
There are standards in place for certrfyrng
lead-based paint professionals to ensure the
work is done safely, reliably, and effectively.
Contact your state lead poisoning prevention
program for more information. Call 1-800-
424-LEAD for a list of contacts in your area.
Trained professionals use a range of inethods
when checking your home, inciuding:
Visual inspection of paint condition and
location.
� A portable x-ray fluorescence (XRF)
machine.
� Lab tests of paint samples.
Surface dust tests.
Home test kits for lead are available, but
studies suggest that they are not always
accurate. Consumers should not rely on
these tests before doing renovations or to
assure safety.
fi
li: ': ♦ . <: IB % �: � �` � : �.. � ::� �. ,. ..,w . :>
: � � 4
if you suspect that your house has tead
hazards, you can take some immediate
steps to reduce your family's risk:
� If yau rent, natify your landlord of
peeling or chipping paint.
� Clean up paint chips immediatefy.
� Clean floors, window frames, window
si11s, and other surfaces weekly. Use a
mop or sponge with warm water and a
general all-purpose cleaner or a cfeaner
made specifically for lead. REMEMBER:
NEVER MlX AMMONIA AND BLEACH
PRODUCTS TOGETHER SINCE THEY
CAN FORM A DANGEROUS GAS.
� Thoroughly rinse sponges and mop
heads after cleaning dirty or dusty
areas.
� Wash children's hands often, especiaf-
ly before they eat and before nap time
and bed time.
Keep p{ay areas clean. Wash bottles,
pacifiers, toys, and stuffed animals
regularly.
� Keep children from chewing window
sills or other painted surfaces.
� Clean or remove shoes before
entering your home to avoid
tracking in lead from soi1.
� Make sure children eat
nutritious, low-fat meals high
in iron and cafcium, such as �
spinach and dairy products. �.. ,��
Children with good diets absorb �,: �,
less lead. � � -�'
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#�a?��t�5 s�feiy.
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!n addition to day-to-day cleaning and good
nutrition:
� You can temporarily reduce lead hazards
by taking actions such as repairing dam-
aged painted surfaces and planting grass
to cover soil with high lead levels. These
actions (called "interim controls") are not
permanent solutions and wili need ongo-
ing attention.
� To permanently remove lead hazards,
you must hire a certified lead "abate-
ment" contractor. Abatement (or perma-
nent hazard elimination) methods
include removing, sealing, or enclosing
lead-based paint with special materiais.
]ust painting over the hazard with regular
paint is not enough.
Always hire a person with special training
for correcting lead probiems—someone
who knows how to do this work safely and
has the proper equipment to clean up
thoroughly. Certified contractors wili employ
qualified workers and follow strict safety
rules as set by their stiate or by the federal
government.
Call your state agency (see page 11) for
help with locating certified contractors in
your area and to see if financial assistance
is available.
s3 .
�" #i` � � �` � '. f, . �'; .
� � x �r
� r �. � r .�
Take precautions before your contractor or
you begin remodeling or renovations that
disturb painted surfaces (such as scraping
off paint or tearing out walls):
� Have the area tested fvr lead-based
paint.
� Do not use a belt-sander, propane
torch, heat gun, dry scraper, or dry
sandpaper to remove lead-based
paint. These actions create large
amounts of lead dust and fumes. Lead
dust can remain in your home long
after the work is done.
� Temporarily move your family (espe-
cially chiidren and pregnant women)
out of the apartment or house until
the work is done and the area is prop-
eriy cleaned, if you can't move your
family, at feast completely seai off the
work area.
� Fo11ow other safety measures to
reduce lead hazards. You can find out
about other safety measures by calling
1-800-424-LEAD. Ask for the brochure
"Reducing Lead Hezards When
Remodeling Your Home." This brochure
explains what to do before, during,
and after renovations.
lf you have already completed renova-
tions or remodeling that could have
released lead-based paint or dust, get
your young children tested and follow
the steps outlined on page 7 of this
brochure.
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r�. � Drinking vrrater. Your home might have
�'----f� plumbing with lead or lead solder. Call
��� .�'"''�"¢ your local health department or water
'�fi' s� supplier to find out about testing your
�; .
�. A
���� I•;�ri water. You cannot see, smeil, or taste
�,� lead, and boiling your water will not get
rid of lead. If you think your plumbing
might have lead in it:
�!°7J��' �c�f�4�`r [3�i#'��',
c'�i3S� S£i3� �i'E' ��€'
iXiCr�f C'£9FiDii':+t}i7
���t� t��z��d�,
ca�tr�a� teae�
��ca���� alsr� exist.
� E� r 4 i \
��: i �,���u��;�"�''j
_�'���h�>. Y �
..��,ati �� -
• Use only cold water for drinking and
cooking.
• Run water for 15 to 30 seconds
before drinking it, especialiy if you
have not used your water for a few
hours.
� The job. If you work with lead, you
could bring it home on your hands or
clothes. Shower and change clothes
before coming home. Launder your work
clothes separately from the rest of your
family's clothes.
� Oid painted toys and furniture.
� Food and liquids stored in lead crystal
or lead-glazed pottery or porcelain.
� Lead smelters or other industries that
release lead into the air.
Q Hobbies that use lead, such as making
pottery or stained glass, or refinishing
furniture. .
� folk remedies that contain lead, such as
"greta" and "azarcon" used to treat an
upset stomach.
7C
; .!�! �� � , .� : � '' , � •,
The National Lead lnformation Center
Ca11 1-800-424-LEAD to learn how to protect
children from lead poisoning and for other
information on lead hazards. (lnternet:
www.epa.govllead and www.hud.gov!!ea).
For the hearing impaired, cal{ the Federal �
Information Relay Service at 1-800-877-
8339 and ask for the National Lead
Information Center at 1-800-424-LEAD.
EPA's Safe Drinking Water Hotline
Cali 1-800-426-4791 for information about
lead in drinking water.
Consumer Product Safety
Commission Hotline
To request information on lead in
consumer products, or to report an
unsafe consumer product or a prod-
uct-related injury call 1-800-638-
2772. (Internet: www@cpsc.gov).
For the hearing impaired, caii TDD 1-
800-638-8270.
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State Health and Environmental Agencies
Some cities and states have their own rules for lead-based
paint activities, Check with your state agency to see if state
or local laws apply to you. Most state agencies can also pro-
vide information on finding a{ead abatement firm in your
area, and on possible sources of financia4 aid for reducing
lead hazards. Receive up-to-date address and phone infor-
mation for state and local contacts on the Internet at
www.epa.govllead or contact the National Lead Information
Center at 1-800-424-LEAD.
11
!" I►1 ��!'� �r � i "
Your Regional EPA Office can provide further information regard-
ing regulations and lead protection programs.
EPA Regionai Offices
Region 1 (Connecticut, Massachusetts,
Maine, New Hampshire, Rhode Island,
Vermont)
Regional Lead Contact
U.S. EPA Re ion 1
Suite 1100 �CP7)
One Congress Street
Boston, MA 02114-2023
1 (888) 372-7341
Region 6 (Arkansas, Louisiana, New
Mexico, Oklahoma, Texas)
Regional Lead Contact
U.S. EPA Region 6
1445 Ross Avenue, 12th Fioor
Dallas, TX 75202-2733
(214) 665-7577
Region 2(New Jersey, New York,
Puerto Rico, Virgin lsiands) •
Regional Lead Contact
U.S. EPA Region 2
2890 Woodbridge Avenue
Building 209, Mail Stop 225
Edison, NJ 08837-3679
(732) 321-6671
Region 3 (Delaware, Washington DC,
Marytand, Pennsyivania, Virginia, West
Virginia)
Regional Lead Contact
U.S. EPA Region 3 (3WC33)
1650 Arch Street
Philadelphia, PA '19103
(215) 814-5000
Region 4 (Alabama, Florida, Georgia,
Kentucky, Mississippi, North Caroiina,
South Carolina, Tennessee)
Regional Lead Con[act
U.S. EPA Region 4
61 Forsyth Street, SW
Atlanta, GA 30303
(404) 562-8998
Region 5 (Illinois, Indiana, Michigan,
Minnesota, Ohio, Wisconsin)
Regional Lead Contact
U.S. EPA Region 5 (DT-SJ)
77 West Jackson Boulevard
Chicago, I� 60604-3666
(312) 886-6003
Region 7 (lowa, Kansas, Missouri,
Nebraska)
Regional Lead Contact
� U.S. EPA Region 7
(ARTD-RALI)
901 N. 5th Street
Kansas City, KS 66'10'1
(913) 551-7020
Region 8 (Coforado, Montana, North .
Dakota, South Dakota, Utah, Wyoming)
Regional Lead Contact
U.S. EPA Region 8
999 '18th SVeet, Suite 500
Denver, CO 80202-2466
(303) 312-6021
Region 9 (Arizona, California, Hawaii,
Nevada)
Regionai Lead Contact
U.S. Region 9
75 Hawthorne Street
San Francisco, CA 94105
(415) 744•1'124
Region 10 (ldaho, Oregon, Washington,
Alaskaj
Regional Lead Contact
U.S. EPA Region 10
Toxics Section WCM-126
1200 Sixth Avenue
Seattle, WA 98101-1128
(206} 553-1985
(�
� �'t �: r �:. .
Your Regional CPSC Office can provide further information regard-
ing regulations and consumer product safety.
Eastern Regional Center
6 World Trade Center
Vesey S[reet, Room 350
New York, NY 10048
(212) 466-1612
Western Regional Center
600 Harrison S[reet, Room 245
San Francisco, CA 94107
(415) 744-2966
Central Regio�al Center
230 South Dearborn Street
Room 2944
Chicago, IL 60604-1601
(3'12) 353-8260
� � �...��� ��i��
.�. . .................................... ...........................................................................................................................................................
Please contact HUD's Office of Lead Hazard Control for informa-
tion on lead regulations, outreach efforts, and lead hazard control
and research grant programs.
U.S. Department of Housing and Urban Developrnent
Office of Lead Hazard Control
45'1 Seventh Street, SW, P-3206
Washington, DC 20410
(202) 755-1785
1:�s
f.:° ii ',:s t;
� r �I
GeC your young children tested for lead, even if
they seem healthy.
� Wash children's hands, boCtles, pacifiers, and toys
often.
Make sure children eat healthy, low-fat foods.
Get your home checked for lead hazards.
� Regularly clean floors, window sills, and other
surfaces.
� Wipe soil off shoes before entering house,
� 7alk to your landlord about fixing surfaces with
peeling or chipping paint.
� Take precautions to avoid exposure to lead dust
when remodeling or renovating (call 1-800-424-
LEAD for guidelines�.
� Don't use a belt-sander, propane torch, heat gun,
dry scraper, or dry sandpaper on painted surfaces
that may contain lead.
� Don't try to remove lead-based paint yourself.
EXHIBTI' "E" AUDIT SCHEDULE
INDEPENDENT AUDIT REOUIREMENT
BUSINESS/AGENCY NAME:
PROGRAM:
CDBG YEAR:
AMOUNT FUNDED:
FAR GREATER NORTHSIDE ffiSTORICAL
NEIGHBORHOOD ASSOCIATION
MODEL BLOCKS AND CHDO SUPPORT FUNDS
XXV
$300,000 ($270,000 CDBG, $30,000 HOME)
Name of Independent Auditor who will perform agency audit:
Independent Auditor to be contracted during CDBG contract period.
Date audit is to be performed:
Within 60 days of completion of CDBG funded project.
The following language is a condition of your contract with the City:
"In accordance with OMB Circulars A-128 and A-133, for all contracts in the
amount of $300,000 or more, Contractor must submit to City an annual audit of
its program operations and finances, covering either its fiscal year during which
this contract is in force or covering the period of this contract. This audit must
be prepared by an independent certified public accountant and must be
submitted within three (3) months of its completion. Costs of preparation of
this audit may be an allowable expenditure of CDBG funds in an amount
proportional to that of the CDBG funds used in Contractor's total agency
operating budget."
This form is to be completed and submitted to the Housing Department at the beginning
of each contract year.
Signature
Date
EXHIBIT "F"
ORDiNANCE NO. �
REPEALING ALL MINORITY AHD WOMEN BUSINESS ENTERPRISE
POLICIES AND DISADVANTAGED BUSINESS ENTERPRISE POLICIES
PREVIOUSLY ADOPTED; ADOPTTNG AN ORDINANCE TO REMEDY THE
UNDERUTILIZATION OF MINORTTY AND WOMEN BUSINESSES, AND TO
ENHANCE THE UTTLTZATION OF SAME; DEFINING MINORITY
BUSINESS ENTERPRISE, AND WOMEN BUSTNESS ENTERPRTSE FOR
PURPOSE OF CERTIFTCATION; REQUIRING MINORITY BUSINESS
ENTERPRISE AND WOMEN BUSINESS ENTERPRISE PARTICYPANTS TO
BE QUALIFIED AND DOING BUSINESS TN LOCALITY FROM WHICH
THE CITY REGULARLY 50LICITS; ADOPTING THE U.S. SMALL
BUSYNESS ADMINISTR.ATION'S DEFINITION FOR A SIZE STANDARD;
ESTABLISHING SEPAR.ATE GOALS FOR MINORITY BUSINESS
ENTERPRISES AND WOMEN BUSINESS ENTERPRISES IN THE
SPECIFIC AREAS OF CONSTRUCTION, PROFESSIONAL SERVICES AND
PURCHASING; ESTABLiSHING PROCEDURES FOR PROJECT SPECIFIC
GOALS; PROVIDING GENERALLY FOR THE PROCEDURES TO BE
FOLLOWED IN THE BID/PROPOSAL PROCESS; REQUIRING BIDDERS
TO SUBMIT DOCUMENTATION OF COMPLIANCE IN ORDER TO BE
RESPONSIVE TO BID/PROPOSAL SPECIFICATIONS; ESTABLISHING
WAIVER OF GOALS PROCEDURES; ALLOWING FOR DEBARMENT FOR
MISREPRESENTATION OF FACTS AS TT RELATES TO COMPLiANCE;
PROVIDING SEVERABILITX CLAUSE; AND PROVIDING AN EFFECTIVE
DATE.
WHEREAS, the City Council commissioned an Availability/Disparity
Study (Study) conducted by Browne, Bortz & Coddington,
Inc. (BBC) and a Public Hearing (Hearing) conducted by
Carl Anderson, Esq, and found disparities i.n the
� utilization of minority and women business enterprises in
contracts awarded by the city of Fort Worth (City); and
WHEREAS, the Study and Hearing found that discrimination occurred
in the major contracting areas (construction, purchasing,
and professional services) of the City of Fort Worth and
� resulted in significant underutilization of minority and
women business enterprises; and
WHEREAS, minority and women business enterprises have had and
� continue to have difficulties in obtainzng financing,
bonding, credit, insurance, and assistance programs'have
not been effective in either remedying the effec�s of
underutilization in City contracting or in preventing
ongoing underutilization; and
.�
WHEREAS, the Study and the Eieaxing determined that race-neutral.
alternatives for enhancing minority and women business
enterprise contracting are not completely sufficient; and
WHEREAs, the City has also been a passzve participant in
discriminatory behavior practiced by private industry
within the re].evant Marketplace in the award of contracts
A
to minorities and women businesses, the purpose of this
ordinance is to overcome the effects of this past
underutilization in the City's contracting processes; and
WHEREAS, the provisions of this ordinance may increase the
utilization of minority an3 women business enterprises in
contracts awarded by the City of Fort Worth; and
wxEREAs, the City Council now desires to provide a narrowly
tailored remedy for past underutilization of minority and
women businesses through the annual setting and defining
of percentage goals for different categories of
contracts, providing penalties for fraudulent misuse of
this ordina.nce, requiring regular review'of the necessity
for the provisions of this ordinance, limiting those
minority and women's business enterprises that
participate under this ordinance�to those that qualify
� and do business in the City's Marketplace, providing for
post bid submission of rec� uired information about
minority and women business eniterprises and establishing
waiver of goals procedures; �
NOW THEREFORE, BE IT ORDATNED BY T�E CITY COUNCIL OF THE CITY
OF FORT WORTH, TEXAS, THAT:
SECTION 1.
It is the policy of the City of Fort Worth to attempt to�
provide a remedy for past underutilization of qualified minority
and women businesses and prevent ongoing underutilization of
minority and women business enterprises in the City's contracting
process by ensuring the full and equitable participation of
minority�and women business enterprises in the provision of goods
and services to the City on a contractual basis in the manner
identified in Attachment I of this ordinance, said Attachment I
being a part of this ordinance.
...�.
-2-
sECTiox a.
The ultimate goal of this�ordinance is to remedy�the effects
of past underutiliz�tion in the Marketplace by increasing the use
of minority and women business enterprises above the present low
level to one more comparable to their availability in •the Fort
Worth Marketplace. The City Council shall set an annual goal for
MBE and WBE participation in City procurement activities, based
upon the availability within the Marketplace. The initial gdals,
based upon availability, shall be thirteen percent (13%) for
minority businesses and twelve percent (12�) for women businesses
and shall be reviewed as provided for elsewhere herein. These
goals are not quotas. ,
SECTION 3. .
The provisions of this ordinance shall apply to all contracts
awarded by the City, except as may be hereafter specifically
exempted, and shall be liberally.construed for the accomplishment
of its policies and purposes. Specific goals shall be established
in the areas of construction, professional services and purchases
of other goods and serv�ces. Goals may be set on individual
projects based on the type of work or services to be performed, a.r
goods to be acquired and the availability of minority and women
businesses in the City�s Marketplace.
, SECTZON 4.
The provisions of this ordinance shall be consi�ered in
determining the responsiveness to specifications of offerors to
the bid/proposal. The City shall consider the offeror's
-3-
�
responsiveness to this ordinance . in the evaluation of
bi.dsJproposals and shall award contracts to the lowest responsible
offeror meeting the specifications, inclusive of compliance to this
minority and women business enterprise ordinance.
sECTzox s.
Debarment procedures shall be established for firms willfully
misrepresenting the facts in compliance wi�h this ordinance to the
City.
SECTION 6.
Waiver procedures to the regulations established in this
ordinance shall be provided for City procurement activities where
a public calamity requires the emergency expenditure of funds; the
purchase of goods or services from source(s) where subcontracting
or supplier opportunities are nonexistent; where an economic risk
or undue delay for the acquisition of goods or services will be
imposed on the City, or when the availability of minority and women
businesses is negligible.
SECTION 7.
From .and after the date this ordinance takes effect, it shall
supersede all previous City Council Policies affecting minority and
women business enterprise and disadvantage business enterprises.
SECTION 8.
The City Manager, with the advice and counsel of the
Disadvantaged Business Enterprise Advisory Committee ("DBEAC") in
��
accord with City of Fort Worth Resolution No.1148, is hereby
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�
authorized to establish, implement and administer regulations
necessary to carry out the intent of this ordinance.
SECTiON 9.
The City Council shall regularly, at least every three (3j
years, determine whether there is a continuing need for a�minority
and women business enterprise program, make relevant findings, and,
if necessary, repeal in.whole or in part or enact appropriate
amendments to this ordinance.
SECTION 10.
It is hereby declared to be the intention of the City Council
that the sections, paragraphs, sentences, clauses and phrases of
this ordinance are severable, and, if any phrase, clause, sentence,
paragraph or section of this ordinance shall be declared
unconstitutional by the valid judgment or decree of any court of
competent jurisdiction, such unconstitutionality shall not affect
any of the rema'ining phrases, clauses, sentences, paragraphs and
sections of this ordinance, since the same would have been enacted
by the City Council without the incorporation in th'is ordinance of
any such unconstitutional phrase, clause, sentence, paragraph or ,
section.
sECTzox ii.
0
This ord�inance shall take effect and be in full force and
effect from on and after June 1, 1995; provided, however, that this
ordinance shall not affect any procurement activity whe�e formal
solicitation began before the effective date of this ordinance, and
it is so ordained.
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APPROVED'AS TO FORM AND LEGALITY:
�� `�`�
ity Att
Date:
��i � /�.r
ADOPTED : �7' ' ��.� � ��
EFFECTIVE:
:.a.
0
�
ATTACHiiENT I
I. DEFINZTION3:
1. "Bidder" means any person, firm, corporation, or partnership
which submits a bid or proposal to provide labor, goods or
services to the City for which City funds are expended. The
term includes 'tOfferor" as well as offers received from
praviders of professional services., . _
2. "Certiiied" means those firms, wa.thin the Mark�tplace, that
are certified by either the North Central Texas Regional.
Certification� Agency (NCTRCA) or the Texas Department of
Transportation •(TxDOT), highway division.
3. "City" means the City of Fort Worth, Texas.
4. "Construction" means the erection, rehabilitation, alteration,
.conversion, extension, de�nolition, improvement, remodeling or
repair to any real property, including streets, storm drains
and facilities prova.ding utili.ty service owned by the City.
5. "Contracti" means a binding agreement whereby the C�ty either
grants a privilege or is committed to expend or does expend
its funds or other resources for'or in connection with a)
constructiori of any public improvement, and b) purchase of any
services (including professional services). The term includes
"purchase order".
6. "Contract Officer",means the person employed by the City to
oversee the�performance of the contract.
7. "Contracting Department" means the department responsible for
payment of contract obligations.
8. "Contractor" means the person, f irm, corporati.on, or
partnership with whom the City has entered into an agreement.
Includes the terms "Vendor" and "Prime Contractor":
9. "Coordinator" means the administrator of the MBE/WBE Office.
10. "Gobd Faith Effort" means having: absence of malice or any
intentions to deceive; good intentions and sincerity to meet
the goals of this ordinarice. Documentation submitted by the
bidders to explain why its good and honest efforts did not
meet or exceed the stated MBE/WBE goals. Compliance with each
of the following steps shall satisfy the Good Faith Effort
requirement absent proof of fraud, misrepresentation, or
intentional discriminat�,on by the bidder: �
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10.1. List each attd every subcontracting and/or supplier
� opportunity for the completion of this project.
10.2. Obtain a current (less than two (2) months old from
the bid open date) list of MJWBE subcontractors
and/or suppliers from the City's M/WBE Office.
10.3. Attend the pre-bid conference, i� scheduled by the
City, and attempt to utilize M/WBEs that attended.
10.4�. Solicit bids from M/WBEs, within the subcontracting
and/or supplier areas previously listed, at least
ten days prior to bid opening by mail.
10.5. Solicit bids from M/WBEs, within the subcontracting
and/or supplier areas previously listed, at least
ten days prior to bid opening by telephone.
10.6. So�icit bids from M/WBEs, within the subcontracting
and/or supplier areas previously listed, at least
ten days prior to bid opening by advertisement in a
local newspaper.
10.7. Provide plans
regarding the
to M/WBEs.
and specifications or� information
location of plans and specification
10.8. Submit documentation if M/WBE bids were rejected on
the basis of �quotation not being commercially
reasonable, qualifications, etc.
Note: If a SIC code list of M/wBEs is f ive or less, the
bidder must contact the entire list to be in
compliance with 10.4 and 10.5. If a SIC code list
of M/WBEs is more than five, the bidder must
contact at least two-thirds of the list but not
less than f ive to be in compl iance with lo . 4 and
� 7�0. 5. . '
Note: Bidders who continuously list the same M/WBEs when
contact has previously been unsuccessful as result
of disconnected numbers or returned mail, will not
be deemed in compliance with the Good Faith Effort
requirements.
11. "Joint Venture" means an association of two or more persons or
businesses to carry out a single business enterprise for
profit for which purpose they combine their property, capital,
skills, knowledge and managemen� in an agreed to prop�rtionate
share.
�
12. "Marketplace" means tihe geographic market area represented by
the Fort Worth/ Dallas Consolidated Metropolitan Statistical
Area. �
13. •'Minority" means a citizen of the United States or �awfully
admitted permanent resident who is Asian-American, American
Indian, Black or Hispanic. �
14. "Minority Business Enterprise" is defined as a c�ualified�
business concern located in the Marketplace or doing business
in the Marketplace at the time .of bid opening or during
negotiations related to proposals meeting the following
criteria:
a. which is at least 51 percent owned by one or more
minority persons, or, in the case of any publicly owned
business, at least 51 percent of the stock is owned by
one or more minority persons; a.nd �
b. whose management and daily busi.ness operations are
controlled by one or more minority persons who�own it;
and �
c. meeting the size standards set forth by SBA.
15. •'Procurement�' means the buying, renting, leasing or otherwise
obtaining or acquiring any supplies, materials, equipment or
services.
16. '•Professiona�l Services" means services which require
predominantly mental or intellectual labor and skills,
includes, but is not necessarily limited to, architects,
engi.neers, surveyors, doctors, attorneys, and,accountants.
17. "Project Manager" see Contract Officer.
18. "Purchasinq" means the buying, renting, leasing or otherwise
obtaining or acquiring any supplies, materials, equipment or
services excluding construction and professional services
previously defined. �
],9 . "Qualif ied" means an
previously performed
i.ndustry or profession
indivi.dual or
or received
required.
business entity having
training in the work,
20. "sixe Standard" is �he average annual gross receip�s for a
company and its affiliates for the previ.ous three (3) fiscal
years which must not exceed the amounts as defined by the
United States Small Business Administration's (SBA) standard
industry classificati.on (sic) codes. These codes are outlined
in the most recent edition of SBA 49 CFR 23.62, Appendix B and
13 CFR 121.401-407 and 601.
�
21. "Subcontract" means an agreement between the contractor and
another business entity for the performance of work.
22 . "Wamen Business Enterprise" is def ined as a qualif ied business
concern located in the Marketplace or doing business in the
Marketplace at the ti.me of competitive bid opening or during
negotiations related to proposals meeting the following
criteria:
a. which is at least 51 percent owned by one or more
women, or, in the case of any publicly owned business, at
least 51 percent of the s�ock is owned by one or more
women; and
b. whose management and dai.ly business operati.ons are
controlled by one or more women who own it.
c. meeting �he size standards set forth by SBA.
II. PROGR.AM GOALS
(A) city-wide goals for the utilization af minority business
enterprises (MBE) and women business enterprises (WBE) shall
be reviewed and approved annually by the City Council.
(1) The City Manager shall, on or before October 31 of each
year, beginning October 31, 1996, conduct an analysis of the
availability of MBEs and WBEs and present to the City Council
an annual report on MBE and WBE availability and utilization.
Based on the availability of MBE/WBEs in the Marketplace.and
the City's most recent goals attainment and with the advice
and counsel of the DBEAC, the City Manager shall recommend to
the City Council reasonable goals for the remainder of the
current fiscal year.
(2) These goals shall be expressed in terms of percentages of
the total dollar value of all con�racts to be awarded by the
City, and shall be established separately for categories of
coristruction, professional services, and purchasing as well as
any other categories that the City Cduncil or City Manager
deem appropriate.
(B) Individual project goals shall be set by the M/WBE Office in
collaboration with the Contract Officer and Risk Management
(where appropriate) prior to solicitation. These project
goals shall be reasonable and shall be based upon:
(1) Specific subcontracting and/or materials oppor-�.unities
required to complete the project, and
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, .
(C)
(2) The availability of MBE/WBE in the identified
subcontracting and/or materials opportunities in the
Marketplace.
MBE/WBE participation shall be counted toward meeti.ng MBE and
WBE goals in accordance with the following provisions:
(1) For the purpose of determining comp].iance�with the goals
requirements established in this ordinance, businesses
will be counted as MBE and WBE only when they have been
certified as such prior to award of the bid or proposal.
(2) Any business(es) listed by an offeror which is not
certified pr�.or to award of bid/proposal will have that
amount of participation deducted from the total MBE/WBE
utilization in order to determine the offeror's
responsiveness. It is the responsibility of the offeror
to secure additional certified or certifiable MBE/WBE
participation before responsiveness to this ordinance is
determined.
(3} The offeror may count toward its MBE or WBE goals first
and second tier MBE and WBE subcontractors and/or
suppliers.
(4) The offeror will be given credit toward the MBE�WBE
contract goal only when �he MBE or WBE performs a.
commercially useful function. An MBE or WBE is
considered to have performed a.commercially useful
function when:
a) it is responsible for the execution of a distinct
�element of .the work by actually perform�.ng,
managing and supervising the work involved in
accordance with normal business practice; and
b) the firm receives due compensation as agreed upon
for the work performed. �
(5) Regardless � of whether an arrangement between the
coritractor and the MBE/WBE represents standard industry
practice, if the arrangement e'rodes the ownership,
control or independence of the MBEjWBE or does not meet
the commercially useful Function requirement, the o£feror
shall receive no credit toward the qoals.
(6) An offeror may count toward its MBE or WBE goal "� portion
of the total dollar value of a contract with a joint
' venture equal to the percentage of NSBE or WBE participa-
tion in the joint venture. The MBE or WBE involved in
the joint ven�ure must be responsible for a clearly
defined portion of the work to be performed, equal to a
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share in the ownership, control, knowledge, management,
responsibility, risks, and profits of the joint-venture.
(7) Except for joint ventures, all prime contractors, whether
same ba majority firms, MBE br WBE, shall comply with
this ordinance in order.to be considered responsive.
(8) The bidder may not count toward the goal any agreements
with MBE or WBE that are not located within the
Marketplace or otherwise do not meet the guidelines as
set forth in this section.
III. MBE AND WBE UTILIZATION REOUIREMENTS
(A} In addition to the requirements set forth elsewhere, bid
conditions and requests for proposals shall include a
statement of both MBE and WBE goals established for the
project.
(B) Bid conditions, requests for proposals, and all other
specifications for contracts �o be awarded by the City shall
require that offerors make a good faith effort to subcontract
with or purchase supplies from MBE and WBE. Such
specifications shall require the offeror to meet or exceed the
stated goals or submit documentation of GFE for all contracts
of $25,000 or more to permit a determination of compliance
with the specifications or requests for prop`osals.
(C) Construction and Professional
other contracts which may be
propasal procedures (estimated
Purchasing contracts (estimated
be awarded and administered in
standards and procedures:
Services contracts and such
competed for under sealed
cost of $25,000 or more) and
cost of $15, 000 or more) shall
accordance with the following
(].) Competitive bids shall include the MBE and WBE
specifications in the bid specifications. MBE and WBE
specifications consist of the SPECIAL INSTRUCTIONS TO
BIDDERS, AFFIDAVIT STATEMENT, MBE/WBE UTILIZATION FORM,
PRIME CONTRACTOR WAIVER FORM and the GOOD FAITH EFFORT
FORM .
(a) The AFFIDAVIT STATEMENT shall be submitted with the
bid on the bid openinq date.
(b) The MBE/WBE UTILIZATION FORM, PRIME CONTRACTOR
WAIVER FORM and/or the GOOD FAITH EFFORT FORM shall
be submitted to the contracting department'�no later
than 5:00 p.m., five (5) City business days after
bid opening date.
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(c) An offeror that equals or exceeds the MBE and WBE
project goals, shall subm�t the MBEiWBE UTILIZATION
. FORM.
(d) The PRIME CONTRACTOR WAIVER FORM shall be submitted
with any bid that includes no subcontracting
and/supplier opportunities. If substantial
' subcontracting and/or substantial supplier
opportunities arise in �he performance of a
contract awarded in reliance on tiie PRIME
CONTRACTOR WAIVER FORM, the contractor shal7. notify
the C9.ty before subcontracts for work and/or
supplies are let and the contractor shall comply
with the requirements of this ordinance.
(e) GOOD FAITH DOCUMENTATiON, including the GOOD FAITH
EFFORT FORM, shall be submitted with any bid and/or
proposal that fails to include MBE/WBE
parta.cipation that equals or exceeds the MBEJWBE
project goals.
(fj The submission of the appJ.icable completed form(s)
within the allotted time will be considered when
determining the responsiveness of the bid. Failure
to comply with the bid specifications, inclusive of
the MBE and WBE speci.fications, shall render the
bid non-responsive.
(2� Other than responses to Requests for Proposals for those
professional services defined in Chapter 2254 of the
Texas Government Code, responses to Requests for
Proposals shall include a section which identifies the
particular MBEs and/oz WBEs to be utilized in performing
the contract.
(a) Specify as to MBEs and WBEs, the estimated
percentage of the MBE and WBE participation, the
type of work to be performed by the MBE or WBE, and
such other information as may reasonably be
required �to determine the responsiveness .to the
Request for Proposal.
(b) Responses that do not meet or exceed the MBE and
WSE utilization goals, as required by the request
for proposal, must submi.t a GFE explanation.
Failure to include such GFE explanation shall
render the response non-responsive. -�
(3� Initial responses to requests for proposals for those
professional services defined in Chapter 2254 of the
Texas Government Code shall not include a response to
the requirements of this ordinance. The City shall
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comply with the requirements of said Chapter and rank
the professional on the basis of demonstrated
competence and qualifications. During negotiating the
contract with the highest ranked professional, the
professional shall respond to this ordinance in the
manner specified in paragraph 2(a) above.
(4) The GOOD FAITH EFFORT documentation shall demonstrate the
Offeror's commitment and honest efforts to utilize MBE
and WBE. The burden of preparing and submitting the GFE
information is on the Offeror and will be evaluatad as
part of the responsiveness to the bid or appropriate
proposal. Any willful misrepresentation of facts on the
documentation submitted will consti�ute a basis for
classification as non-responsive and possible debarment.
(5) The contracting department may request the MBE/WBE office
to waive the goal requirements of this subsection, or to
reduce the amount of the goals, for either or both
MBE/WBE, in accordance with the provisions of the
Exceptions and waivers section.
(D) The City Manager, with the advice and counsel of the DBEAC in
accord with City of Fort Worth Resolution No. 1148, shall
adopt regulations governing the purchase of goods and services
under $15,000.
(E) In addition to such other requirements as may be set forth
elsewhere, the following shall apply to construction, profes-
sional service� discretionary service, and applicable
purchasing contracts awarded by the City:
(1) Contracts shall incorporate this ordinance by reference,
and shall provide that the failure of any bidder,
contractor or subcontractor to comply with this ordinance
shall be a material breach of contract.
(2) During the term of any contract, any proposed change or
deletion in MBE/WBE participation identified in�the bid,
proposal or contract shall be reviewed by the MBE/WBE
Office to determine whether such change or deletion is
justified in accord with the immediate following two (2)
paragraphs. Any unjustified change or deletion shall be
a material breach of the contract.
(3) Contracts shall require that during the term of the
contract, the contractor sha11:
(a) Make no unjustified changes or deletions i� its MBE
and WBE participation commitments submitted with
the bids, proposals or during negotiations;
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(b) If substantial subcontracting and/or substantial
supplier opportunities arise during the term of any
contract that the contractor represented to� the
City that the contractor alone would perform
required by the contract, the contractor shall
notify the City before subcontracts for work and/or
supplies are let and shall be required to comply
with the provisions of this ordinance; and
(c) Maintain records reasonably necessary for monitor-
ing their� comp�iance with the provisions of this
ordinance.
(4) The contractor shal� submit to the MBEjWBE Office for
approval a REQUEST FOR APPROVAL OF CHANGE FORM if, during
the term of any contract, a contractor wishes to change
or delete one or more MBE and/or WBE subcontractor(s).
(a) Within three (3) business days after receipt by the
MBE/WBE OPfice, the Request shall be.reviewed. The
Request shall be approved if the change or
deletions is justified. The following shall
constitute justification for the requested
change or deletion: �
(1) an MBE or WBE's failure to provide workers'
compensation insurance,evidence as required by
state law; or
{2) an MBE ox' WBE's fai.lure to provide evidence of
general liability or other insurance under the
same or similar t�rms as contained in the
contract documents wi�h limits of coverage no
greater than the lower of 1) the limits
required of the contrac�or by the City; or 2)
the limits contained in the contractor's
standard subcontract or supply agreements used
on other projects of similar size'and scope
and within the contractor's normal business
practice with non MBE or WBE subcontractor's
, or suppliers; or ,
(3) an MBE ox- WBE's failure to execute the
contractor's standard subcontract form in the
amount of the bid, if entering a subcontract
is required by the contractor in its narmal
course of business; or
(4) an MBE or WBE's default in the perfc�rmance of
the executed subcontract; and
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(5) all MBE and WBE subcontractors previous�y
submitting b�ds for the work are requested to
bid on the work, and, if reasonably
practicable due to time constraints, the
contractor obtains bids from previously non-
bidding MBEs and WBEs, and no MBE or WBE
subcontractor submits the lowest bid.
(b) If the MBE/WBE OPfice approves the deletion of an
MBE or WBE and replacement by a non-MBE or WBE,
such approval shall cons�itute a post award waiver
to the extent of° the value of the deleted
subcontract.
(c) If the MBE/WBE Office denies the Request for Change
or Deletion, the contractor may appeal the denial
to the City Manager whose decision will be final.
NOTE: The contractor shaJ.l submit such documentation
as may reasonably be requested by the MBE/WBE
Office to support the contractor's request.
The time between the request by the MBEjWBE
Office for additional documentation and the
delivery of such documentation shall not be
included within the time period that the
MBE/WBE Office is required to respond.
NOTE: Upon completion of the contract and within ten
(10) days after receipt of final gayment from
the City, the contractor.shall provide the
MBE/WBE Office with documentation to reflect
the final participation of each subcontractor
andJor supplier used on the project, inclusive
of MBEs and wBEs.
(5) Whenever contract, amendments, change order, ar extra
work orders are made individually or in .the aggregate,.
. the contractor shall comply with the provisions of this
ordinance with respect to the alternates, amendment,
change orders, or extra work order.
(a} If the amendment, change order, or extra work
affects the subcontract of an MBE or WBE, such MBE
or WBE shall be 'given the apportunity to perform
such amendment, change order or extra work.
(b) If the amendmen�, change order or extra work is hot
covered by any subcontract of like or similar.work,
is work not to be performed by the contr�ctor,and
the amount of such amendment, change order or extra
work exceeds ten percent (l00) of the original
contract amount, the contractor shall comply with
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the provisions of this ordinance with respect to
such amendment, change order, or extra work.
IV. EXCEPTION3 AND WAIVERS
(A) If a bidder is unable to comply with the goal requirements
established in the Program Goals section of this ordinance,
such bidder s.hall submit one of the two forms lis�ed below
within the ailotted time.
(1j A Prime Contractor Waiver Form (Attachment 1B) is
submitted if the bidder will perform the entire contract
without subcontractors or suppliers.
(2) A Good Faith Effort Form (Attachment 1C) is submitted if
the bidder has subcontracting and/or supplier
opportunities but was unable to meet or, exceed the
project MJWBE goal�. The bidder will submit requested
documentation which demonstrates a good faith effort to
comply with the goals requirements as described in the
Program Goals section above. �
(B) A contracting department may request the MBE/WBE Offica to
waive or modify the goal requirements for MBE andjor WBE by
�submitting a Departmental Waiver Form in writing, prior to
solicitation of bids or proposals. The MBE/WBE office may
grant such a waiver or�reduction upon determination that:
(1) The reasonable and necessary requirements oi the contract
render subcontrac,ting or other participation oP business
other than the bidder or proposer infeasible; or
(2) A public or administrative emergency exists which
requires the goods or services to be provided with
unusual immediacy; or
(3) Sut�icient MBE and WBE providing the services required by
the contract are unavailable in the market area of the
project, despite attempts to locate them; or
(4) The application of the provisions of this ordinance will
impose an unwarranted risk on the City or unduly delay
acquisition of the goods ar services.
(5} Whenever the MBEjWBE Office denies a
goal, the contracting department may
to the City Manager whose decision on
be final.
request to waive a
appeal that denial
the request shall
.�
�
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V. PROGi2AM ADMINZSTRATION
(A) The.City Manager, with the advice and counsel of the DBEAC in
accord with City of Fort Worth Resolution No. 1148, is
authorized to establish and implement the regulations set
'forth in this ordinance. The �MBEJWBE Office shal]. be
responsible for the overall administration of the City�s MBE
, and WBE Program, and its duties and responsibilities shall
include:
(1� Recommending rules and regulations to effectuate this
ordinance;
(2) Maintaining a current listing of certified WBE and MBE
for distribution internally and externally on contracts;
(3) Providing information and need.ed assistance to MBE and
WBE to increase their ability to compete effectively for
the award of City contracts;
(�) Investigating alleged violations of this ordinance and
making written recommendations to .appropriate City
author�.ties for remedial action when appropriate;
(5) Developing and distributing all necessary forms, applica-
tions, and documents necessary to comply with this
ordinance;
(6). Reviewinq, on a regular basis, the progress of depart-
ments toward achieving the category goals for the
utilization of minority and women's business enterprises;
(7) Making recommendations to appropriate City staif
regarda.ng methods to furthe� the policies and goals of
this ordinance;
(8) Determining MBEiWBE compliance on contractis before they
are submitted to the City Council for award;
(9) Maintaining accurate contract performance reporting
system; and
(lo) Compiling a report re�lecting the progress in attai.ning
the Cityfs annual goals; quarter�y and annually.
(B) It shall be the responsibility of the contracting department
to ensure that bids or proposals emanating from the department
adhere to the procedures and provisions set forth in this
ordinance. •
.�
(1) The department director or designee shall assume primary
responsibility for achieving the gba�s of this program
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and shal� review, on a continuinq basis, all� aspects of
the program's operations to assure that the purpose is
being attained.
(2) The contracting department shall take the Eollowing
action to ensure that MBEs and WBEs have the maximum
opportunity to participate on City contracts:
(a) The advertisements for formal bids required to be
advertised according to statute shall appear in
. minority and women-targeted media, no less than 30
days before bids are due for specific contracting
opportunities;
(b) A written notification shall be sent
and women trade .associations,
associations, and minority and women
commerce about the availability
advertised contracting opportunities
30 days before bids are due;
to minority
contractor�s
chambers of
of formally
no less than
(c) All contract solicitations shall include the MBE
and WBE policy;
(d) All contracting opportunities shall be evaluated in
an effort to divide the total requirements of a
contract to provide reasonable opportunities for
MBE and WBE; �
(e) For construction contracts, establish procedures to
ensure that all contractors submitting correct�
invoices are paid twice a month and that
subcontractors are paid, in accord with the
subcontract within five (5) business days after
receipt of payment; a contractor's f.ailure to make
payments within five (5) business days shall
authorize the City to withhold future payments from
the contractor until compliance with this ordinance
is attained.
(f) Establish guidel�.nes to ensure that a nota.ce to
proceed is not issued until signed letters of
intent or executed agreements with the MBE and WBE
have been submitted;
(g) Ens.ure that all required statistics and documenta-
tion are submitted �o the MBE/WBE Office as
requested; and ..�,
(h) If circumstances prevent the contracting department
from meeting the thirty-day advertising and notifi-
cation requirements, the contracting department
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�
shall perform extensive outreach to MBE and WBE
associations or other relevant organi.zations to
S.nform them of the contracting opportunity.
VY. CERTIFICATION
The City will recognize MBE� and WBE that are certified by the Texas
Department of Transportatian jTxDOT), highway division, or the
North Central Texas Regional Certiiication Agency (NCTRCA).
VIY. CONTRACT MONITORING, REPORTING, AND COMPLIANCE
(A) The MBEjWBE Office shall monitor compliance with these
requirements during the term of the contract. �If it is
detexmined that there is cause to believe that a contractor or
subcontractor has failed to comply with any of the require-
ments of this ordinance, or the contract provisions pertaining
to MBE and WBE utilizata.on, the MBE/WBE Office shall notify
the contracting department and the contractor.
The MBE/WBE O�fice shall attempt to resolve the noncompliance
through conciliation. If the noncompliance cannot. be
resolved, the Coordinator and the contracting departmen� shall
submit written recommendations to the City Manager or
designee, and if the City Manager concurs with the findings,
sanctions shall be imposed as stated in ordinance.
(B) Whenever the MBE/WBE Office finds, after investigation, that
a contracting department has fai�led to comply with the
provis�ons of this ordinance, a written finding specifying the
nature o.f the noncompliance shall be transmitted to the
contracting department, and the MBE/WBE office sha].1 attempt
to resolve any noncompliance through conference and
conciliation. Should such attempt fail to resolve the
noncompliance, the Coordinator shall transmit a copy of the
findings of noncompliance, with a statement that conciliation
was attempted and failed, to the City Manager who shall take
appropriate action to secure comp].iance.
(C) The MBE/WBE Of�'ice may require such reports, information, and
� documentation from contractors, bidders, contracting agencies,
and the head of any department, division, or office of the
City of Fort Worth, as are reasonably necessary to determ�ne
compliance with the requirements, within ten (10) days after
the notice o� noncompliance.
(D) Contracting departments shall maintain accurate records for
each contract awarded, including dollar value, the��nature of
the goods or services to be provided, the name of the contrac-
tor awarded the contract, the efforts it employed to solicit
�bids from MBE and WBE, identify�ng for each its dollar value,
-20-
� + � ' ��
the nature of the goods or services provided, and the name of
the subcontractar. '
(E) The City Manager, with the advice and counsel of the DBEAC in
accord with City of Fort Worth Resolution No. 1148, shall
submit an annual report to the City Council on the progress of
the City toward the utilization goals established by this
ordinance, together with an identification of problems and
specific recommendationsfor improving the City's performance.
VIiT. DEBARMENT
(A) The misrepresentation of facts (other than a negligent
misrepresentation) andjor the commission of fraud by an
.offeror will result .in the offeror being determined to be an
irresponsible offeror and barred from participating in City
work for a period of time of not less�than three (3�.years.
(B) The MBE/WBE Office will send a written statement of facts and
a recommendation ior debarment to the City Manager. The
City Manager, after consultation with the Department of Law,
will make the decision regarding debarment and send a
certified notice to the Of�erox.
(C) An offeror that receives notification of debarment may appeal
to an Appeal Board, hereinafter created, by giving written
notice�within ten (10) days from the date�of receipt of the
debarment notice, to the City Manager of its request for
appeal.
(D) An Appeal Board, consisting of not less than three members
appointed by the City Manager with the approval of the City
Council, will meet within thirty (30) days from the date of
receipt of the request for appeal of debarment, unless Offeror
requests an ex�ension of time. The offeror wi].1 be notified ,:;��,
of the meeting time and location. ����
(E) The offeror will be afforded an oppartunity to appear with
Counsel if they so desire, submit documentary evidence, and
� confront any person the City presents.
(F) The Appeal Board will render its decision not more than thirty
(30) days of the hearing and send a certified notice to the
Offeror.
(G) If the Appeal Baard upholds the original debarment, the
Offeror may appeal to the City Council within ten (10) days
from the date of receipt of the Appeal Board's decision by
giving written notice to the City Manager.
-21-
r ,
(H) The appeal will be placed on the City Council agenda within
thirty (30) days F�am receipt of written notice, un2ess
Off.eror requests an extension in writing.
(I} From the date of notification of debarment and during the
pendency of any appeal, the city will not consider ofiers
from, award contracts to, renew or otherwise extend contracts
with, or contract directly or indirectly through subcontracts
with the Offeror pending the Appeal Board's decision.
IX. SEVER.ABILITY
If any provision of this attachment or ordinance, the application
thereof to any person or circumstance is held, invalid for any
reason in a court of competent jurisdicta.on, such invalidity shall
not affect the other provi.sa.ons of any other application of this
attachment ar ordinance which can be given effect without the
invalid provisa.on or app].ication, and to this end, all. .the
provisions of this attachment oz ordinance are hereby declared to
be severable.
..�
..'�=
-22-
Comnliance with the Citv's Minoritv/Women Business Enterorise Ordinance
� The City has adopted a goal-oriented program for the inclusion of minority and
women business enterprises (M/WBE) in City contracts through Ordinance No. 13471, as
amended. The Contractor has committed to meeting a 25% M/WBE goal on this project.
The total of the dollars budgeted in this contract for Housing Development/Economic
Development/Landscaping will be used to determine the achievement of the percentage
goal on the project. Compliance by the Contractor with the goal and/or procedures
outlined in the Ordinance is mandatory; failure by the Contractor to comply with such
procedures shall constitute a breach of this contract and shall be grounds for termination
by the City.
• �ti
�
ATTACHMENTt
CITY OF FORT WORTH
HOLISING DEPARTMENT
CONTRACT MANAGEMENT D1VISION
1. Hame and Address of Sub-Gtantee � Z. P�ogram Name:
' 3. Contract No: Contract Date :
4. Date of Report:
MONTH 8� YEAR
Goat Curtent Y 7-D
5. Program Services and Activities Month
6. Scope of Wacfc tlaccative:
7. Problems EncounteredlSotuiions Proposed:
8. Anticipated Activity Ducing the Next Month:
DATE: SUBMiTTED BY: PNONE NO:
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City of Fo�t Worth, Texas
�►�Ay�r A11d Caunc�l �ammur��cAt�an
DATE � REFERENCE NUMBER LOG NAME PAGE
11/;�/99 . G-12719 I 05BLOCKS I 1 of 5
SUBJECT ALLOCATION OF COMMUNITY DEVELOPMENT BLOCK GRANT AND HOME FUNDS
FOR THE FAR GREATER NORTHSIDE MODEL BLOCKS
RECOMMENDATION: �
It is recommended that the City Council:
1. Authorize the City Manager to transfer $200,000 in FY1999 HOME funds; $900,000 in Year XXV
Community Development Block Grant (CDBG) funds; and $100,000 in Raddison Garage program
income for a total of $1,200,000 to the Far Greater Northside Model Blocks (FGNMB) Program as�
follows: ' � �
a) Transfer $100,000 in FY1999 HOM� funds and $90,000 Year XXV CDBG funds to the FGNMB
Homeownership Program; and �
b) Transfer $100,000 in FY1999 HOME funds and $402,500 in Year XXV CDBG funds to the
FGNMB Home Improvement Program; and
c) Transfer $60,000 in Year XXV CDBG funds to the FGNMB Administration; and
d) Transfer $217,000 in Year XXV CDBG funds to the FGNMB North Tri-Ethnic Center
Improvements; and
e) Transfer $105,500 in Year XXV CDBG funds and $100,000 in Raddison Garage program
income to the FGNMB Street Improvements; and
f) Transfer $5,000 in Year XXV CDBG funds to the FGNMB Lincoln Park Improvements; and�
g) Transfer $10,000 in Year XXV CDBG funds to the FGNMB Landscaping/Beautification; and
h) Transfer $10,000 in Year XXV CDBG funds to the FGNMB Market Study; and
2. Adopt the attached appropriation ordinance increasing estimated receipts and appropriations in the
Year XXV CDBG grant project by $100,000 from available funds; and �
3. Authorize the City Manager to execute a contract with the Far Greater Northside Historical
Neighborhood Association (FGNHNA), not to exceed the total amount of $270,000, for the following:
Homeownership Program ($190,000), Administration ($60,000), Landscaping/Beautification
($10,000), and Market Study ($10,000) over a two-year period from the date the contracts are
signed; and
4. Authorize the City Manager to amend the contract, if necessary, to achieve project goals provided
that the amendments are within the scope of the project and in compliance with applicable laws and
regulations; and
City of Fort Wo�th, Texas
��Ar�ar And� �,auncyl � �;a�»n��n�cAt�an
DATE REFERENCE NUMB�R LOG NAME PAGE
11/5/99 � G-12719 ` � 05BLOCKS 2 of 5
SUBJECT ALLOCATION OF COMMUNITY DEVELOPMENT BLOCK GRANT AND HOME FUNDS
FOR THE FAR GREATER NORTHSIDE MODEL BLO.CKS
5. Authorize the City Manager to include the FGNMB Neighborhood Revitafization Plan in the City's
Consolidated P{an. �
DISCUSSION:
The purpose of the Model Blocks P�ogram is to organize and empower neighborhoods so that they may
effectively identify issues and work toward solutions, �promote public-private partnerships in the
revitalization process, and offer integrated services to address the individual needs of their
neighborhoods. On August 10, 1999, Far Greater Northside received the City's tenth Model Blocks
award of $1.2 million. The Far Greater Northside Historical Neighborhood Association (FGNHNA) was �,..�
the appiicant. FGNHNA is tax-exempt under 501(c)3 of the Internal Revenue �Code and was certi�ed t.
as a Community Housing Development Organization (CHDO) by the City of Fort Worth an August 27,�
1999. It is in the process of applying to become a Community Based Development Organization
(CBDO).
Summary of the Modei Blocks Plan:
Boundaries
The Far Greater Northside Model Blocks Area is bounded on the north by Long Avenue, on the east by
the alley east of Lincoln Avenue, on the west by the aliey west of Hanna Avenue, and on the south by
30th Street, Loving Avenue, 31 st Street and Chestnut Avenue (see attached map). The neighborhood
is two blocks from the Historic Stockyards, adjacent to Meacham Airport, and is in close proximity to the
Alliance corridor and the North Main corridor.
Needs Assessment
According to the 1990 census, a large percentage of the residents of this �area are low-to-moderate
income. About 40% of the population in the area lived below poverty level, almost three times that of the
City at large. Seventeen percent of the civilian workforce was unemployed, almost finrice as that for the
City. � �
Far Greater Northside has long suffered from problems including dilapidated housing, vacant
properties, insufficient infrastructure, lack of job opportunities, and sociaf ills. Despite these problems
facing the neighborhood, Far Greater Northside has numerous strengths that hold the community
together and continue to improve the quality of life af its residents. These strengths include a 501(c)3
neighborhood association (FGNHNA), the historic importarice of the neighborhood in the development of
Fort Worth, high percentage of homeownership (58.7% in 1999), good work ethics, concerned citizens,
and availability of community resources such as schools, churches, parks, and community centers.
Moreover, Far Greater Northside's proximity to major employment centers — downtown, Alliance
Corridor and the thriving commercial development in the Stockyards and North Main Corridor - provide
an enormous opportunity for local economic development. The housing stock is still strong despite. its
age and need for repairs. � � � '
�
,
City of Fort Wo�ih, Texas
�1►��y�r And �,au�lcll �,ammun�cAt�an
DATE REFERENCE NUMBER LOG NAME PAGE �
11/5/99 � G-12719 I "05BLOCKS I 3 of 5
SUBJECT ALLOCATION OF COMMUNITY DEVELOPMENT BLOCK GRANT AND HOME FUNDS
FOR THE FAR GREATER NORTHSIDE MODEL BLOCKS
Neiahborhood Revitalization Strateav
The revitalization strategy identifies issues in four areas: housing, public facilities, economic development
and public services. There are numerous goals detailed under each of these areas in the FGNMB plan.
In developing the strategies, FGNHNA worked with area stakeholders such as schools, community
groups, non-profit organizations, businesses and financial institutions.
The following are the major strategies utilizing the $1.2 million Model Blocks funds. In parenthesis are
the objectives of the program within a two-year time frame:
a) Build neighborhood capacity through designation of the FGNHNA as a CHDO and CBDO to
implement neighborhood improvement projects; �
b) Provide., homeownership programs (8 homes);
c) Rehabilitate owner-occupied homes (15 homes);
d) Improve North Tri-Ethnic Center to provide a learning center for adults and youth;
e) Reconstruct streets (McKinley Avenue between 30th and 31st Streets, 30th Street between
McKinley and Prairie Avenues); �
f) Improve Lincoln Park facilities (install 2 water fountains);
g) Beautify neighborhoods through landscaping; and
h) Conduct a market study to provide direction and strategies for economic development.
Also included in the Model Blocks Plan �are other activities that are equally important to the
neighborhood. However, the FGNHNA will have to raise funds from other sources and work with other
organizations to implement these strategies. These activities include:
a)
b)
c)
d)
e)
f)
9)
h)
i)
Minor home repairs;
Neighborhood clean-ups; �
Businesses attraction;
Job development;
Neighborhood block crime watch/citizen on patrol;
Police storefront;
Drug and alcohol prevention/treatment programs;
Youth programs (tutoring and swimming classes); and
Job training. �
City of Fort Worth, Texas
�►��y.ar �nd aunc�l ammun�c�t�an
C C
DATE REFERENCE NUMBER LOG NAME PAGE
11/5/99 � G-12?19 I 05BLOCKS I 4 of 5
SUBJECT ALL'OCATION OF COMMUNITY DEVELOPMENT BLOCK GRANT AND HOME FUNDS
FOR THE FAR GREATER NORTHSIDE MODEL BLOCKS
PROGRAM BUDGET
, PROGRAM ITEMS .
Housing .
Homeownership Programs
Home Improvement Programs
Administration
Public Facilities
North Tri-Ethnic Center Improvements
Street Improvements
Lincoln Park
Public Services
Landscaping/geautification
Economic Development
Market Study
Total
FUNDS ALLOCATED
$ 190,000
502.500
$ 692,500
$60.000
$ 60,000
$ 217,000
205,500
5.000
$ 427,500
$ 10.000
$ 10,000
$ 10.000
$ 10.000
$1,200,000
The Far Greater Northside Model Blocks is located in COUNCIL DISTRICT 2. �
The Safety and Community Development Committee approved this recommendation at its October 12,
1999 meeting.
. . .
,
City of Fort Wot�th,. Texas
�l�Ay�r �t�d C,aunc�l C,ammu�n�cc�t�an
DATE REFERENCE NUMBER LOG NAME � PAGE
11/5/99 �-12719 I 05BLOCKS 5 of 5
SUBJECT ALLOCATION OF COMMUNITY DEVELOPMENT BLOCK RANT AND HOME FUNDS
FOR THE FAR GREATER NORTHSIDE MODEL BLOCKS
FISCAL INFORMATION/CERTIFICATION:
The Finance Director certifies that upon approval of the above recommendations and adoption of the
attached appropriation ordinance, funds will be available in the current operating budget, as appropriated,
of the Grants Fund.
LW:j
Submitted for City Manager's
Office by:
Libby Watson
Originating Department Head:
Jerome Walker
Additional Information Contact:
Jerome Walker
6183
7537
� FUND
� (t�)
� 2) GR76
2) GR76
1) GR76
1) GR76
� 1) GR76
� 1) GR76
� 1) GR76
I 1) GR76
f 1) GR76
� 1) GR76
� 1) GR76
� 1) GR76
(from)
1) GR76
1) GR76
� 1) GR76
� 3) GR76
I 3) GR76
f 3) GR76
� 3) GR76
7537 � 3) GR76
� ACCOUNT I
488376
539120
539120
539120
539120
539120
539120
539120
539120
539120
539120
539120
539120
539120
488386
539120
539120
539120
539120
539120
CENTER
013206127000
005206127740
005206127700
005206127710
005206127720
005206127730
005206127740
005206127750
005206127760
005206127770
005206128080
005206128090
005206127210
005206128040
005206948000
005206127700
005206128080
005206127720
005206127760
005206127770
� AMOUNT
CITY SECRETARY
$100,000.00
$100,000.00
$ 90,000.00
$402,500.00
$ 60,000.00
$217,000.00
w205,500.G0
$ 5,000.00
$10,000.00
$ 10,000.00
$100,000.00
$100,000.00
$900,000.00
�20�,���.QO
$100,000.00
$ 90,000.00
$100,000.00
$ 60,000.00
$ 10,000.00
$ 10,000.00
a�Rov�o
c►TY couNc��
N OV 2 1999
�<<��.
Citr r
C:it� ot �ort Wortli.l'ex:s
Adaflted (3rc��na��;,� i'�o.13��