HUD-4128-OHF Environmental Assessment & Compliance

Environmental Assessment
and Compliance Findings
for the Related Laws

U.S. Department of Housing
and Urban Development

1. Project Number
HUD Program
2. Date Received

RMS: HI-00487R
Findings and Recommendations are to be prepared after the environmental analysis is completed. Complete items 1 through 15 as appropriate for
all projects. For projects requiring an environmental assessment, also complete Parts A and B. For projects categorically excluded under 24 CFR 50.20,
complete Part A. Attach notes and source documentation that support the findings.
3. Project Name and Location (Street, City, County, State)

Multifamily

5.

Elderly

Other

4. Applicant Name and Address (Street, City, State, Zip Code), and Phone

6. Number of

7. Displacement

___________ Dwelling Units

If Other, explain.

___________ Stories

New Construction

8.

Rehabilitation

Other

_________ Buildings

_________ Acres
10. Planning Findings. Is the project in compliance or

Local Zoning
9. Has an environmental report (Federal, State,

No

Yes

conformance with the following plans?

(if Other, explain)

or local) been used in completing this form?

No

If Yes, explain.

Yes

If Yes, identify:_______________________________________
(check one)
Categorical exclusion is made in accordance with § 50.20 or
Environmental Assessment and a Finding of No Significant
Impact (FONSI) is made in accordance with § 50.33 or
Environmental Assessment and a Finding of Significant
Impact is made, and an Environmental Impact Statement is
required in accordance with §§ 50.33(d) and 50.41.

Coastal Zone
Air Quality (SIP)

Yes
Yes

No
No

Not Applicable
Not Applicable

Yes

No

Not Applicable

Explain any "No" answer:_____________________________________

11. Environmental Finding

Are there any unresolved conflicts concerning
the use of the site?
No

Project is recommended for approval (List any conditions and requirements)

12. Preparer (signature)

Date

Yes (explain):_____________________________________

Project is recommended for rejection (State reasons)

13. Supervisor (signature)

Date

14. Comments by Environmental Clearance Officer (ECO)
(required for projects over 200 lots/units)

ECO (signature)

Date

X
15. Comments (if any) by HUD Approving Official

HUD Approving Official (signature)

Date

X
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form HUD-4128 (1/2002)
ref. 24 CFR Part 50

Part A. Compliance Findings for §50.4 Related Laws and Authorities
§ 50.4 Laws and Authorities

Project is
in Compliance
Yes
No

Source Documentation and Requirements for Approval

16. Coastal Barrier Resources
17. Floodplain Management
(24 CFR Part 55)
18. Historic Preservation
(36 CFR Part 800)
19. Noise Abatement
(24 CFR Part 51 Subpart B)
20. Hazardous Operations
(24 CFR Part 51 Subpart C)
21. Airport Hazards
(24 CFR Part 51 Subpart D)
22. Protection of Wetlands
(E. O. 11990)
23. Toxic Chemicals & Radioactive
Materials(§ 50.3(i))
24. Other § 50.4 authorities (e.g.,
endangered species, sole source
aquifers, farmlands protection,
flood, insurance, environmental
justice)

Part B. Environmental/Program Factors
Factors

Anticipated
Impact/Deficiencies
None Minor Major

Source Documentation and Requirements for Approval

25 Unique Natural Features and
Areas
26. Site Suitability, Access, and
Compatibility with Surrounding
Development
27. Soil Stability, Erosion, and
Drainage
28. Nuisances and Hazards (natural
and built)
29. Water Supply / Sanitary Sewers
30. Solid Waste Disposal
31. Schools, Parks, Recreation, and
Social Services
32. Emergency Health Care, Fire and
Police Services
33. Commercial / Retail and
Transportation
34. Other

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form HUD-4128 (1/2002)
ref. 24 CFR Part 50

Sample Field Notes Checklist
Project Number

HUD Program

Project Name:
Location (street, city, county/State, & zip code)

Number of Dwelling Units
New construction

Rehabilitation

Project site is in a location described as
Central city
Suburban
In developing rural area
In undeveloped area

Infill urban development

Note to Reader: An Environmental Assessment (EA) is a concise public document that a Federal agency must prepare in order to comply
with the National Environmental Policy Act (NEPA) and the related Federal environmental laws and authorities. The EA must support
decision making process and provide a clear rationale, justification, and documentation for ratings assigned.
Instructions
It is recommended that this checklist be used by HUD staff who
prepare the Environmental Assessment (EA; form HUD-4128). It will
constitute full documentation for many factors on the EA, and partial
documentation for others. It will avoid narrative reports and expedite
the environmental review process. This checklist, which is a slightly
revised version of Appendix C of Handbook 1390.2, should be used
pending revision of Handbook 1390.2.
The number for each checksheet topic is the number that appears on
form HUD-4128. Also, each checklist title/heading is followed by a
reference to where the topic appears in the current Handbook 1390.2.
Before the site visit, review the Phase I and all background information submitted with the application (if applicable). During the site visit,
the preparers of form HUD-4128 are to: (i) answer all relevant questions
on this checklist; (ii) use the spaces provided for comments to include
supplemental information as well as to record any recommended mitigation measures or requirements for project approval; (iii) key your
answers to the relevant questions (using additional sheets of paper to
provide more detailed information); and (iv) use the spaces provided for
source documentation to cite the information source used (e.g., title of

a technical report, map, or special study; site inspection/field observation; name and location of the qualified data source(s) that provided the
information, for example, the local planning agency, the local housing
and/or community development agency, the State environmental protection agency, the State Historic Preservation Officer, or other qualified
data source.)
Preparers are to obtain and use, as appropriate, any environmental
report (Federal, State, or local) that may have already been prepared for
the property or area in which the property is located.
Several different types of maps will be useful in completing the
review, such as the project plan or plot map, a location map showing
major features and facilities in the vicinity, the USGS topographic map
and FEMA flood map for the site area, and zoning/land use maps. Many
of the conditions can and should be recorded directly on the project
plan. Distances to major features and facilities (e.g., schools and fire
stations) and a description of the surrounding area are examples. The
plan can then be referenced as “source documentation” on form HUD4128.

9. Environmental Report
List the Federal, State, or local agencies contacted to obtain their existing environmental reports and other data for the HUD
environmental review for the proposed project.

List the major reports obtained. (attach the report(s) or otherwise list the title, author, publication date)

10. Planning Findings
Is the project in compliance or conformance with the local zoning?
Yes
No
Not Applicable If No or Not Applicable, explain.

Is the project located within a coastal management zone (CZM)?
Yes
No
Not Applicable
If your answer is Yes, the State Coastal Zone Management (CZM) Agency must make a finding that the project is consistent with
the approved State CZM program.
Is the State’s finding attached to this checksheet?
Yes
No
Is the project in compliance with the air quality State Implementation Plan (SIP)?
Yes
No
Not Applicable
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ref. 24 CFR Part 50

Comments:

Source documentation:

Are there any unresolved conflicts concerning the use of the site?
Yes
No
If your answer is Yes, briefly explain:

16. Coastal Barrier Resources
Is the project located within a coastal barrier designated on a current FEMA flood map or Department of Interior coastal barrier
resources map?
Yes
No
If your answer is Yes, the law prohibits Federal funding of projects in designated coastal barriers.
17. Flood Management (24 CFR Part 55) (see CF 3 and 4 of Handbook 1390.2)
Is the project located within a floodplain designated on a current FEMA flood map?
Yes
No Identify FEMA flood map used to make this finding:
Community Name and Number:
Map Panel Number and Date of Map Panel:
If your answer is Yes, use § 55.12 and the floodplain management decisionmaking process (§ 55.20) to comply with 24 CFR Part 55.
Comments:

Source documentation: (attach § 55.20 analysis)

18. Historic Preservation (see CF 2 of Handbook 1390.2)
Has the SHPO been notified of the project and requested to provide comments?
Yes
No
Is the property listed on or eligible for listing on the National Register of Historic Places?
Yes
No
Is the property located within or directly adjacent to an historic district?
Yes
No
Does the property’s area of potential effects include an historic district or property?
Yes
No
If your answer is Yes to any of the above questions, consult with the State Historic Preservation Officer (SHPO) and comply with 36 CFR part 800.
Has the SHPO been or is being advised of HUD’s finding?
Yes
No
Comments:

Source documentation:

19. Noise Abatement (see CF 1 of Handbook 1390.2)
Is the project located near a major noise source, i.e., civil airports (within 5 miles), military airfields (15 miles), major highways
or busy roads (within 1000 feet), or railroads (within 3000 feet)?
Yes
No
If your answer is Yes, comply with 24 CFR 51, Subpart B which requires a noise assessment for proposed
new construction. Use adopted DNL contours if the noise source is an airport.
Comments:

Source documentation: (attach NAG worksheets)

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form HUD-4128 (1/2002)
ref. 24 CFR Part 50

20. Hazardous Industrial Operations (see CF 5 of Handbook 1390.2)
Are industrial facilities handling explosive or fire-prone materials such as liquid propane, gasoline or other storage tanks adjacent
to or visible from the project site?
Yes
No
If your answer is Yes, use HUD Hazards Guide and comply with 24 CFR Part 51, Subpart C.
Comments:
Source documentation: (attach ASD worksheets)

21. Airport Hazards (see CF 5 of Handbook 1390.2)
Is the project within 3,000 feet from the end of a runway at a civil airport?
Yes
No
Is the project within 2-1/2 miles from the end of a runway at a military airfield?
Yes
No
If your answer is Yes to either of the above questions, comply with 24 CFR Part 51, Subpart D.
Comments:
Source documentation:

22. Protection of Wetlands (E.O. 11990) (see CF 3 and 4 of Handbook 1390.2)
Are there drainage ways, streams, rivers, or coastlines on or near the site?
Yes
No
Are there ponds, marshes, bogs, swamps or other wetlands on or near the site?
Yes
No
For projects proposing new construction and/or filling, the following applies:
Is the project located within a wetland designated on a National Wetlands Inventory map of the Department of the Interior (DOI)?
Yes
No
If your answer is Yes, E.O. 11990, Protection of Wetlands, discourages Federal funding of new construction
or filling in wetlands and compliance is required with the wetlands decisionmaking process (§ 55.20 of 24 CFR Part
55. Use proposed Part 55 published in the Federal Register on January 1, 1990 for wetland procedures).
Comments:
Source documentation: (attach § 55.20 analysis for new construction and/or filling)

23. Toxic Chemicals and Radioactive Materials (see CF 5 of Handbook 1390.2)
Has a Phase I (ASTM) Report been submitted and reviewed?
Yes
No
If your answer is No, is a Phase I (ASTM) report needed?
Yes
No
Are there issues that require a special/specific Phase II report before completing the environmental assessment?
Yes
No
Is the project site near an industry disposing of chemicals or hazardous wastes?
Yes
No
Is the site listed on an EPA Superfund National Priorities or CERCLA, or equivalent State list?
Yes
No
Is the site located within 3,000 feet of a toxic or solid waste landfill site?
Yes
No
Does the site have an underground storage tank?
Yes
No
If your answer is Yes to any of the above questions, use current techniques by qualified professionals to undertake investigations
determined necessary and comply with § 50.3(i).
Are there any unresolved concerns that could lead to HUD being determined to be a Potential Responsible Party (PRP)?
Yes
No
Comments:

Source documentation: (attach Phase I (ASTM) Report)

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ref. 24 CFR Part 50

24. Other
a. Endangered Species (see EF 3.4 of Handbook 1390.2)
Has the Department of Interior list of Endangered Species and Critical Habitats been reviewed?
Yes
No
Is the project likely to affect any listed or proposed endangered or threatened species or critical habitats?
Yes
No
If your answer is Yes, compliance is required with Section 7 of the Endangered Species Act, which mandates
consultation with the Fish and Wildlife Service in order to preserve the species.
Comments:

Source documentation

b. Sole Source aquifers
Will the proposed project affect a sole source or other aquifer?
Yes
No
Comments

Source documentation

c.

Farmlands Protection (see EF 3.3 of Handbook 1390.2)
If the site or area is presently being farmed, does the project conform with the Farmland Protection Policy Act and HUD policy memo?
Yes
No
If your answer is Yes, compliance is required with 7 CFR Part 658, Department of Agriculture regulations
implementing the Act.
Comments:

Source documentation:

d. Flood Insurance
Is the building located or to be located within a Special Flood Hazard Area identified on a current Flood Insurance Rate Map (FIRM)?
Yes
No
If your answer is Yes, flood insurance protection is required for buildings located or to be located within a
Special Flood Hazard Area as a condition of approval of the project. In addition, compliance with § 55.12 and
the floodplain management decisionmaking process (§ 55.20) is required (refer to item #17 above). Document
the map used to determine Special Flood Hazard Area in above item #17 pertaining to community name and
number, map panel number and date of map panel.
e. Environmental Justice
Is the project located in a predominantly minority and low-income neighborhood?
Yes
No
Does the project site or neighborhood suffer from disproportionately adverse environmental effects on minority and low-income
populations relative to the community-at-large?
Yes
No
If your answer is Yes, compliance is required with E.O. 12898, Federal Actions to Address Environmental Justice.
Comments:

Source documentation:
25. Unique Natural Features and Areas (see EF 3.2 of Handbook 1390.2)
Is the site near natural features (i.e., bluffs or cliffs) or near public or private scenic areas?
Yes
No
Are other natural resources visible on site or in vicinity? Will any such resources be adversely affected or will they adversely affect the project?
Yes
No
Comments:

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ref. 24 CFR Part 50

26. Site Suitability, Access, and Compatibility with Surrounding Development (see EF 1.1 and 1.3 of Handbook 1390.2)
Has the site has been used as a dump, sanitary landfill or mine waste disposal area?
Yes
No
Is there paved access to the site?
Yes
No
Are there other unusual conditions on site?
Yes
No
Is there indication of:
distressed vegetation
waste material/containers
soil staining, pools of liquid
loose/empty drums, barrels

Yes No

Yes No
oil/chemical spills
abandoned machinery, cars, refrigerators, etc.
transformers, fill/vent pipes, pipelines, drainage structures

Is the project compatible with surrounding area in terms of:
Yes No
Land use
Building type (low/high-rise)
Height, bulk, mass
Building density
Will the project be unduly influenced by:
Yes No
Building deterioration
Postponed maintenance
Obsolete public facilities
Are there air pollution generators nearby which
Yes No
Heavy industry
Incinerators
Power generating plants
Cement plants

Yes No

Yes No
Transition of land uses
Incompatible land uses
Inadequate off-street parking
would adversely affect the site:
Yes No
Large parking facilities (1000 or more cars)
Heavy travelled highway (6 or more lanes)
Oil refineries
Other(specify)

Comments:

Source documentation:

27. Soil Stability, Erosion, and Drainage (see EF 1.2 of Handbook 1390.2)
Slopes:
Not Applicable
Steep
Moderate
Slight
Is there evidence of slope erosion or unstable slope conditions on or near the site?
Is there evidence of ground subsidence, high water table, or other unusual conditions on the site?
Is there any visible evidence of soil problems (foundations cracking or settling, basement flooding, etc.)
in the neighborhood of the site?
Have soil studies or borings been made for the project site or the area?
Do the soil studies or borings indicate marginal or unsatisfactory soil conditions?
Is there indication of cross-lot runoff, swales, drainage flows on the property?
Are there visual indications of filled ground?
If your answer is Yes, was a 79(g) report/analysis submitted?
Are there active rills and gullies on site?
If the site is not to be served by a municipal waste water disposal system, has a report of the soil
conditions suitable for on-site septic systems been submitted?
Is a soils report (other than structural) needed?
Are structural borings or a dynamic soil analysis/geological study needed?

Yes No

Unknown

N.A.

Comments:

Source documentation:

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ref. 24 CFR Part 50

28. Nuisances and Hazards (see EF 1.3 and 1.4 of Handbook 1390.2)
Will the project be affected by natural hazards:
Yes
No
Faults, fracture
Cliffs, bluffs, crevices
Slope-failures from rains
Unprotected water bodies
Will the project be affected by built hazards and nuisances:
Yes
No
Hazardous street
Dangerous intersection
Through traffic
Inadequate separation of pedestrian/vehicle traffic
Children’s play areas located next to
freeway or other high traffic way
Inadequate street lighting
Quarries or other excavations
Dumps/sanitary landfills or mining
Railroad crossing
Will the project be affected by nuisances:
Yes
No
Gas, smoke, fumes
Odors
Vibration
Glare from parking area
Vacant/boarded-up buildings

Yes

No

Yes

No

Fire hazard materials
Wind/sand storm concerns
Poisonous plants, insects, animals
Hazardous terrain features

Inadequate screened drainage catchments
Hazards in vacant lots
Chemical tank-car terminals
Other hazardous chemical storage
High-pressure gas or liquid petroleum
transmission lines on site
Overhead transmission lines
Hazardous cargo transportation routes
Oil or gas wells
Industrial operations
Yes
Unsightly land uses
Front-lawn parking
Abandoned vehicle
Vermin infestation
Industrial nuisances
Other (specify)

No

Comments:

Source documentation:

29. Water, Supply, Sanitary Sewers, and Solid Waste Disposal (see EF 2.1, 2.2, and 2.4 of Handbook 1390.2)
Is the site served by an adequate and acceptable:
water supply
Yes
No
Municipal
Private
sanitary sewers and waste water disposal systems
Yes
No
Municipal
Private
trash collection and solid waste disposal
Yes
No
Municipal
Private
If the water supply is non-municipal, has an acceptable “system” been approved by appropriate authorities and agencies?
Yes
No
If the sanitary sewers and waste water disposal systems are non-municipal, has an acceptable “system” been approved by appropriate
authorities and agencies?
Yes
No
Comments:

Source documentation:

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ref. 24 CFR Part 50

31. Schools, Parks, Recreation, and Social Services (see U/EF 4, 5, and 6 of Handbook 1390.2)
Will the local school system have the capability to service the potential school age children from the project?
Yes
No
Are parks and play spaces available on site or nearby?
Yes
No
Will social services be available on site or nearby for residents of the proposed project?
Yes
No
Comments:

Source documentation:

32. Emergency Health Care, Fire and Police Services (see U/EF 7, 8, and 9 of Handbook 1390.2)
Are emergency health care providers located within reasonable proximity to the proposed project?
Yes
No Approximate response time: _______________
Are police services located within reasonable proximity to the proposed project?
Yes
No Approximate response time: _______________
Is fire fighting protection
municipal
volunteer adequate and equipped to service the project?
Yes
No Approximate/estimated response time:________
Comments:

Source documentation:

33. Commercial/Retail and Transportation (see U/EF 10 and 11 of Handbook 1390.2)
Are commercial/retail shopping services nearby?
Yes
No
Is the project accessible to employment, shopping and services by
public transportation or
private vehicle?
Is adequate public transportation available from the project to these facilities?
Yes
No
Are the approaches to the project convenient, safe and attractive?
Yes
No

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form HUD-4128 (1/2002)
ref. 24 CFR Part 50

11. Conditions and Requirements for Approval
Are mitigation measures required?
Yes
No
If your answer is Yes, list and describe:

Brief Description of the Project:

Field Inspection on (date)

Previous editions are obsolete

_________________________

By (signature) ________________________________________

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form HUD-4128 (1/2002)
ref. 24 CFR Part 50