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Super Notice of Funding Availability (SuperNOFA) for HUD's Discretionary Programs for Fiscal Year 2003
Note: EPA no longer updates this information, but it may be useful as a reference or resource.
[Federal Register: April 25, 2003 (Volume 68, Number 80)]
[Notices]
[Page 21251-21300]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr25ap03-95]
[[pp. 21251-21300]]
Super Notice of Funding Availability (SuperNOFA) for HUD's
Discretionary Programs for Fiscal Year 2003
[[Continued from page 21250]]
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2601 et seq.) (RESPA), state and federal truth-in-lending laws, and how
to identify and avoid predatory loans with oppressive terms and
conditions; home maintenance; budgeting and money management; and
credit counseling.
Counseling services can be adapted to reflect local circumstances,
fit the pre- and ongoing post-purchase needs of the individual
families, and fulfill specific requirements established by the PHA. The
PHA has the discretion to require ongoing counseling for all or select
participants in the homeownership option.
For example, agencies may provide on-going counseling on issues
such as home improvement and rehabilitation. This could include
educating the client about: Their loan and grant options; the loan and/
or grant application processes; what housing codes and housing
enforcement procedures apply for the intended activity; accessibility
codes; visitability and universal design; non-discriminatory lending
for persons who modify their dwellings to accommodate disabilities; how
to identify and hire a construction contractor; how to specify and bid
construction work; how to enter into construction contracts; and how to
manage construction contracts, including actions to address the non-
performance of contractors.
Additional ongoing counseling needs may include default counseling
and loss mitigation strategies such as debt restructuring, establishing
reinstatement plans, seeking loan forbearance, and managing household
finances. Counselors can also help program participants that are
victims of predatory lending, provide referrals to emergency and social
service providers, and assist clients with locating alternative
housing.
All counseling must occur one-on-one. These grant funds may not be
used for any type of group sessions or workshops. Applications
including group sessions as proposed activities will be evaluated only
on proposed one-on-one counseling.
Note: For each activity you propose, you must be prepared to
meet the needs of all individuals requesting services, including
persons with disabilities, regardless of the complexity of the
services involved. Additionally, services must be affirmatively
marketed to persons with disabilities, including visual and hearing
disabilities, as they would be to any other segment of the
population not likely to apply for such services.
Intermediaries and SHFAs can directly provide the housing
counseling services described above, or distribute and administer grant
funds and provide technical assistance and other services to
affiliates, who are eligible to undertake any or all of the eligible
housing counseling activities outlined above.
Intermediaries and SHFAs have wide discretion to decide how to
allocate their HUD Housing counseling and leveraged funding among their
affiliates, with the understanding that a written record must be kept
documenting and justifying funding decisions. This record must be made
available to affiliates and to HUD. Intermediaries and SHFAs must also
execute sub-grant agreements with their affiliates that clearly
delineate the mutual responsibilities for program management, including
appropriate time frames for reporting results to HUD.
(C) Eligible Applicants. Eligible applicants are: (1) HUD-approved
local housing counseling agencies (LHCAs); (2) HUD-approved national
intermediaries; (3) HUD-approved regional intermediaries; and (4) state
housing finance agencies (SHFAs.)
HUD-approved LHCAs--Under this NOFA, HUD-approved LHCAs may apply
for and receive a grant under Category 1 or one sub-grant from an
Intermediary or SHFA under Categories 2, 3 and 4, but not both. HUD-
approved LHCAs that apply directly under Category 1 are prohibited from
also applying for or receiving a sub-grant under Categories 2, 3 and 4
of this NOFA. HUD-approved LHCAs that receive a sub-grant through an
intermediary or SHFA under the other Housing Counseling NOFA in this
SuperNOFA may receive a sub-grant under this NOFA with the same
intermediary or SHFA, or they may apply directly as an LHCA.
HUD-approved national and regional intermediaries--HUD-approved
National and Regional Intermediaries may apply for a grant under
Categories 2 and 3, respectively.
SHFAs--SHFAs may only apply for grants under Category 4. Eligible
SHFAs are entities that satisfy the definition in 24 CFR 266.5 of a
``Housing Finance Agency.'' SHFAs and eligible sub-grantees/affiliates
do not need HUD-approval in order to receive these funds.
Eligible applicants under Categories 1-3 are private nonprofit and
public organizations, including grass roots faith-based and other
community-based organizations, that secure HUD-approval as an LHCA, or
as a national or regional intermediary, as of the publication date of
this SuperNOFA, and retain such approval through the term of any grant
awarded. For information on securing HUD-approval visit HUD's Web site
at http://www.hud.gov/offices/hsg/sfh/hcc/hccprof13.cfm. 
Additionally, to be eligible to receive a grant directly from HUD
under this Housing Counseling NOFA, all applicants (except SHFAs) must
be (1) duly organized and existing as a nonprofit, (2) in good standing
under the laws of the state of its organization, and (3) authorized to
do business in the states where it proposes to provide counseling
services. For example, applicable state licensing, corporate filing,
and registering requirements must be satisfied.
An LHCA, national or regional intermediary, or SHFA may use branch
offices to provide counseling funded through this NOFA. A branch office
is an organizational and subordinate unit of the LHCA, intermediary, or
SHFA, not separately incorporated or organized. LHCAs may maintain a
main office and branch offices in no more that two states, which must
be contiguous.
More typically, National and Regional Intermediaries and SHFAs
provide sub-grants to separately incorporated or organized affiliates.
Eligible sub-grantees are not required to be HUD-approved, although
HUD-approved LHCAs may apply to an intermediary or SHFA as a sub-
grantee. Intermediaries and SHFAs that award sub-grants to affiliates
that are not HUD-approved must assure that said affiliates meet or
exceed the standards, as specified in paragraph 2-1 of HUD Handbook
7610.1, Rev-4, CHG-1, for HUD-approved LHCAs. These organizations will
be monitored by HUD, and intermediaries that do not ensure their
affiliates'/branches' compliance with HUD standards could be prohibited
from participating in the program.
To be eligible for a sub-grant under categories 2, 3 or 4,
affiliates must not have directly applied for or received a grant under
Category 1 of this NOFA, or another sub-grant from an Intermediary or
SHFA under Categories 2, 3 or 4 of this NOFA.
Additionally, to be eligible for a sub-grant, an affiliate must be
(1) duly organized and existing as a nonprofit, (2) in good standing
under the laws of the state of its organization, and (3) authorized to
do business in the states where it proposes to provide counseling
services. For example, applicable state licensing, corporate filing,
and registering requirements must be met.
Written Commitment to Partner. To be eligible, applicants must also
provide a written commitment to partner from one or more PHAs with
which it has come to an agreement to provide housing counseling to
participants of the PHA's Homeownership Voucher Program. Intermediaries
and SHFAs proposing to make sub-grants to affiliates or branch
[[Page 21265]]
offices must provide a separate written commitment to partner from a
PHA for each affiliate or branch office covered by the proposal. There
is no requirement that the PHA commit to partner with the applicant for
the provision of all housing counseling services related to its
Homeownership Voucher Program, although this would be acceptable.
Written commitments to partner from PHAs do not have to be ratified
by the PHA Board, although a formal document, such as a Memorandum of
Understanding (MOU) between the PHA and the applicant, is acceptable.
The written commitment to partner must, however, be on PHA letter-head,
must specifically mention the housing counseling agency/applicant, and
must be signed by an authorized PHA official. Moreover, the written
commitment to partner must indicate that the PHA is exercising its
option to implement the Homeownership Voucher Program and agrees to
refer Homeownership Voucher participants to the applicant to fulfill
the housing counseling requirement specified in the Homeownership
Voucher Program regulations. The written commitment to partner must
clearly outline: the broad roles and responsibilities of the PHA and
the housing counseling agency applying for funding under this NOFA; the
estimated number of Homeownership Voucher Program participants, both
pre-purchase and ongoing, to be referred by the PHA to the counseling
agency during the grant period October 1, 2003 to September 30, 2004;
specific PHA requirements for ongoing counseling; and outcome goals.
While no written commitment to partner is required from PHAs
approved by HUD as housing counseling agencies, the PHA must estimate
the number of voucher participants to be counseled in connection with
the Homeownership Voucher Program, and describe the outcome goals to be
achieved.
IV. Requirements
Agencies selected as grantees or sub-grantees must comply with the
following requirements:
(A) Threshold Requirements. The requirements listed in Section V of
the General Section of the SuperNOFA apply to this program.
Applications will be declared ineligible for any of the following
reasons:
--If you or any of your affiliates or branches do not meet the Civil
Rights Threshold Requirements set forth in Section V(B) of the General
Section of this SuperNOFA.
--If you are presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from covered transactions
from any federal department or agency.
--If you are not currently approved by HUD as an LHCA or as a National
or Regional Housing Counseling Intermediary, and if you didn't secure
approval by the publication date of this SuperNOFA. SHFAs need only
satisfy the definition in 24 CFR 266.5 of a ``Housing Finance Agency.''
(B) Program Requirements. Program requirements are outlined in
detail in HUD Handbook 7610.1, REV-4, CHG-1, dated October 27, 1997,
which can be viewed on HUD's Web site at http://www.hud.gov/offices/
hsg/sfh/hcc/hccprof7.cfm.
Additionally, the following also apply:
(1) List of Agencies. Pursuant to section 106 (C)(5) of the Housing
and Urban Development Act of 1968, HUD maintains a list of all HUD-
approved and HUD-funded counseling agencies, including contact
information, which interested persons can access. All grantees under
Category 1, and sub-grantees under Categories 2, 3, and 4 will be
placed on this list and must accept subsequent referrals, or when they
do not provide the services sought, refer the person to another agency
in the area that does provide the services.
(2) Accessibility--All grant recipients and sub-recipients must
make counseling offices and services reasonably accessible to persons
with a wide range of disabilities and help persons locate suitable
housing in locations throughout the applicant's community, target area,
or metropolitan area, as defined by the applicant.
(3) All counseling services provided in conjunction with the
Homeownership Voucher Program must be provided free of charge.
(C) Religious Discrimination. Grant recipients and sub-recipients
are prohibited from discriminating on behalf of or against any segment
of the population in the provision of services or in outreach,
including those of other religious affiliations.
Additionally, organizations funded under this program may not
engage in inherently religious activities, such as worship, religious
instruction, or proselytization, as part of the programs or services
funded under this program. If an organization conducts such activities,
these activities must be offered separately, in time or location, from
the programs or services funded under this part, and participation must
be voluntary for the HUD-funded programs or services.
(D) Code of Conduct. Entities that are subject to 24 CFR parts 84
and 85 (most nonprofit organizations and state, local and tribal
governments or government agencies or instrumentalities who receive
federal awards of financial assistance) are required to develop and
maintain a written code of conduct (See Sec. Sec. 84.42 and
85.36(b)(3)). Consistent with regulations governing housing counseling
programs, your code of conduct must prohibit real and apparent
conflicts of interest that may arise among employees, officers or
agents; prohibit the solicitation and acceptance of gifts or gratuities
by your officers, employees and agents for their personal benefit in
excess of minimal value; and outline administrative and disciplinary
actions available to remedy violations of such standards. Self-recusal
shall not eliminate a potential or apparent conflict of interest. If
awarded assistance under this SuperNOFA, prior to entering into a grant
agreement with HUD you will be required to submit a copy of your code
of conduct and describe the methods you will use to ensure that all
officers, employees and agents of your organization are aware of your
code of conduct.
(E) Performance Measurement. Grant recipients are required to
complete and submit a form HUD-9902, Fiscal Year Activity Report
(Appendix A). The information compiled from this report provides HUD
with its primary means of measuring your program performance.
(F) Environmental Requirements. In accordance with 24 CFR
50.19(b)(9) and (12) of the HUD regulations, activities assisted under
this program are categorically excluded from the requirements of the
National Environmental Policy Act and are not subject to environmental
review under the related laws and authorities.
(G) Financial Management Systems. Applicants selected for funding
must provide documentation demonstrating that the applicant's financial
management systems satisfy the requirements in the applicable
regulations at 24 CFR 84.21(b) and 85.20. Consistent with the
requirements of the Single Audit Act Amendments of 1996 (31 U.S.C.
7501-07), if the applicant expended $300,000 or more in federal awards
in its most recent fiscal year, such documentation must include a
certification from, or most recent audit by, the applicant's
Independent Public Accountant that the applicant maintains internal
controls over federal awards; complies with applicable laws,
regulations, and contract or grant provisions; and prepares appropriate
financial statements. The applicant will have at least thirty (30)
calendar days to respond to this requirement. If an applicant does not
respond within the
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prescribed time or responds with insufficient documentation, then HUD
may determine that the applicant has not met this requirement and may
withdraw the grant offer.
(H) Indirect Cost Rate. You must also submit documentation
establishing your organization's indirect cost rate. Such documentation
may consist of a certification from, most recent audit, or indirect
cost rate agreement by, the cognizant federal agency or an Independent
Public Accountant. If your organization does not have an established
indirect cost rate, you will be required to develop and submit an
indirect cost proposal to HUD or the cognizant federal Agency as
applicable, for determination of an indirect cost rate that will govern
your award. Applicants that do not have a previously established
indirect cost rate with a federal agency shall submit an initial
indirect cost rate proposal immediately after the applicant is advised
that it will be offered a grant and, in no event, later than three
months after the effective date of the grant. OMB Circular A-122
established the requirements to determine allowable direct and indirect
costs and the preparation of indirect cost proposals, and can be found
at www.whitehouse.gov.omb
V. Application Selection Process
(A) General. Applications will be evaluated competitively, and
ranked against all other applicants that applied in the same funding
category. All applicants will be rated and ranked in HUD Headquarters.
The funding formula described below will be used to calculate award
amounts.
(B) Factors For Award Used to Rate and Rank Applications. Section
VI(B) of the General Section of the SuperNOFA contains information on
the rating panels used to review and score applications. The Factors
for Award, and maximum points for each factor, are outlined below.
These factors will be used to evaluate applications and the maximum
number of points for each applicant is 102 points for LHCAs and 100 for
all other applicants. LHCAs are eligible for 2 bonus points if they can
demonstrate that at least 51% of their proposed services: (1) Will be
provided to residents of federally designated Empowerment Zones (EZs),
Enterprise Communities (ECs), Urban Enhanced Enterprise Communities
(EECs), Strategic Planning Communities, or Renewal Communities (RCs);
and (2) are certified to be consistent with the area's strategic plan.
Section VI.C(1) of the General Section of this SuperNOFA, entitled
``RC/EZ/EC,'' contains additional information regarding these bonus
points.
HUD may rely on information from performance reports, financial
status information, monitoring reports, audit reports and other
information available to HUD in making score determinations under any
Rating Factor.
Rating Factor 1: Capacity--Readiness and Effectiveness (35 Points)
HUD uses responses to this Rating Factor to evaluate the readiness
and ability of an applicant to immediately begin the proposed work
program, as well as the potential for an applicant to cost-effectively
and successfully implement the proposed activities indicated in
response to Rating Factor 3.
(A) (6 points) Knowledge and Experience. In rating this sub-factor,
HUD will consider the degree to which the applicant, and, if
applicable, affiliates, has sufficient personnel with the relevant
knowledge and experience to implement the proposed activities in a
timely and effective fashion.
Specifically, for LHCAs, scoring will be based on the number of
years of recent housing counseling experience of counselors. For
intermediaries and SHFAs, scoring will be based on: the number of years
of recent housing counseling experience of counselors in affiliates and
branches; and the number of years, for key intermediary / SHFA
personnel, of recent experience running a housing counseling program
consisting of a network of multiple counseling agencies. Related
experience, such as experience in mortgage lending, will also be
considered, but will not be weighted as heavily as direct housing
counseling or housing counseling program management experience.
Submit the names and titles of employees, including subcontractors
and consultants, performing the activities proposed in Rating Factor 3.
Clerical staff should not be listed. Describe each employee's,
subcontractor's, or consultant's relevant professional background and
experience. Experience is relevant if it corresponds directly to
projects of a similar scale and purpose. Provide the number of years of
experience for each position listed, and indicate when each position
was held. Individual descriptions should be limited to one page. List
recent and relevant trainings received.
(B) (4 points) Section 8 Homeownership Experience. In scoring this
section, HUD will evaluate the degree to which, as compared to other
applicants, the applicant and partnering PHA(s) have experience working
with HUD's Homeownership Voucher Program.
Highlight counselors and key staff with experience related to
counseling Homeownership Voucher families in the context of the
homeownership option. Describe counseling activities and results
performed in conjunction with the Homeownership Voucher Program, if
applicable, including the number of families counseled by your agency
that participated in Homeownership Voucher Program last year. Identify
the sources and amount of funding used to support counseling in
conjunction with the Homeownership Voucher Program.
Additionally, if applicable, provide detailed information regarding
the Homeownership Voucher Program-related experience of each PHA with
whom you, or your affiliates or branch offices, have a written
commitment to partner, including the number of families that
participated in the PHA's Homeownership Voucher Program in the past
year, and the number of current homeowners receiving voucher assistance
to date, and other notable outcomes and information demonstrating the
effectiveness of the existing program. If different from the applicant,
explain what counseling agency or other organization provided the
housing counseling related to the Program.
(Sections C and D pertain to the applicant's performance with their
FY01 HUD grant, the most recent complete grant year. If you received no
FY01 HUD grant, the five points available in Section C, and the twelve
points available in Section D will be allocated to Section E (Impact-
Leveraged Resources) for a total of 20 points.)
(C) (5 points) Quality and Complexity of Services. In scoring this
Section, HUD will evaluate the quality of services provided, and level
of effort and time required to provide the housing counseling services
(in general, not just Homeownership Voucher-related), captured in the
form HUD-9902 for the time period October 1, 2001 to September 30,
2002. Scoring will be based on the degree to which the applicant
demonstrates that, for each type of counseling service delivered, and
compared to other applicants, sufficient time and resources were
devoted to ensure that clients received quality counseling.
Additionally, scorers will evaluate the extent to which, as compared to
other applicants, an agency encouraged and provided one-on-one
counseling, which HUD views as the most effective form of housing
counseling, instead of over-relying on homebuyer education
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workshops and other forms of group sessions.
Applicants should carefully document the types and complexity of
the services provided with FY01 HUD grant funds, and the outcomes for
clients as a result of the counseling. Describe the level of effort and
time required to provide the housing counseling services and to meet
the needs of your clients. Indicate the average counseling time per
client for all types of counseling performed. Also describe follow-up
activities, if applicable.
Indicate the number of clients that participated only in Homebuyer
Education workshops or other group sessions. Indicate the number of
clients that participated in Homebuyer Education workshops or other
group session and also received one-on-one counseling.
(D) (12 points) Impact/Outcomes--HUD Grant. In scoring this
Section, HUD will evaluate the applicant's, and if applicable,
affiliates' and branches', clients served numbers and performance-
related outcomes (in general, not just Homeownership Voucher-related)
for the grant period October 1, 2001 to September 30, 2002. Clients
served numbers will be scored based on the quantity of clients the
applicant was able to serve compared to similar applicants providing
similar services. Clients served numbers will be analyzed in the
context of budget, costs, spending decisions, the types of services
provided, level of effort expended, etc. Outcomes will be scored based
on how well the applicant met performance goals.
Indicate the number of clients (in general) that you proposed to
serve with your HUD grant in Factor 3 of your FY01 Housing Counseling
NOFA application (submitted May 3, 2001), and compare it with the
number attributed to the HUD grant appearing on the 9902 form submitted
with this application, covering October 1, 2001-September 30, 2002,
which corresponds to the FY01 application and resulting award. Explain
any differences between goals and results, including differences in
proposed and actual grant amounts.
If you received no FY01 HUD grant covering October 1, 2001-
September 30, 2002, characterize your performance at meeting your goals
regarding activities for that time period, under other sources of
funding, such as other federal, state or local grant awards. Explain
any differences between goals and results.
While HUD values cost-effectiveness, we are not simply trying to
identify and fund the lowest-cost service providers. We realize that
costs vary depending on location and types of services provided, and
can appreciate that strategic investments, such as investments in
training, technology, or more qualified staff, may potentially be an
efficient use of resources, but affect counseling volume in the short-
term.
So HUD can evaluate your program results, provide a context for, or
qualify, the number of clients, indicated on the form HUD-9902
submitted with this application, that were served with your HUD-grant.
Describe the types of counseling conducted. Indicate how location,
counseling and client type, spending decisions, and expenses may have
affected client volume, and, if applicable, how they will impact client
volume in the future.
Identify all specific uses of HUD grant funds, such as staff
salaries, other staff costs, training, and travel expenses. Itemize the
total costs for each use. Provide the average hourly labor rate for
counselors. Justify your expenses and explain why they were reasonable,
strategic, and appropriate for the counseling activities identified
above.
Intermediaries and SHFAs that received an FY01 HUD award for the
grant period October 1, 2001 to September 30, 2002 must also indicate
what percentage of their award was passed through directly to
affiliates and branches, and explain how funds not passed through were
spent.
Provide the following performance outcomes for counseling
activities covered by your FY01 HUD grant, for the grant period October
1, 2001 to September 30, 2002:
? The number of individuals receiving pre-purchase counseling
that purchased a home;
? The number of individuals receiving pre-purchase counseling
that are working toward becoming mortgage ready;
? The number of individuals receiving pre-purchase counseling
that, after evaluating their unique financial situation and the costs
of homeownership, elected not to purchase a home;
? The number of individuals receiving default counseling that
successfully avoided foreclosure.
So HUD can evaluate these outcomes/results, indicate the outcome
goals that you had set for yourself prior to the grant period, October
1, 2001 to September 30, 2002, and characterize your performance at
meeting those goals. Compares these outcome goals with your actual
performance outcomes. Describe relevant market conditions and other
circumstances that you believe affected reported outcome numbers.
Note: The outcomes listed above correspond to the new form HUD-
9902 (appendix A), from which these outcome results will be derived
in future NOFAs. In future NOFAs, outcomes will be evaluated based
on the degree to which the applicant was able to meet the outcome
estimates it provided in Factor 5 of the relevant previous
application. In other words, applicants will be held accountable for
fulfilling performance-related promises made in NOFA applications.
If you received no FY01 HUD grant, provide these performance
outcomes for counseling activities covering October 1, 2001-September
30, 2002, under other sources of funding, such as other federal, state
or local grant awards. Indicate how each compares with the outcome
goals that you had set for yourself for the activity period, and
characterize your performance at meeting outcome goals.
(E) (3 points) Impact--Leveraged Resources. In scoring this
Section, HUD will evaluate the applicant's non-HUD funded counseling
activities and budget during the grant period October 1, 2001 to
September 30, 2002. Scoring will be based on the quantity of clients
the applicant was able to serve, compared to similar applicants
providing similar services. Clients served numbers will be analyzed in
the context of budget, costs, spending decisions, the types of services
provided, level of effort expended, etc.
Provide all the information requested in Sections C and D above,
except outcomes, relevant to the non-HUD funded activities recorded on
the form HUD-9902 submitted with this application.
(F) (5 points) Performance/Grant Requirements. In scoring this
Section, HUD will evaluate how well the applicant satisfied the
requirements, including reporting, of their FY01 HUD housing counseling
grant, for the grant period October 1, 2001 to September 30, 2002. If
you did not receive a FY01 HUD grant, base your response on activities
and requirements under other sources of funding, such as other federal,
state or local grant awards.
? Characterize your performance with regards to the
timeliness and completeness with which you satisfied reporting
requirements (such as Form HUD 9902.)
? Also indicate whether or not you fully expended HUD and
other grant awards during the grant period October 1, 2001 to September
30, 2002. If not fully expended, provide an explanation as to why the
funds were not fully expended and the steps you have taken to ensure
that future funding will be expended in a timely manner.
? Significant findings on biennial reviews conducted by HUD
staff will be
[[Page 21268]]
taken into consideration when scoring this Section. Explain how you
have taken steps to address and correct any significant findings, if
applicable.
Rating Factor 2: Need/Extent of Problem (10 Points)
This factor addresses the extent to which there is a demonstrated
need for the proposed activities described in your response to Rating
Factor 3, and the degree to which proposed activities correspond to
Departmental policy priorities.
(A) (3 points) Demand for Homeownership Vouchers. Provide an
estimate by the PHA as to the volume of Homeownership Voucher Program
participants it anticipates in general for the grant period October 1,
2003 through September 30, 2004. Explain in detail how the estimate was
calculated. Estimates and explanations must be provided on PHA
letterhead and signed by an authorized PHA official.
(B) (3 points) Local Market. Demonstrate that the local market will
support affordable homeownership. For example, describe the income and
wealth characteristics of Homeownership Voucher Program participants,
such as average income as a percent of area median income, and average
savings available for down payment, and then demonstrate the
availability in the local market of homes affordable to these
participants. Intermediaries and SHFAs must provide this information
for each affiliate or branch included in their application.
(C) (4 points) Departmental Policy Priorities. The Departmental
policy priorities are listed in Section II of the General Section of
the SuperNOFA. Of those listed, the following 4 apply to the Housing
Counseling Program for the purpose of this NOFA:
(1) Providing Increased Homeownership and Rental Opportunities for
Low- and Moderate-Income Persons, Persons with Disabilities, the
Elderly, Minorities, and Families with Limited English Proficiency.
(2) Providing Full and Equal Access to Grass-Roots Faith-Based and
Other Community-Based Organizations in HUD Program Implementation.
(3) Colonias.
(4) Participation of Minority Serving Institutions in HUD Programs.
You will receive one point (up to 4 total) for each of the
Departmental policy priorities that your work plan substantively
addresses.
Rating Factor 3: Scope of Housing Counseling Services / Soundness of
Approach (40 Points)
This factor addresses the quality and effectiveness of your
proposed housing counseling activities.
(A) (2 points) Work Plan. In scoring this Section, HUD will
consider whether the applicant provided all of the information
requested.
Describe the proposed housing counseling services and if
applicable, intermediary activities, including training, you propose to
undertake, and identify the geographic area your services will cover.
National and Regional Intermediaries and State Housing Finance Agencies
must also provide the following additional information:
(a) Identify which affiliates will receive funding through this
grant award. Applicants unable to identify which affiliates will
receive sub-grants must explain why this is the case and what process
will be used to select grantees. Pursuant to the applicable regulations
at 24 CFR 84.82(d)(3)(iii) and 85.30(d)(4), grantees must receive HUD's
prior written approval for sub-grants.
(b) Describe the activities of those affiliates, explicitly stating
the types of services to be offered.
(c) Describe your relationship with your affiliates (i.e.
membership organization, field or branch office, subsidiary
organization, etc.).
(d) Explain the process that will be used to determine affiliate
funding levels, distribute funds, and monitor affiliate performance,
including compliance with the civil rights requirements outlined in the
General Section of the SuperNOFA.
(B) (5 points) Employee Allocation/Staff hours. In scoring this
Section, HUD will evaluate whether allocated staff and staff hours are
appropriate and sufficient to perform all proposed tasks.
Indicate the names and titles of employees, including
subcontractors and consultants, allocated to each proposed activity, as
well as the corresponding staff hours for each task. Demonstrate that
each employee's experience is related to the tasks they are to perform.
(C) (9 points) Coordination. In scoring this Section, HUD will
consider the extent to which the applicant can demonstrate they will
coordinate proposed activities with other organizations, and with other
services and products offered by the applicant's organization, in a
manner that benefits their clients.
Describe partnerships and efforts to coordinate proposed activities
with other organizations, particularly lending organizations and
nonprofit housing providers. Any written agreements or memoranda of
understanding in place should be described and copies provided.
National and regional intermediaries should also highlight internal
lending operations and loan products available to clients, as well as
internal affordable housing programs that can be a resource for
clients.
Describe plans to avoid conflicts of interest, such as methods for
disclosing to participants that they are free to choose lenders,
lending products, and homes, regardless of the recommendations made by
counselors, and provide copies of relevant disclosure forms and
materials.
(D) (12 points) Quality and Complexity of Services. In scoring this
Section, HUD will evaluate the quality of the proposed housing
counseling services, and the level of effort and time associated with
providing the proposed counseling services to the number of clients you
estimate you will serve in Section E. Scoring will be based on the
degree to which the applicant demonstrates that, for each type of
counseling service delivered, and compared to other applicants,
sufficient time and resources will be devoted to ensure that clients
receive quality counseling.
Applicants should carefully document the types and complexity of
the services to be provided. Describe the level of effort and time you
estimate is required to provide the proposed counseling services to,
and meet the needs of, the number of clients you indicate in Section E
that you will serve with the proposed grant. Estimate the average
counseling time you, and if applicable your affiliates and branches,
anticipate per client for all types of counseling offered. Also
describe planned follow-up activities, if applicable.
(E) (12 points) Efficient Use of Resources--Proposed HUD Grant
Activities. In scoring this Section, HUD will evaluate the number of
clients that the applicant, and if applicable, affiliates and branches,
estimate will be served under the proposed HUD grant, for the grant
period October 1, 2003 to September 30, 2004. Scoring will be based on
the quantity of clients the applicant proposes to serve, compared to
similar applicants providing similar services. Proposed clients served
numbers will also be analyzed in the context of budget, costs, spending
[[Page 21269]]
decisions, the types of services provided, level of effort expended,
etc.
Indicate the number of clients you project will be served by your
organization, or, if applicable, affiliates and branch offices, under
the proposed HUD grant. Do not provide ranges or percentages, but a
specific number of clients. Estimates must be consistent with the
number of clients, indicated in the required written commitment to
partner, that the PHA indicates will be referred to the counseling
agency/applicant during the grant period October 1, 2003 to September
30, 2004, or differences should be explained clearly.
Provide a context for, or qualify the number of clients you project
to serve with the proposed HUD grant. Indicate how location, counseling
and client types, and expenses may affect client volume, and whether
the impact will be short-term or long-term.
Itemize the costs associated with each specific proposed use of
counseling funds, such as staff salaries, other staff costs, training
and travel expenses. Provide the average hourly-labor rate for
counselors. Justify your proposed expenses and explain why they are
reasonable, strategic, and appropriate for the counseling activities
identified above.
National and Regional Intermediaries and SHFAs must indicate what
percentage of their proposed HUD grant will be passed through directly
to affiliates or branches, and explain how funds not passed through
will be spent.
Rating Factor 4: Leveraging Resources (10 Points)
Applicants will be evaluated based on their ability to provide
evidence that they have obtained additional resources for their housing
counseling activities (in general, not just Homeownership Voucher
Program-related counseling), including: Direct financial assistance;
in-kind contributions, such as services, equipment, office space;
labor; etc. Resources may be provided by governmental entities, public
or private nonprofit organizations, for-profit private organizations,
or other entities committed to providing you assistance.
In order to obtain points under this factor, the applicant must
demonstrate leveraging by providing letters from entities and/or
individuals committing resources to the project that include:
--The identity of the entity or individual committing resources to the
project.
--Dollar value of the resources to be committed.
--Types of resources to be committed.
--An indication that the resources will be available during the grant
period pertaining to this NOFA, October 1, 2003-September 30, 2004.
--An indication that the award, or a specific portion of it, is
intended for housing counseling.
--The signature of an official of the entity legally able to make
commitments on behalf of the entity.
--No conditions that would nullify the commitment. (It is, however,
acceptable for the commitment to be conditional on HUD funding.)
Additionally, resources provided by the applicant itself, recorded
as `applicant match' and `program income' on the form HUD-424, will
count as leveraged resources.
Points for this factor will be awarded based on the satisfactory
provision of evidence of leveraging and financial sustainability, as
described above, and the ratio of requested HUD housing counseling
funds to total housing counseling budget. Depending on organization
type, the following scales will be used to determine scores for this
factor:
------------------------------------------------------------------------
Percentage Points
------------------------------------------------------------------------
LHCAs and SHFAs
------------------------------------------------------------------------
1-20....................................................... 10
21-35...................................................... 9
36-42...................................................... 8
43-50...................................................... 7
51-58...................................................... 6
59-65...................................................... 5
66-73...................................................... 4
74-80...................................................... 3
81-90...................................................... 2
91-99...................................................... 1
------------------------------------------------------------
National and Regional Intermediaries
------------------------------------------------------------------------
1-10....................................................... 10
11-15...................................................... 9
16-20...................................................... 8
21-25...................................................... 7
26-30...................................................... 6
31-35...................................................... 5
36-40...................................................... 4
41-45...................................................... 3
46-50...................................................... 2
51-99...................................................... 1
------------------------------------------------------------------------
Rating Factor 5: Achieving Results and Program Evaluation (5 Points)
This factor emphasizes HUD's determination to ensure that
applicants meet commitments made in their applications and grant
agreements and assess their performance to realize performance goals,
and reflects HUD's goal to embrace high standards of ethics, management
and accountability.
The purpose of this factor is for the applicant to identify program
outputs and outcomes that will allow you and HUD to measure actual
achievements against anticipated achievements. Outputs and outcomes
must be objectively quantifiable.
Submission Requirements for Factor 5. Applicants must submit an
effective, quantifiable, outcome-oriented evaluation plan for measuring
performance and determining that output and outcome goals have been
met. You must submit a program evaluation plan that demonstrates how
you will measure your own program performance. Your Evaluation Plan
should identify what you are going to measure, how you are going to
measure it, and the steps you have in place to make adjustments to your
work plan if performance targets are not met within established
timeframes. Specifically, your plan must identify:
--Outputs. Outputs are the direct products of your program's activities
that lead to the ultimate achievement of outcomes. Examples of outputs
are the number of individual counseling sessions, and the number of
group sessions to be provided. Identify interim and full grant term
outputs, and timeframes for accomplishing these goals. Your plan must
show how you will measure actual accomplishments against anticipated
achievements.
--Work Plan Adjustments. Describe steps in place to make adjustments to
your work plan if outputs are not met within established timeframes or
if you begin to fall short of established outputs and timeframes.
Intermediaries and SHFAs should indicate if and how the performance of
affiliates and branch offices affects current and future sub-grant
allocations.
--Outcomes. Outcomes are benefits accruing to the families as a result
of participation in the program. Outcomes are performance indicators
you expect to achieve or goals you hope to meet over the term of your
proposed grant. In scoring this Section, HUD will consider the
appropriateness of the proposed outcomes given the proposed HUD award
and past performance, and evaluate proposed outcomes in comparison to
similar applicants. For the period October 1, 2003-September 30, 2004,
provide the following anticipated outcomes for clients as a result of
the proposed grant:
? The number of individuals receiving pre-purchase counseling
that will purchase a home
? The number of individuals receiving pre-purchase counseling
that
[[Page 21270]]
are working toward becoming mortgage ready
? The number of individuals receiving pre-purchase counseling
that, after evaluating their unique financial situation and the costs
of homeownership, will elect not to purchase a home
? The number of individuals receiving default counseling that
will successfully avoid foreclosure
(These specific outcomes correspond to the new form HUD-9902. The
proposed outcomes you provide will be compared with the results
captured in the HUD-9902 you submit in the FY05 NOFA, should you apply,
to evaluate the impact you were able to achieve with this award, and
the degree to which you were able to meet or exceed your proposed
outcomes.)
--Information Collection. Describe your strategy for following-up with
clients and collecting outcome information.
(C) Funding Methodology. Only applicants scoring 75 points or above
are eligible for funding under Categories 1, 2, 3, and 4. However,
because of the limited amount of funds available in relation to the
potential number of applicants, all applicants scoring 75 points or
above are not guaranteed funding, as described below.
All LHCAs will be ranked against each other nationally. Up to the
top 30 scoring applicants nationwide with scores of 75 points or above
will receive a base award of $15,000. The total number of applicants
receiving the base award will be multiplied by $15,000 and that amount
will be subtracted from the total amount available under the category.
Then, the remaining balance ($300,000 if 30 applicants score 75 points
or above) will be divided by the total number of points each of those
30 applicants scores that are above the 75 point cutoff. The division
will result in a dollar value for each point. The number of points that
each applicant scores above the 75 point threshold will be multiplied
by that dollar value. The result of that multiplication will be added
to the $15,000 base for the total award amount.
All National Intermediaries will be ranked against each other. Up
to the top 4 scoring applicants with scores of 75 points or above will
receive a base award of $150,000. The total number of applicants
receiving the base award will be multiplied by $150,000 and that amount
will be subtracted from the total amount available under the category.
The remaining balance ($350,000 if 4 national intermediaries score 75
points or above) will be divided by the total number of points each of
those 4 agencies scores that are above the 75-point cutoff. The
division will result in a dollar value for each point. The number of
points that each applicant scores above the 75 point threshold will be
multiplied by that dollar value. The result of that multiplication will
be added to the $150,000 base for the total award amount.
All Regional Intermediaries will be ranked against each other. Up
to the top 2 scoring applicants with scores of 75 points or above will
receive a base award of $60,000. The total number of applicants
receiving a base award will be multiplied by $60,000 and that amount
will be subtracted from the total amount available under the category.
Then, the remaining balance ($30,000 if 2 regional intermediaries score
75 points or above) will be divided by the total number of points each
of those 2 agencies scores that are above the 75-point cutoff. The
division will result in a dollar value for each point. The number of
points that each applicant scores above the 75 point threshold will be
multiplied by that dollar value. The result of that multiplication will
be added to the $60,000 base for the total award amount.
All SHFAs will be ranked against each other nationally. Up to the
top 5 scoring applicants with scores of 75 points or above will receive
a base award of $20,000. The total number of applicants receiving a
base award will be multiplied by $20,000 and that amount will be
subtracted from the total amount available under the category. The
remaining balance ($50,000 if 5 SHFAs score 75 points or above) will be
divided by the total number of points each of those applicants scores
that are above the 75 point cutoff. The division will result in a
dollar value for each point. The number of points that each applicant
scores above the 75 point threshold will be multiplied by that dollar
value. The result of that multiplication will be added to the $20,000
base for the total award amount.
All grantees will receive the lower of either the award amount
determined with the formula, or the amount actually requested by the
applicant.
(D) Reallocation of Unspent Funds. If funds designated for a
specific grant Category remain unspent after the formula has been run
and award recommendations determined, HUD may reallocate those funds to
any other funding category in this NOFA, at its discretion, or may
reallocate those funds to any category under the general Housing
Counseling NOFA also issued with this SuperNOFA. Additionally, HUD may
reallocate unspent funds for housing counseling support activities.
(E) Applicant Debriefing. Applicants interested in a debriefing
should consult the instructions in section XI(A)(4) of the General
Section of the SuperNOFA. Requests should be submitted to the person or
organization to which you were instructed, in section VI of this NOFA,
to submit your application.
(F) Grant Period. Funds awarded shall be available for a period of
twelve (12) calendar months. Applicants selected for award must receive
prior HUD approval to incur costs prior to the date of the grant
agreement. Grantees may incur pre-award costs ninety (90) calendar days
prior to the effective date of the grant agreement. All pre-award costs
are incurred at the applicant's risk and HUD has no obligation to
reimburse such costs if the award is inadequate to cover such costs or
the award offer is withdrawn because of the applicant's failure to
satisfy the requirements of this NOFA.
(G) Award Instrument. HUD expects to use a grant agreement, but it
reserves the right to use the award instrument it determines to be most
appropriate. All Housing Counseling Program awards shall be made on a
cost reimbursement basis in accordance with the requirements in OMB
Circular A-87, Cost Principles for State and Local Governments and
Indian Tribal Governments; or OMB Circular A-122, Cost Principles for
Non-Profit Organizations, as applicable to your organization; and the
administrative requirements established in OMB Circular A-102, which
was implemented by 24 CFR part 85 (Administrative Requirements for
Grants and Cooperative Agreements to State, Local and federally
recognized Indian tribal governments); OMB Circular A-110, which was
implemented by 24 CFR part 84 (Grants and Agreements with Institutions
of Higher Education, Hospitals and Other Non-Profit Organizations); and
OMB Circular A-133 which was implemented by 24 CFR parts 84 and 85. If
you receive an award you are also required to ensure that any sub-
recipients also comply with the above requirements. OMB circulars can
be found at: http://www.whitehouse.gov/omb/.
VI. Application Submission
In addition to reviewing the instructions below, all applicants
should consult the General Section of this SuperNOFA and review the
procedures that affect application submission.
Application. Because applications will be handled by various staff
members, they must be bound or secured in a binder, and tabbed. Use the
[[Page 21271]]
checklist below to organize your application. Unless indicated below,
all applicants must submit the following:
(1) The standard forms, certifications, and assurances listed in
Section V(H) of the General Section of the SuperNOFA (collectively,
referred to as the ``standard forms'').
(2) HUD-approval / Statutory Authority. Each applicant is required
to submit a copy of their most recent approval letter or certificate of
approval as a housing counseling agency from HUD, unless the applicant
is a SHFA that satisfies the definition of a `Housing Finance Agency'
in 24 CFR 266.5. SHFAs must submit evidence of their statutory
authority to operate as a SHFA, and apply for, and use, any funds
awarded.
(3) Written Commitment to Partner. Provide a copy of a written
commitment to partner from each PHA with which you or your affiliates
and branches have entered into an agreement, as described in Section
III of this NOFA.
(4) Form HUD-9902, Housing Counseling Agency Fiscal Year Activity
Report, for fiscal year October 1, 2001 through September 30, 2002. In
the space provided on the form, indicate the amount of the FY01 HUD
grant you received that corresponds with this data. If you did not
participate in HUD's Housing Counseling Program during the period
October 1, 2001 through September 30, 2002, this report should be
completed to reflect your counseling workload and budget during that
period. A copy of this form is included in Appendix A of this NOFA.
(5) National and Regional Intermediaries must provide a list of,
and certify to, the states in which they maintain offices, including
the national office and all affiliates or branch offices.
(6) Narrative statements addressing the Rating Factors in section
V(B) above. Responses to the rating factors should provide HUD with
detailed quantitative and qualitative information and relevant examples
regarding the housing counseling work of your organization.
Please be as specific and direct as possible. For LHCAs, responses
to each factor must be limited to 10 double-spaced, size 12 font,
single-sided pages. Additional submissions by LHCAs will not be read.
These guidelines are also recommended for National and Regional
Intermediaries and SHFAs, however, if you feel you need to include more
information to make your case, you should feel free to do so.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications. Applications will be declared
ineligible for any of the following reasons:
--If you do not meet the Civil Rights Threshold Requirements set forth
in section V(B) of the General Section of this SuperNOFA.
--If you are presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from covered transactions
from any federal department or agency.
VIII. Authority
HUD's Housing Counseling Program is authorized by Section 106 of
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701x), and is
generally governed by HUD Handbook 7610.1, REV-4, CHG-1, dated October
27, 1997.
The Homeownership Voucher Program and the Section 8 Homeownership
Program refer to the homeownership option in the Housing Choice Voucher
Program. The homeownership option is authorized by section 8(y) of the
United States Housing Act of 1937, as amended by section 555 of the
Quality Housing and Work Responsibility Act of 1998. The implementing
regulations are found at 24 CFR 982.625 through 24 CFR 982.642.
Appendix A--Form HUD-9902, Fiscal Year Activity Report
BILLING CODE 4210-32-P
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Funding Availability for the Lead-Based Paint Hazard Control Grant
Program
PROGRAM OVERVIEW
Purpose of the Program. The purpose of the Lead-Based Paint Hazard
Control Grant Program is to assist States, Native American Tribes and
local governments in undertaking comprehensive programs to identify and
control lead-based paint hazards in eligible privately owned housing
for rental or owner-occupants in partnership with nonprofit
organizations including grassroots faith-based and other community-
based organizations.
Available Funds. Approximately $96 million in Fiscal Year 2003 and
approximately $7 million in previous year recaptured funds.
Eligible Applicants. States, Native American Tribes or local
governments. If you are a State or Tribal applicant, you must have a
Lead-Based Paint Contractor Certification and Accreditation Program
authorized by the Environmental Protection Agency (EPA).
Application Deadline. You, the applicant, must submit a completed
application to HUD on or before the respective program's application
due date. The application deadline is June 10, 2003
Match. A statutory minimum of 10% match in local funds.
ADDITIONAL INFORMATION
Application and Submission Procedures
(1) Application Submission. See the General Section of this
SuperNOFA for specific procedures concerning the form of application
submission (e.g., mailed applications, express mail or overnight
delivery). Be advised that there is no Application Kit for this year's
Lead-Based Paint Hazard Control Grant Program. All the information
required to submit an application is contained in this Notice of
Funding Availability (NOFA).
(2) Addresses. You, the applicant, must submit a complete
application to: Department of Housing and Urban Development, Office of
Healthy Homes and Lead Hazard Control, Attn: Lead Hazard Control Grant
Program, 451 Seventh Street, SW, Room P3206, Washington, DC 20410.
For Further Information and Technical Assistance: You may contact
Matthew E. Ammon, Director, Lead Hazard Control Grants Division, Office
of Healthy Homes and Lead Hazard Control, at the address above;
telephone (202) 755-1785, extension 158 (this is not a toll-free
number). If you are a hearing-or speech-impaired person, you may reach
the above telephone numbers via TTY by calling the toll-free Federal
Information Relay Service at 1-800-877-8339.
I. Authority, Funding Amounts, and Amount of Funds Allocated
(A) Authority. The Lead-Based Paint Hazard Control Program is
authorized by Section 1011 of the Residential Lead-Based Paint Hazard
Reduction Act of 1992 (Title X of the Housing and Community Development
Act of 1992). HUD's authority for making funding available under this
NOFA is the Consolidated Appropriations Resolution of 2003, Public Law
108-7, approved February 20, 2003.
(B) Funding Available and Eligibility. Approximately $96 million in
Fiscal Year 2003 and approximately $7 million in previous year
recaptured funds will be available for the Lead-Based Paint Hazard
Control Grant Program. The maximum award amount shall be $3 million per
grant. Approximately 30 to 40 grants will be awarded. New applicants or
those previously funded lead-based paint hazard control grantee
applicants whose period of performance ended prior to the application
deadline date will be evaluated and scored as a separate group and will
not be in direct competition with applications from current grantee
applicants that are eligible for a Performance-Based Renewal to their
existing grant. A maximum of 35 percent of the funds will be made
available to applicants eligible for a Performance-Based Renewal. The
project duration shall be 42 months for new grant recipients and 36
months for Performance-Based Renewal grantees. HUD reserves the right
to approve no-cost time extensions for a period not to exceed 24
months. For new applicants, a minimum score of 75 is required for award
consideration. Current grantees with active grants at the application
deadline date must meet specific performance criteria in their current
grant to be eligible for a Performance-Based Renewal. Current grantees
eligible for a Performance-Based Renewal must meet or exceed the
specific work plan performance benchmark goals and objectives outlined
below for the period ending March 31, 2003 to be eligible to receive up
to $3 million to continue grant program activities for an additional 36
months after their current period of performance ends. Current grantees
that do not meet the performance criteria below are not eligible to
submit an application under this NOFA. Current grantees with active
grants at the application deadline date funded under the Fiscal Year
1998 Lead-Based Paint Hazard Control Grant Program NOFA published in
the Federal Register (FR) March 31, 1998 and grantees funded under the
Fiscal Year 2002 Lead-Based Paint Hazard Control Grant Program NOFA
published in the Federal Register (FR) March 26, 2002 are not eligible
to apply.
Performance-Based Renewal Eligibility Criteria
[For period ending March 31, 2003]
------------------------------------------------------------------------
Percentage
of federal
funds
Percentage reimbursed
of units through the
FY Round completed line of
and credit
cleared control
system
(LOCCS)
------------------------------------------------------------------------
1999.................................. 7 80 55
2000.................................. 8 65 45
2001.................................. 9 50 35
------------------------------------------------------------------------
By achieving the above-referenced level of performance, current
grantees have demonstrated a clear competitive basis for eligibility in
receiving additional funds without the need to submit a full
application in response to the NOFA. The Performance-Based Renewal
category reflects the intention of the Lead Hazard Control Grant
Program to move towards more competitive performance-based awards.
Applicants eligible to submit a Performance-Based Renewal will be
required to submit a Total Budget (Federal Share and Matching), a work
plan strategy with specific, measurable, and realistic benchmark
performance objectives and any supporting materials prescribed in the
NOFA for the entire Performance-Based Renewal period of performance. In
addition, grantees awarded grant funds under this category will be
required to meet the terms and conditions of their current grant
agreement and any additional applicable requirements under this NOFA
and subsequent grant agreement modification. HUD may terminate awards
to grantees that fail to meet established milestones or benchmark
performance standards established by this NOFA or the Award Agreement.
II. Eligible Applicants and Activities
(A) Program Description. The Lead-Based Paint Hazard Control Grant
Program assists States, Native American Tribes and local governments in
undertaking programs for the identification and control of lead-based
paint hazards in eligible privately-owned rental and owner-occupied
[[Page 21282]]
housing units. Appendix B (Eligibility of HUD Assisted Housing) lists
the HUD-associated housing programs that meet the definition of
eligible housing under this program.
(1) Because lead-based paint is a national problem, these funds
will be awarded to programs which:
(a) Maximize the combination of children protected from lead
poisoning and housing units where lead-hazards are controlled;
(b) Target lead hazard control efforts at housing in which children
are at greatest risk of lead poisoning;
(c) Stimulate cost-effective approaches that can be replicated;
(d) Emphasize lower cost methods of hazard control;
(e) Build local capacity to safely and effectively address lead
hazards during lead hazard control, renovation, remodeling, and
maintenance activities; and
(f) Affirmatively further fair housing and environmental justice.
(2) The objectives of this program include:
(a) Implementation of a national strategy, as defined in Title X of
the Housing and
Community Development Act of 1992 (42 U.S.C. 4851 et seq.) (Title
X), to build the community's capacity necessary to eliminate lead-based
paint hazards in housing, as widely and quickly as possible by
establishing a workable framework for lead-based paint hazard
identification and control;
(b) Mobilization of public and private resources, involving
cooperation among all levels of government, the private sector, and
grassroots faith-based and other community-based organizations to
develop cost-effective methods for identifying and controlling lead-
based paint hazards;
(c) Development of comprehensive community approaches which result
in integration of all community resources (governmental, grassroots
faith-based and other community-based, and private businesses) to
address lead hazards in housing;
(d) Integration of lead-safe work practices into housing
maintenance, repair, weatherization, rehabilitation, and other programs
that will continue after the grant period ends;
(e) Establishment of a public registry (listing) of lead-safe
housing or inclusion of the lead-safe status of properties in another
publicly accessible address-based property information system and
affirmatively marketed to families with young children; and
(f) To the greatest extent feasible, promotion of job training,
employment, and other economic opportunities for low-income and
minority residents and businesses that are owned by and/or employ low-
income and minority residents as defined in 24 CFR 135.5 (see 59 FR
33881, June 30, 1994).
(B) Eligible Applicants.
(1) To be eligible to apply for funding under this program, the
applicant must be a State, Indian Tribe, or unit of local government.
Multiple units of a local government (or multiple local governments)
may apply as part of a consortium; however, you must identify a lead
applicant that will be responsible for ensuring compliance with all
requirements specified in this NOFA. You may submit only one
application. In the event that multiple applications are submitted,
this will be considered a curable (minor) defect and the application
review process delayed until you notify HUD in writing which
application should be reviewed. Your other applications will be
returned unevaluated (see Section VIII of the General Section of this
SuperNOFA).
(2) Threshold Requirements. As an applicant, you must meet all of
the threshold requirements of the General Section of this SuperNOFA
(Section V (B)) as well as any specific threshold requirements for
applicants under the Lead Hazard Control Grant Program. Applications
will not be rated or ranked if they do not meet the threshold
requirements.
(3) Consolidated Plans. (This requirement does not apply to Native
American Tribes.)
(a) If your jurisdiction has a current HUD-approved Consolidated
Plan, you must submit, as an appendix, a copy of the lead-based paint
element included in the approved Consolidated Plan.
(b) If your jurisdiction does not have a currently approved
Consolidated Plan, but it is otherwise eligible for this grant program,
you must include your jurisdiction's abbreviated Consolidated Plan,
which includes a lead-based paint hazard control strategy developed in
accordance with 24 CFR 91.235.
(4) Contracts or other formal arrangements with nonprofit
grassroots faith-based and other community-based organizations. If
selected for funding, local and State applicants must enter into
contractual relationships or other formal arrangements with grassroots
faith-based and other community-based organizations. Such relationships
must be established prior to actual execution of the grant agreement.
This requirement does not apply to Native American Tribes.
(5) EPA Authorization. If you are a State government or Indian
(Native American) Tribal government, you must have an EPA-authorized
Lead-Based Paint Training and Certification Program in effect on the
application deadline date to be eligible to apply for Lead Hazard
Control Grant funds. The approval date in the Federal Register notice
published by the EPA will be used in determining the Training and
Certification status of the applicant State or Indian (Native American)
Tribal government.
(6) Current grantees with active grants at the application deadline
date must meet specific performance criteria in their most recent grant
to be eligible for a Performance-Based Renewal Grant. Current grantees
that do not meet the performance criteria in Section II (B) for the
period ending March 31, 2003 are not eligible for a Performance-Based
Renewal grant. Current grantees funded under the Fiscal Year 1998 Lead-
Based Paint Hazard Control Grant Program published in the Federal
Register (FR) March 31, 1998 or funded under the Fiscal Year 2002 Lead-
Based Paint Hazard Control Grant Program NOFA published in the Federal
Register (FR) March 26, 2002 are not eligible to apply.
(7) The eligibility factors discussed in paragraphs (1) through (6)
above are threshold requirements. If you do not satisfy the appropriate
eligibility requirements stated in these paragraphs, HUD will not
review your application.
(C) Eligible Activities. HUD is interested in promoting lead hazard
control approaches that result in the reduction of this health threat
for the maximum number of low-income families with children under six
years of age, for the longest period of time, and that demonstrate
techniques which are cost-effective, efficient, and replicable
elsewhere. Activities must be conducted in compliance with HUD's Lead-
Safe Housing Regulation, 24 CFR part 35, and with any applicable
requirements of a Training and Certification Program that has been
authorized by the EPA under the requirements of 40 CFR 745.320. Copies
of HUD's Lead-Safe Housing Regulation, and the companion publication
``Interpretive Guidance: The HUD Regulation on Controlling Lead-Based
Paint Hazards in Housing Receiving Federal Assistance and Federally
Owned Housing Being Sold,'' are available from the National Lead
Information Clearinghouse at 1-800-424-LEAD (this is a toll-free
number). If you are a hearing- or speech-impaired person, you may reach
the telephone number via TTY by calling the toll-free Federal
Information Relay Service at 1-800-877-8339. Copies are also available
from the Office of Healthy Homes and Lead Hazard Control website at:
www.hud.gov/offices/lead.
[[Page 21283]]
(1) Direct Project Elements that you may undertake directly or
through sub-recipients, include:
(a) Performing dust testing, inspections, and risk assessments of
eligible housing units constructed prior to 1978 to determine the
presence of lead-based paint and/or lead hazards from paint, dust, or
soil through the use of acceptable testing procedures. All test results
must be provided to the owner of the unit, together with a notice
describing the owner's legal duty to disclose the results to tenants
and buyers.
(b) Conducting required pre-hazard control blood lead testing of
children under the age of six years of age residing in units undergoing
lead paint inspection/ risk assessment, or hazard control, unless
reimbursable from Medicaid or another source.
(c) Conducting lead hazard control activities that may include any
combination of the following:
(i) Interim control of lead-based paint hazards in housing (that
must include specialized cleaning techniques to address lead dust);
(ii) Abatement. The complete abatement of all lead-based paint
hazards or lead-contaminated soil in a unit or structure is acceptable.
Abatement of lead-contaminated soil should be limited to areas with
bare soil in the immediate vicinity of the structure, i.e. dripline or
foundation of the unit being treated, and children's play areas.
Abatement of all lead based paint is only acceptable in limited
circumstances with prior HUD approval.
All lead hazards identified in a housing unit enrolled in the lead
hazard control grant program must be controlled or eliminated by any
combination of these strategies.
(d) Carrying out relocation of families and individuals during the
period in which hazard control is conducted and until the time the
affected unit receives clearance for reoccupancy.
(e) Performing blood lead testing and air sampling to protect the
health of the hazard control workers, supervisors, and contractors.
(f) Undertaking minimal housing rehabilitation activities that are
specifically required to carry out effective hazard control, and
without which the hazard control could not be completed and maintained.
These grant funds may be used for lead hazard control work done in
conjunction with other housing rehabilitation programs. HUD strongly
encourages integration of this grant program with housing
rehabilitation, maintenance, weatherization, and other energy
conservation activities.
(g) Conducting clearance dust-wipe testing and laboratory analysis
(laboratory must be recognized by the National Lead Laboratory
Accreditation Program (NLLAP) as being capable of performing lead
analyses of samples of paint, dust-wipes, and/or soil).
(h) Engineering and architectural activities that are required for,
and in direct support of, lead hazard control.
(i) Providing resources to build capacity for lead-safe housing and
lead hazard control, including free delivery of HUD-approved lead-safe
work practices training courses for housing rehabilitation contractors,
rehabilitation workers, homeowners, renters, painters, remodelers,
maintenance staff, and others conducting renovation, rehabilitation,
maintenance or other work in private housing; free delivery of lead
sampling technician training, lead-based paint worker or contractor
certification training; and subsidies for licensing or certification
fees to low-income persons seeking credentials as lead-based paint
workers or contractors or lead sampling technicians.
(j) Providing instruction, training, and material supplies for dust
control activities to grassroots faith-based and other community-based
organizations, parent organizations, homeowners, and renters in low-
income private housing.
(k) Conducting planning, coordination, and training activities to
comply with HUD's Lead-Safe Housing Regulation (24 CFR Part 35) that
became effective on September 15, 2000. These activities should support
the expansion of a workforce properly trained in lead-safe work
practices which is available to conduct interim controls on HUD
assisted housing covered by these regulations. The regulation and
interpretive guidance about the rule are available from the National
Lead Information Center at 1-800-424-LEAD (this is a toll-free number).
If you are a hearing-or speech-impaired person, you may reach the
telephone number via TTY by calling the toll-free Federal Information
Relay Service at 1-800-877-8339. Copies are also available from the HUD
website at: www.hud.gov
(l) Conducting general or targeted community awareness, education
or outreach programs on lead hazard control and lead poisoning
prevention designed to increase the ability of the program to deliver
lead hazard control services including educating owners of rental
properties, tenants, and others on the Residential Lead-Based Paint
Hazard Reduction Act, Lead-Safe Housing Regulation, and applicable
provisions of the Fair Housing Act, and offering educational materials
in languages other than English, when needed, and providing training on
lead-safe maintenance and renovation practices and management. Upon
request, this also would include making all materials available in
alternative formats to persons with disabilities (e.g., Braille, audio,
large type).
(m) Procuring liability insurance for lead-hazard control
activities.
(n) Supporting data collection, analysis, and evaluation of grant
program activities. This includes compiling and delivering such
information and data as may be required by HUD. This activity is
separate from administrative costs.
(o) Participating in applied research, studies, or developing
information systems to enhance the delivery, analysis, or conduct of
lead hazard control activities, or to facilitate targeting and
consolidating resources to further childhood lead poisoning prevention
efforts.
(p) Purchasing or leasing equipment having a per unit cost under
$5,000.
(q) Purchasing or leasing no more than two (2) X-ray fluorescence
analyzers for use by the Lead-Based Paint Hazard Control Grant Program,
if not already available.
(r) Preparing a final report at the conclusion of grant activities.
(2) Support Elements.
(a) Administrative costs. There is a 10% maximum for administrative
costs. Specific information on administrative costs is included in
Appendix B.
(b) Program planning and management costs of sub-grantees and other
sub-recipients.
(D) Ineligible Activities. You may not use grant funds for:
(1) Purchase of real property.
(2) Purchase or lease of equipment having a per unit cost in excess
of $5,000, except for the purchase of X-ray fluorescence analyzers.
(3) Chelation or other medical treatment costs related to children
with elevated blood lead levels. Non-federal funds used to cover these
costs may be counted as part of the required matching contribution.
(4) Lead hazard control activities in publicly owned housing, or
project-based Section 8 housing (This housing stock is not eligible
under Section 1011 of the Lead-Based Paint Hazard Reduction Act, but
other funds are available).
III. Requirements
(A) Threshold Requirements. In addition to the requirements listed
in Section V. of the General Section of this SuperNOFA, the applicant
must comply with the following:
(1) Matching Contribution. You must provide a matching contribution
of at
[[Page 21284]]
least 10% of the requested grant sum. This may be in the form of cash,
including private sector funding, or in-kind (non-cash) contributions
or a combination of these sources. With the exception of Community
Development Block Grant (CDBG) funds, Federal Revenue Sharing programs,
or other programs which by statute allow their funds to be considered
local funds and therefore eligible to be used as matching funds,
Federal funds may not be used to satisfy the statutorily required 10%
matching requirement. Federal funds may be used, however, for
contributions above the statutory requirement. If an applicant does not
include the minimum ten percent match in the application, it will be
considered a curable (correctable) technical deficiency (see Section
VIII, Corrections to Deficient Applications in the General Section of
this SuperNOFA for the specific details on how to correct this
technical deficiency).
(B) Program Requirements. In addition to the threshold
requirements, the applicant must also comply with the following:
(1) Work Activities. Conformance of proposed plans to Federal and
State policies for Lead-Based Paint Hazard Control. All lead hazard
control activities must be conducted in compliance with the applicable
requirements of HUD's Lead-Safe Housing Regulation, 24 CFR Part 35, and
as clarified in HUD's Interpretive Guidance about the rule. Activities
must also comply with any additional requirements in effect under a
State or Tribal Lead-Based Paint Training and Certification Program
that has been authorized by the EPA pursuant to 40 CFR 745.320.
(2) Direct Lead Hazard Identification and Control Activities. The
budget proposed must show a minimum of 60 percent of the total Federal
amount requested identified for direct lead hazard control activities.
Direct lead hazard control activities consist of dust testing, lead
paint inspections, risk assessments, lead hazard control services, and
clearance examinations. Direct hazard control activities do not include
relocation, blood lead testing of residents or workers, housing
rehabilitation, training, community education, applied research,
purchase of supplies or equipment, or administrative costs.
(3) Lead-Safe Work Practice Training Activities. For most
applicants, at least two percent of the total Federal amount in the
budget proposal will be necessary to promote the expansion of a
workforce properly trained in lead-safe work practices and which is
available to conduct interim controls and/or lead hazard abatement as
well as follow lead-safe work practices while performing work on HUD
assisted housing units per the provisions of the HUD Lead-Safe Housing
Regulation 24 CFR part 35(1330(a)(4)(iii)(v), and to safely repair,
rehabilitate, and maintain other privately-owned residential property.
Any applicant that proposes to use less than two percent of the total
Federal amount for this purpose shall present evidence that there is
currently in place a workforce that is sufficient in size and is
properly trained to carry out the work under the Lead Hazard Control
grant and the HUD Lead-Safe Housing Regulation.
(C) Administrative Costs. There is a 10% maximum for administrative
costs as specified in Section 1011 (j) of the Residential Lead-Based
Paint Hazard Reduction Act of 1992 (Title X of the Housing and
Community Development Act of 1992, Public Law 102-550). Additional
information about allowable administrative costs is provided in
Appendix B of this NOFA.
(D) Period of Performance. The period of performance is 42 months
for new or prior grantee applicants. The period of performance for
current grantee applicants eligible for a Performance-Based Renewal is
36 months. HUD reserves the right to approve no cost time extensions
for a period not to exceed 24 months.
(E) Certified and Trained Performers. Funded activities must be
conducted by persons qualified for the activities according to 24 CFR
part 35 (possessing certification as abatement contractors, risk
assessors, inspectors, abatement workers, or sampling technicians, or
others having been trained in a HUD-approved course in lead-safe work
practices).
(F) Coastal Barrier Resources Act. Pursuant to the Coastal Barrier
Resources Act (16 U.S.C. 3501), you may not use these grant funds for
properties located in the Coastal Barrier Resources System.
(G) Flood Disaster Protection Act. Under the Flood Disaster
Protection Act of 1973 (42 U.S.C. 4001-4128), you may not use these
grant funds for lead-based paint hazard control of a building or
manufactured home that is located in an area identified by the Federal
Emergency Management Agency (FEMA) as having special flood hazards
unless:
(1) The community in which the area is situated is participating in
the National Flood Insurance Program in accordance with the applicable
regulations (44 CFR parts 59-79), or less than a year has passed since
FEMA notification regarding these hazards; and
(2) Where the community is participating in the National Flood
Insurance Program, flood insurance on the property is obtained in
accordance with section 102(a) of the Flood Disaster Protection Act (42
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance
is obtained and maintained for the appropriate amount and term.
(H) National Historic Preservation Act. The National Historic
Preservation Act of 1966 (16 U.S.C. 470) and the regulations at 36 CFR
part 800 apply to the lead-based paint hazard control activities that
are undertaken pursuant to this program. HUD and the Advisory Council
for Historic Preservation have developed an optional Model Agreement
for use by grantees and State Historic Preservation Officers in
carrying out activities under this program. The Model Agreement may be
obtained from the HUD Web site at: www.hud.gov/utilities/intercept.cfm?/
offices/lead/grantfrm/pgi/95_06.pdf.
(I) Waste Disposal. You must handle waste disposal according to the
requirements of the appropriate local, State and Federal regulatory
agencies. You must handle disposal of wastes from hazard control
activities that contain lead-based paint, but are not classified as
hazardous in accordance with state or local law or the HUD Guidelines
for the Evaluation and Control of Lead-Based Hazards in Housing (HUD
Guidelines). The Guidelines are available from the HUD Web site at:
www.hud.gov/offices/lead/guidelines/hudguidelines/index.cfm.
(J) Worker Protection Procedures. You must observe the procedures
for worker protection established in the HUD Guidelines, as well as the
requirements of the Occupational Health and Safety Administration
(OSHA) (29 CFR 1926.62, Lead Exposure in Construction), or the State or
local occupational safety and health regulations, whichever are most
protective. If other applicable requirements contain more stringent
requirements than the HUD Guidelines, the more rigorous standards shall
be followed.
(K) Prohibited Practices. You must not engage in the following
prohibited practices:
(1) Open flame burning or torching;
(2) Machine sanding or grinding without a high-efficiency
particulate air (HEPA) exhaust control;
(3) Uncontained hydro blasting or high-pressure wash;
(4) Abrasive blasting or sandblasting without HEPA exhaust control;
[[Page 21285]]
(5) Heat guns operating above 1,100 degrees Fahrenheit;
(6) Chemical paint strippers containing methylene chloride or other
volatile hazardous chemicals in a poorly ventilated space; and
(7) Dry scraping or dry sanding, except scraping in conjunction
with heat guns or around electrical outlets or when treating no more
than two square feet in any one interior room or space, or totaling no
more than 20 square feet on exterior surfaces.
(L) Written Policies and Procedures. You must have clearly
established, written policies and procedures for eligibility, program
marketing, unit selection, expediting work on homes occupied by
children with elevated blood lead levels, and all phases of lead hazard
control, including risk assessment, inspection, development of
specifications, pre-hazard control blood lead testing, financing,
relocation and clearance testing. Grantees, subcontractors, sub-
grantees, sub-recipients, and their contractors must adhere to these
policies and procedures.
(M) Continued Availability of Lead-Safe Housing to Low-Income
Families. Units in which lead hazards have been controlled under this
program shall be occupied by and/or continue to be available to low-
income residents as required by Title X (Section 1011). You must
maintain a publicly available registry (listing) of units in which lead
hazards have been controlled and ensure that these units are
affirmatively marketed to agencies and families as suitable housing for
families with children under six years of age. The grantee must also
notify the owner of the information that is collected so that the owner
will comply with disclosure requirements under 24 CFR part 35, subpart
A.
(N) Testing. In developing your application budget, include costs
for lead paint inspection, risk assessment, and clearance testing for
each dwelling that will receive lead hazard control, as follows:
(1) General. All testing and sampling shall conform to the current
HUD Guidelines and Federal, state or tribal regulations developed as
part of the appropriate contractor certification program whichever is
more stringent. It is particularly important to provide this full cycle
of testing for lead hazard control, including interim controls. Testing
must be conducted according to the HUD Guidelines and the EPA lead
hazard standards rule at 40 CFR part 745. All test results must be
provided to the owner in a timely fashion, together with a notice
describing the owner's legal duty to disclose the results to tenants
and buyers under 24 CFR part 35, subpart A.
(a) Lead-Based Paint and Lead-Based Paint Hazard Identification. A
combined inspection and risk assessment is required. You should ensure
that lead paint inspection and risk assessment reports are conducted in
accordance with established protocols and sufficient to support hazard
control decisions.
(b) Clearance Testing. Clearance testing shall be completed in
accordance with Chapter 15 of the HUD Guidelines and the EPA lead
hazards standards rule at 40 CFR part 745 for abatement projects and
the Lead-Safe Housing Regulation (24 CFR part 35) for lead hazard
control activities or other abatement. The clearance standards shall be
the more restrictive of those set by the local jurisdiction or by EPA
or HUD.
(c) Blood lead testing. Before lead hazard control work begins,
each occupant who is under six years of age must be tested for lead
poisoning within the six months preceding the housing intervention. Any
child with an elevated blood lead level must be referred for
appropriate medical follow-up. The standards for such testing are
described in the Centers for Disease Control and Prevention (CDC)
publications Preventing Lead Poisoning in Young Children (1991), and
Screening Young Children for Lead Poisoning: Guidance for State and
Local Public Health Officials (1997).
(O) Cooperation With Related Research and Evaluation. You shall
cooperate fully with any research or evaluation sponsored by HUD, CDC,
EPA or other government agency and associated with this grant program,
including preservation of project data and records and compiling
requested information in formats provided by the researchers,
evaluators or HUD. This also may include the compiling of certain
relevant local demographic, dwelling unit, and participant data not
contemplated in your original proposal. Participant data shall be
subject to Privacy Act protection.
(P) Data collection. You will be required to collect and maintain
the data necessary to document the various lead hazard control methods
used and the cost of these methods.
(Q) Section 3 Employment Opportunities. Please see Section V (E) of
the General Section of this SuperNOFA. The requirements of Section 3 of
the Housing and Urban Development Act of 1968 are applicable to the
Lead-Based Paint Hazard Control Program.
(R) Replacing Existing Resources. Funds received under this grant
program shall not be used to replace existing community resources
dedicated to any ongoing project.
(S) Certifications and Assurances. You must include the
certifications and assurances listed in the General Section of this
SuperNOFA with your application.
(T) Davis-Bacon Act. The Davis-Bacon Act does not apply to this
program. However, if you use grant funds in conjunction with other
Federal programs in which Davis-Bacon prevailing wage rates apply, then
Davis-Bacon provisions would apply to the extent required under the
other Federal programs.
(U) Conducting Business in Accordance with HUD Core Values and
Ethical Standards. If awarded assistance under this NOFA, you will be
required, prior to entering into a new or modified grant agreement with
HUD, to submit a copy of your code of conduct and describe the methods
you will use to ensure that all officers, employees and agents of your
organization are aware of your code of conduct (see Section V (B)(3) of
the General Section of this SuperNOFA for information about conducting
business in accordance with HUD's core values and ethical standards).
(V) Ensuring the participation of Small Businesses, Small
Disadvantaged Businesses, and Women-Owned Businesses. HUD is committed
to ensuring that small businesses, small disadvantaged businesses and
women-owned businesses participate fully in HUD's direct contracting
and in contracting opportunities generated by HUD grant funds. Too
often, these businesses still experience difficulty accessing
information and successfully bidding on Federal contracts. HUD
regulations at 24 CFR 85.36(e) require recipients of assistance
(grantees and sub grantees) to take all necessary affirmative steps in
contracting for purchase of goods or services to assure that minority
firms, women's business enterprises, and labor surplus area firms are
used when possible. Affirmative steps shall include:
(1) Placing qualified small and minority businesses and women's
business enterprises on solicitation lists;
(2) Assuring that small and minority businesses, and women's
business enterprises are solicited whenever they are potential sources;
(3) Dividing total requirements, when economically feasible, into
smaller tasks or quantities to permit maximum participation by small
and minority
[[Page 21286]]
businesses, and women's business enterprises;
(4) Establishing delivery schedules, where the requirement permits,
which encourage participation by small and minority businesses, and
women's business enterprises;
(5) Using the services and assistance of the Small Business
Administration (SBA), and the Minority Business Development Agency of
the Department of Commerce; and
(6) Requiring the prime contractor, if subcontracts are to be let,
to take the affirmative steps listed in paragraphs (e)(2)(i) through
(v) above.
IV. Application Selection Process
(A) Rating and Ranking. Please see Section VI (B) of the General
Section of this SuperNOFA. Only those applications that meet the
threshold review requirements will be rated and ranked. For new
applicants, HUD intends to fund the highest ranked applications
receiving a minimum score of 75 within the limits of funding.
A current grantee eligible to receive a Performance-Based Renewal
Grant will be rated and ranked based on its demonstrated performance in
terms of the number of housing units completed and cleared (as a
percentage of units in current grant agreement), the cumulative Line of
Credit Control System (LOCCS) drawdowns to date, and other work plan
benchmarks or milestones achieved. Performance will be evaluated based
upon the quarterly progress data submitted to HUD for the period ending
March 31, 2003 and other data available to HUD.
In addition, the work plan and budget submitted in response to this
NOFA will be evaluated as part of the rating and ranking process.
Current grantees that are eligible to submit a Performance-Based
Renewal application and are successful applicants, will have their
current grant agreement modified to allow for an additional 36-months
grant. Eligible current grantee applicants are not to respond to the
Factors for Award in this NOFA, but must submit the required budget
forms included in this NOFA and develop a work plan strategy with
benchmark standards for conducting lead hazard control program
activities. A work plan and budget should be developed for the 36-month
period. The submission requirements for the Performance-Based Renewal
grant can be found in Appendix C of this Program Section of the NOFA.
HUD intends to fund the highest ranked applicants within the limits
of funding.
(1) Remaining Funds. See Section VI (E) (3) of the General Section
of this SuperNOFA for HUD's procedures if funds remain after all
selections have been made within a category of the Lead Hazard Control
Grant Program.
(B) Factors for Award Used to Evaluate and Rate Applications. The
factors for rating and ranking applicants, and maximum points for each
factor, are stated below.
(1) Performance-Based Renewal applications will be evaluated based
on the criteria below:
The maximum number of points to be awarded will be 40.
(a) Production (10 points). The number of units completed and
cleared. Grantees whose percentage of units completed and cleared in
their current agreement meets or exceeds the performance criteria below
will be awarded points based on the chart below.
------------------------------------------------------------------------
Percentage of units completed and Round 7 FY Round 8 FY Round 9 FY
cleared 1999 2000 2001
------------------------------------------------------------------------
£50-55................. ........... ........... 3
£55-60................. ........... ........... 4
£60-65................. ........... ........... 5
£65-70................. ........... 6 6
£70-80................. ........... 7 7
£80-85................. 8 8 8
£85-90................. 9 9 9
£90-100................ 10 10 10
------------------------------------------------------------------------
(b) Cumulative LOCCS Drawdowns (10 Points). The cumulative
drawdowns from LOCCS as a percentage of the Federal funds awarded in
their current agreement. Grantees whose percentage of cumulative LOCCS
drawdowns in their current agreement meet or exceed the performance
criteria below will be awarded points based on the chart below.
------------------------------------------------------------------------
Percentage of cumulative LOCCS Round 7 FY Round 8 FY Round 9 FY
drawdowns to date 1999 2000 2001
------------------------------------------------------------------------
£35-40................. ........... ........... 3
£40-45................. ........... ........... 4
£45-50................. ........... 5 5
£50-55................. ........... 6 6
£55-60................. 7 7 7
£60-70................. 8 8 8
£70-75................. 9 9 9
£75-100................ 10 10 10
------------------------------------------------------------------------
(c) Other Work Plan Achievements. (5 Points). A grantee will be
awarded points for meeting or exceeding their community education,
outreach, and training objectives that were outlined in their most
recent approved work plan and reported to HUD.
(d) Work Plan and Budget. (15 Points) The work plan and budget
submitted by a grantee will be evaluated to ensure that there are
specific and measurable performance objectives with benchmark
milestones developed for the 36-month additional period of performance.
(2) HUD is encouraging applicants to undertake specific activities
that will assist the Department in implementing its policy priorities.
HUD's Strategic Goals and Policy Priorities are outlined in Section II
of the General Section of this SuperNOFA. For Lead Hazard
[[Page 21287]]
Control Grant Program applicants, activities that promote economic
opportunities for low-income persons support HUD's policy priority for
Improving the Quality of Life in Our Nation's Communities. A new
applicant will be awarded one point under Rating Factor 3(A)(3):
Economic Opportunities for activities undertaken that specifically
address this policy priority. Activities that promote the participation
of grassroots faith-based and community organizations support HUD's
policy priority for: Providing Full and Equal Access to Grassroots
Faith-Based and Other Community-Based Organizations. An applicant will
be awarded one point under Rating Factor 3(A)(4): Lead Hazard Control
Outreach and Community Private Sector Involvement for activities
undertaken that specifically addresses this policy priority.
The maximum number of points to be awarded is 102. This maximum
includes two bonus points as described in Section VI(C) of the General
Section of this SuperNOFA. For new applicants, a minimum score of 75 is
required for fundable applications.
------------------------------------------------------------------------
Maximum
Rating factor points
------------------------------------------------------------------------
1. Capacity of the Applicant and Relevant Organizational 20
Experience................................................
2. Needs/Extent of the Problem............................. 20
3. Soundness of Approach................................... 40
4. Leveraging Resources.................................... 10
5. Achieving Results and Program Evaluation................ 10
Empowerment Zone and Enterprise Community Bonus Points..... 2
============================================================
------------------------------------------------------------------------
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 points)
This factor addresses your organizational capacity necessary to
successfully implement the proposed activities in a timely manner. The
rating of the ``applicant'' or the ``applicant's staff'' for technical
merit or threshold compliance, unless otherwise specified, includes any
grassroots faith-based and other community-based organizations, sub-
contractors, consultants, sub-recipients, and members of consortia that
are firmly committed to your project. In rating this factor, HUD will
consider:
(1) The applicant's recent, relevant and successful demonstrated
experience (including governmental, parent groups, and grassroots
faith-based and other community-based partners) to undertake eligible
program activities. The applicant must describe the knowledge and
experience of the current or proposed overall project director and day-
to-day program manager in planning and managing large and complex
interdisciplinary programs, especially involving housing
rehabilitation, public health, or environmental programs. The applicant
must demonstrate that it has sufficient personnel or will be able to
retain qualified experts or professionals, and be prepared to perform
lead hazard evaluation, lead hazard control intervention work, and
other proposed activities within 120 days of the effective date of the
grant award. HUD reserves the right to terminate the grant if
sufficient personnel or qualified experts are not retained within these
120 days. In the narrative response for this factor, you should include
information on your program staff, their experience, their commitment
to the program, salary information, and position titles. Resumes (for
up to three key personnel) or position descriptions for those key
personnel to be hired, and a clearly identified organizational chart
for the lead hazard control grant program effort (and for the overall
organization) must be included in an appendix. Indicate the percentage
of time that key personnel will devote to your project (see Appendix A
of this NOFA for Sample Worksheet 1-Key Personnel). The applicant's
day-to-day program manager must be experienced in the management of
housing rehabilitation or lead hazard control, childhood lead poisoning
prevention, or similar work involving project management, and must be
dedicated to the proposed program for a minimum of 75% of the time.
Ideally, the program manager should be available at the inception of
the program in order to implement this comprehensive program within the
120-day period after the effective date of the grant award. The
applicant should provide a description of any previous experience in
enrolling units and in completing lead hazard control work, housing
rehabilitation or other work in a timely and effective manner. Describe
how any other principal components of your agency, other public
entities, or other organizations will participate in implementing or
otherwise supporting or participating in the grant program. You may
demonstrate capacity by thoroughly describing your prior experience in
initiating and implementing lead hazard control efforts and/or related
environmental, health, or housing projects. You should indicate how
this prior experience will be used in carrying out your proposed
comprehensive Lead-Based Paint Hazard Control Grant Program.
(2) If the applicant received previous HUD Lead-Based Paint Hazard
Control Grant funding, this past experience will be evaluated in terms
of cumulative progress and achievements under the previous grant(s). If
the applicant has received multiple HUD Lead Hazard Control Grants,
performance under the most recent grant award will be primarily
evaluated. The applicant must provide a description of its progress and
performance implementing the most recent grant award including the
total number of housing units enrolled, assessed, and completed and
cleared as a result of program efforts. The applicant must also
describe outcomes, capacity building efforts and impediments
experienced during a previous Lead Hazard Control Grant program. Other
work plan activities and tasks associated with implementing HUD's Lead-
Safe Housing Regulation, integrating lead-safe work practices into the
private market, and promoting effective education, outreach, and other
training activities should be described. The applicant should also
describe specific instances where the program has contributed positive
impacts in the community, and indicate what activities were undertaken
to develop, enhance or expand the local infrastructure through
collaboration.
HUD's evaluation process will consider an applicant's past
performance record as reported to HUD in effectively organizing and
managing their grant operations, in meeting performance and work plan
benchmarks and goals, and in managing funds, including their ability to
account for funds appropriately, the timely use of funds received
either from HUD or other Federal, State or local programs, and meeting
performance milestones. HUD may also use other information relating to
these items from sources at hand, including public sources such as
newspapers, Inspector General or Government Accounting Office Reports
or Findings, hotline complaints, or other sources of information that
have been proven to have merit.
Rating Factor 2: Needs/Extent of the Problem (20 points)
This factor addresses the extent to which there is a need for the
proposed program to address a documented problem related to lead-based
paint and lead-based paint hazards in your identified target area(s).
An applicant will receive a higher score in this rating factor based on
their documented need
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as evidenced by thorough, credible, and appropriate data and
information. The evaluation will be based on the applicant's
documentation of the number of children with elevated blood lead
levels, and/or number and proportion of pre-1978 housing units with
deteriorating paint (i.e., condition of housing stock) and the number
of very low- and low-income families in the proposed target area(s).
(1) Document a critical level of need for your proposed activities
in the geographical area where activities will be performed. Since an
objective of the program is to prevent at-risk children from being
poisoned, specific attention must be paid to documenting such need as
it applies to the targeted area(s), rather than the entire locality or
state.
(2) Document the following for the target area(s):
(a) Numbers and percentages of children less than six years of age
(see Appendix A for Sample Worksheet 2--Blood Lead Level (BLL)
Information).
(i) The number and percentage of children with elevated blood lead
levels for the following categories:
(1) less than 10[mu]g/dL;
(2) greater than or equal to 10[mu]g/dL and less than15[mu]g/dL;
(3) greater than or equal to 15[mu]g/dL and less than20[mu]g/dL;
and
(4) greater than or equal to 20[mu]g/dL.
(ii) The total number and percentage of children tested for blood
lead levels,
(b1) Housing market data relevant to the specified target area(s)
(see Appendix A of this NOFA for Sample Worksheet 3-Housing Age and
Condition).
(i) Housing Age for the following sub-categories: Pre-1940, 1940-
1949, 1950-1959, 1960-1969, 1970-1977 and 1978 or newer;
(ii) Housing Condition for the following sub-categories: Pre-1940,
1940-1949, 1950-1959, 1960-1969, 1970-1977 and 1978 or newer.
(a) The number and percentage of very-low (income less than 50% of
the area median) and low-(income less than 80% of the area median)
income families, as determined by HUD (www.huduser.org), with
adjustments for smaller and larger families (see Appendix A of this
NOFA for Sample Worksheet 4--Very-Low and Low-Income Population);
(d) Poverty data relevant to the specified target area(s);
(e) Housing market data relevant to lead hazard conditions in
housing available from HUD, or other data sources, including the
Consolidated Plan/Analysis of Impediments, Public Housing Authority's
Five-Year Comprehensive Plan, State or local Welfare Department's
Welfare Reform Plan; and
(f) Other socio-economic, environmental, or demographic data
relevant to the target area(s) or jurisdiction that demonstrate a need
for lead-safe housing may be included. These data may include: the
number of units that have been occupied by lead-poisoned children where
the identified lead-based paint hazards have not been eliminated or
controlled; the number of lead-based paint health and/or housing code
violations; the number of pre 60 and pre-1978 housing units anticipated
to undergo rehabilitation in the next 12 months; the proportion or
number of units with lead dust hazards; information about the principal
sources of exposure in your community, their prevalence, and the
segments and/or characteristics of the housing most affected by these
exposure sources; and/or other information about housing conditions
(including the condition of housing units noted during previous lead
hazard control work). Relevant data for other socio-economic,
environmental, or demographic information may be obtained from census
data, special studies, the jurisdiction's Consolidated Plan/Analysis of
Impediments, the Public Housing Authority's Five-Year Comprehensive
Plan, or the State or local Welfare Department's Welfare Reform Plan or
local health, housing, or community development agencies.
(3) You also must provide documentation of the priority that the
community's Consolidated Plan and Analysis of Impediments to Fair
Housing Choice has placed on addressing the needs you described. (This
section does not apply to Native American Tribes. However, a Native
American Tribe applicant may use the Indian Housing Plan to document
how the Indian Housing Plan addresses the need for lead hazard control
grant activities.) If your application addresses needs that are in the
Consolidated Plan, Analysis of Impediments to Fair Housing Choice, or
the result of court orders or consent decrees, settlements,
conciliation agreements, voluntary compliance agreements, Childhood
Lead Poisoning Prevention Programs or other relevant local initiatives
you will receive a higher score in this rating factor than applicants
that do not relate their program to identified needs.
(4) For you to receive maximum points for this rating factor there
must be a direct relationship between your proposed lead hazard control
activities in the target area(s) and the documented community needs.
Rating Factor 3: Soundness of Approach (40 points)
This factor addresses the quality and cost-effectiveness of your
proposed work plan. Applicants should develop a work plan that includes
specific, measurable and time-phased objectives for each major program
activity. The applicant's work plan should reflect benchmark standards
for production, expenditures and other activities that have been
developed by the Office of Healthy Homes and Lead Hazard Control. These
benchmark standards, as well as policy guidance on developing work
plans have been included in Appendix A of this NOFA and are available
at the HUD Web site at: www.hud.gov/offices/lead/lhc/pgi/index.cfm.
This policy guidance provides a sample format and outline for
developing the Lead Hazard Control Grant Program Work Plan.
Applicants should describe the proposed activities and provide HUD
with measurable outcome results to be achieved with the requested
funds. Measurable outcome results should be stated in terms relevant to
the purpose of the program funds as a direct result of the work
performed within the performance period of the grant (e.g., estimated
number of units to be made lead-safe, estimated number of children
living in units made lead-safe, estimated number of persons to be
trained to perform lead hazard control activities, estimated number of
educational programs to be presented and/or the number of persons to be
served by such programs, and the basis for these estimates). Each
proposed activity must be eligible as described in the NOFA and meet
statutory requirements for assistance to low- and very low-income
persons.
You should present information on your proposed lead-based paint
hazard control program and describe how it will satisfy the need
identified in Factor 2; Need and Extent of the Problem and protect
young children and families from lead poisoning in the target area(s).
To the extent possible, describe a comprehensive strategy to address
the need to protect targeted neighborhoods rather than individual units
or homes. Your response to this factor must include the elements
described below:
(A) Lead Hazard Control Work Plan Strategy (32 points) Describe
your work plan goals and specific time-phased strategy to complete work
under the grant within the 42-month period of performance for your lead
hazard control grant program. You should provide information on:
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(1) Implementing a Lead Hazard Control Program (13 of 32 points).
Describe how you will implement the strategy for your proposed lead
hazard control program. The description must include information on:
(a) How the project will be organized, managed and staffed. You
must also identify the specific steps that will be taken to train and
ensure the availability of enough lead-based paint contractors and
workers to conduct lead hazard control interventions, and to perform
other program activities. In addition, a detailed description of the
selection process for sub-grantees, subcontractors or sub-recipients,
and how assistance and funding will flow from the grantee to those who
will actually perform the work under the grant.
(b) The overall number of eligible privately-owned housing units
scheduled for lead hazard control intervention work and the strategy
for their identification, selection, prioritization, and enrollment in
the selected target area(s). Discuss the eligibility criteria for unit
selection and how the program will identify units that meet these
criteria. Explain how referrals of eligible units will be obtained from
childhood lead poisoning prevention programs, other health care or
housing agencies or health providers that serve children. Also discuss
how referrals from the Section 8/Housing Choice Voucher programs and
other agencies that provide housing assistance to low-income households
with children including CDBG, HOME Investment Partnerships Program-
funded housing programs or other sources. (Include as attachments any
referral agreements, commitment letters or other documents from other
entities that describe their participation recruiting eligible units in
the lead hazard control grant program; see Rating Factor 4 Leveraging
Resources for additional information regarding referral agreements).
Provide estimates of the total number of owner-occupied and/or rental
units that will receive lead hazard control (see Sample Worksheet 5--
Housing Occupancy Projections). You should describe how the program
will respond to the needs of children with elevated blood lead levels
(EBLs) located outside the target area(s).
(c) The degree to which the work plan focuses on eligible
privately-owned housing units occupied by low-income families with
children under six years of age. Describe your planned approaches to
control lead hazards in vacant and/or occupied units before children
are poisoned and your plans to ensure that the program will continue to
affirmatively market and match these units made lead-safe with low-
income families with children under six years of age in the future.
Discuss strategies to control lead hazards in units where children have
already been identified with an elevated blood lead level (EBL),
including your process for referring and tracking children with EBLs
for medical case management, and your capacity to rapidly complete lead
hazard control work in their units. Provide estimates of the number of
low-income children you will assist through this program.
(d) Discuss the lead hazard control financing strategy, including
eligibility requirements, terms, conditions, dollar limits, and amounts
available for lead hazard control work. Applicants must also describe
how grant funds will be recaptured by the program in the event that a
recipient of grant funds fails to comply with any terms and conditions
of the financing arrangement (e.g. affordability, sale of property,
etc.) You must discuss the way assistance from the grant funds will be
administered to or on behalf of property owners (e.g. use of grants,
deferred loans and/or forgivable loans and the basis and schedule for
forgiveness), and the role of other resources, such as private sector
financing). You should identify the entity that will administer the
financing process and describe how coordination and payment between the
program and contractors performing the work will be accomplished.
Describe matching requirements, if any, proposed for assistance to
rental property owners.
(e) You should describe how your proposed program will satisfy the
stated needs in the Consolidated Plan or Indian Housing Plan, and
eliminate impediments identified in the Analysis of Impediments (AI).
Also describe how your proposed program will further and support the
policy priorities of the Department: including promoting healthy homes
and the quality of housing. In addition, describe how your strategy
will provide long-term benefits to families with children under six
years of age, and whether any of the proposed activities will occur in
an Enterprise Zones/Enterprise Community/Renewal Communities (EZ/EC/RC)
and how they will benefit the residents of those zones or communities.
A list of EZ/EC/RC communities is available at www.hud.gov.
(2) Technical Approach/Performance (15 of 32 points). New and prior
grantee applicants are to respond to the items below (see Appendix A of
this NOFA for Sample Worksheet 6).
(a) Describe your process for the conduct of lead hazard evaluation
(risk assessments and/or inspections) in units of eligible privately
owned housing to confirm that there are lead-based paint hazards in the
housing units where lead hazard control is undertaken.
(b) Describe your testing methods, schedule, and costs for
performing blood lead testing, risk assessments, paint inspections and
clearance examinations to be used. If you propose to use a more
restrictive standard than the HUD/EPA thresholds (e.g., less than 0.5%
or 1.0 mg/ square centimeter for lead in paint, or less than 40, 250,
400 [mu]g/square foot for lead in dust on floors, sills and troughs,
respectively); or 400 ppm in bare soil in children's play areas and
1200 ppm for bare soil in the rest of the yard), identify the
standard(s) that will be used. All testing shall be performed in
accordance with applicable regulations.
(c) Describe the lead hazard control methods and strategies you
will undertake and the number of units you will treat for each method
selected (interim controls or hazard abatement). Complete abatement of
all lead painted surfaces in all units is generally not acceptable as a
strategy. In cases where only a few surfaces have lead hazards in a
specific unit and abatement is cost-effective, the applicant must
provide a detailed rationale for selecting complete abatement as a
strategy. Provide an estimate of the per unit costs (and a basis for
those estimates) for each lead hazard control method proposed and a
schedule for initiating and completing lead hazard control work in the
selected units. Discuss efforts to incorporate cost-effective lead
hazard control methods. Explain your cost estimates, providing detail
on how the estimates were developed, with particular references to cost
effectiveness.
(d) Schedule. Provide a realistic schedule for completing key
activities, by quarter, so that all activities can be completed within
the period of performance of the grant. Key production activities
include enrollment of units, paint inspections/risk assessments, and
completion/clearance of units. When developing the application, the
applicant shall take into consideration previous experience and
performance in administering similar kinds of lead hazard control or
rehabilitation programs.
(e) Timeframes. Describe the estimated elapsed timeframe for
treating a typical unit that will receive lead hazard control,
including referral/intake, enrollment (qualification of the unit as
eligible), combined paint inspection/risk assessments, preparation of
specifications or work write-up, selection of the contractor, lead
hazard control intervention work activities, quality control and
monitoring of work
[[Page 21290]]
activities, and clearance. The timeframe should include an estimate of
the staff and contractor time required to treat a typical unit that
will receive lead hazard control. Describe the schedule for emergency
referrals (e.g., unit occupied by a child under six years of age with
an elevated blood lead level). List the type of unit (e.g., owner-
occupied, rental, or vacant) and the number of units projected in each
of the following categories: lead-based paint inspections/risk
assessments; interim controls; hazard abatement and clearance
inspections.
(f) Workflow and Production Control. Provide guidelines and/or
flowcharts showing agency/partner responsibilities for each step in the
process (from intake to clearance) and describe/show how coordination
and hand-offs will be handled. Discuss how the actual production status
of units, from intake to final clearance, will be monitored, and how
and when production bottlenecks will be identified, remedied and
monitored.
(g) Describe how you will integrate proposed lead hazard control
activities with rehabilitation activities, including providing the
training needed to create a workforce properly trained in lead-safe
work practices for units assisted or rehabilitated under other HUD
programs, and any collaboration with local housing or health
departments, rehabilitation programs or community development
corporations to stage lead hazard control and rehabilitation in the
same units.
(h) Describe your contracting process, including development of
specifications or adoption of existing specifications for selected lead
hazard control methods. Describe the management processes you will use
to ensure the cost-effectiveness of your lead hazard control methods.
Your application must include a discussion of the contracting process
for the conduct of lead hazard control activities in the selected
units, and requirements for coordination among lead hazard control,
rehabilitation, weatherization, and other contractors.
(i) Describe your plan for occupant protection or the relocation of
the occupants of units selected for lead hazard control work. Describe
any plan to avoid overnight relocation in small scale projects
consistent with 24 CFR 35.1345(a)(2) and HUD's Interpretive Guidance of
24 CFR part 35, including J24, R18, and R19 (see Appendix B of this
NOFA). Your work plan should address the use of safe houses and other
temporary housing arrangements, storage of household goods, stipends,
incentives, etc.
(3) Economic Opportunity (4 points).
(a) Describe the ways you will train individuals and contractors in
housing related trades, such as painters, remodelers, renovators,
maintenance personnel, rehabilitation specialists, and others in lead-
safe work practices.
(b) Describe how you will help to integrate lead-safety into other
housing activities, such as meeting the requirements of the HUD Lead-
Safe Housing Regulation in housing units rehabilitated or assisted with
Federal funds.
(c) Describe the methods to be used to provide economic
opportunities for residents and businesses throughout the community
within the target area. This discussion should include information on
how you will promote training, employment, business development, and
contract opportunities as part of your lead hazard control program.
Grantees must comply with Section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C. 1701u) and HUD's implementing rules
at 24 CFR part 135. Describe how you will accomplish the requirement by
(1) providing training and employment opportunities for low and very
low-income persons living within the grantee's jurisdiction, and by (2)
providing business opportunities to businesses owned by low and very
low-income persons living within the grantee's jurisdiction. Applicants
that provide training, employment or business opportunities for low and
very low income persons will receive one point in this sub factor.
(4) Lead Hazard Control Outreach and Community Private Sector
Involvement (6 points). Applicants are encouraged to solicit
participation of grassroots faith-based and other community-based and
private sector organizations to accomplish outreach and community
involvement activities and to build long-term capacity to sustain
accomplishments in the target area. Applicants that partner, fund, or
subcontract with grassroots faith-based and other community-based
organizations will receive one point in this sub-factor. Your
application must describe:
(a) Proposed methods of community education. These may include
community awareness, education, training, and outreach programs in
support of the work plan and objectives. This description should
include general and/or targeted efforts undertaken to assist your
program in reducing lead exposure. Programs should be culturally
sensitive, targeted, and linguistically appropriate. Upon request, this
would include making materials available in alternative formats to
persons with disabilities (e.g., Braille, audio, large type), and in
other languages common to the community to the extent possible.
(b) Strategy for involving neighborhood or grassroots faith-based
and other community based organizations in your proposed activities.
Your activities may include training (including training residents to
screen houses through visual assessment and sampling), outreach,
community education, marketing, inspection (including dust lead
testing), and the conduct of lead hazard control activities. HUD will
evaluate the proposed level of substantive involvement of such
organizations during the review process.
(c) Strategies and methodologies that affirmatively further fair
housing and increase access to lead-safe housing for all segments of
the population: homeowners, owners of rental properties, and tenants.
This outreach should address ways to avoid housing discrimination
against families with young children, and ways to ensure that all
families will have adequate, lead-safe housing choices in the future.
These strategies could include your plans to develop and implement a
registry (listing) of lead-safe housing that is available to the
public, or to incorporate the inclusion of the lead-safe status of
properties in another publicly accessible address-based property
information system. The strategy could also include affirmatively
marketing your services to those populations least likely to apply and
who may not be served by any of the partner organizations working with
you.
(5) Data Collection and other Program Support Activities (2
points).
(a) Identify and discuss the specific methods you will use (in
addition to HUD reporting requirements) to document activities,
progress, program effectiveness, and how changes necessary to improve
performance will be implemented. Describe how you will obtain, document
and report on information collected.
(b) Provide a detailed description of any proposed participation in
research activities, studies, or development of information systems
designed to enhance the delivery, analysis, or conduct of lead hazard
control activities, or that will facilitate the targeting and pooling
of resources to further childhood lead poisoning prevention efforts.
If you are proposing to participate in research activities,
describe the objectives, methodology and impact at the local level of
the proposed research activities.
[[Page 21291]]
Rating Factor 4: Leveraging Resources (10 points)
This factor addresses your ability to obtain other community and
private sector resources that can be combined with HUD's program
resources to achieve program objectives. In evaluating this factor, HUD
will consider the extent to which you have established working
partnerships with other entities to get additional resources or
commitments to increase the effectiveness of the proposed program
activities (see Appendix A of this NOFA for Sample Worksheet 7 (Match
Funding) and Worksheet 8 (Grant Partners)). Resources may include cash
or in-kind contributions of services, equipment, or supplies allocated
to the proposed program. Resources may be provided by governmental
entities, public or private organizations, and other entities
partnering with you. Leveraging arrangements with rental property
owners may have the benefits of increasing the efficiency of public
lead hazard identification and control expenditures and creating a
financial stake for rental property owners in the quality of lead
hazard control work. Contractual or other formal relationships with
grassroots faith-based and other community-based organizations are a
requirement for State and local government applicants. Documentation of
relationships with grassroots faith-based and community-based
organizations must be provided in this application either in the form
of signed agreements or commitment letters. This requirement does not
apply to Native American Tribe applicants. You also may partner with
other program funding recipients to coordinate the use of resources in
your target area(s).
(1) You should detail any activities to increase the understanding
of lead poisoning prevention in your community. This could include
partnerships with childhood lead screening programs, collaboration with
ongoing health, housing or environmental research efforts which could
result in a greater availability of resources, and efforts to build
capacity for lead-safe housing.
(2) Matching funds must be shown to be specifically dedicated to
and integrated into supporting the lead-based paint hazard control
program (see Appendix A of this NOFA for Sample Worksheet 7--Match
Funding). You may not include funding from any Federally funded program
(except the CDBG program) as part of your required 10% match. Other
resources from the private sector or other sources committed to the
program that exceed the required 10% match will provide points for this
rating factor. Contributions above the first 10% may include funds from
other Federally funded programs, and/or State, local, charity, non-
profit or for-profit entities. You must support each source of
contributions, cash or in-kind, both for the required minimum and
additional amounts, by a letter of commitment from the contributing
entity, whether a public or private source. The letter must describe
the contributed resources that you will use in the program and their
designated purpose. The signature of the authorized official on the HUD
Form-424 commits matching or other contributed resources of the
applicant organization. A separate letter from the applicant
organization is not required. Staff in-kind contributions should be
given a monetary value based on the local market value of the staff
skills. If you do not provide letters from contributors specifying
details and the amount of the actual contributions, those contributions
will not be counted. Contributions required of rental property owners
may be included as part of your match. You should document and estimate
the amount of the match from each resource.
Applicants will not receive full points under this rating factor if
they do not submit evidence of a firm commitment and the appropriate
use of leveraged resources under the grant program. Such evidence must
be provided in the form of letters of firm commitment, memoranda of
understanding, or other signed agreements to participate from those
entities identified as partners in your application. Each letter of
commitment, memorandum of understanding, or agreement to participate
should include the organization's name, the proposed level of
commitment and the responsibilities as they relate to your proposed
program. The commitment must be signed by an official of the
organization legally able to make commitments on behalf of the
organization. Describe the role of grassroots faith-based and other
community-based organizations in specific program activities, such as:
hazard evaluation and control; monitoring; and awareness, education,
and outreach within the community. Describe how you will ensure that
commitments to sub-grantees specified in your proposal will be honored
and executed, contingent upon an award from HUD.
Rating Factor 5: Achieving Results and Program Evaluation. (10 Points)
This factor emphasizes HUD's commitment to ensuring that applicants
achieve the goals outlined in their work plan and other benchmark
standards and assess their performance to ensure performance goals are
met. Achieving results means you, the applicant, have clearly
identified the benefits, or outcomes of your program. Outcomes are
ultimate goals. Benchmarks or outputs are interim activities or
products that lead to the ultimate achievement of your goals.
Program evaluation requires that you, the applicant, identify
program outcomes, interim products or benchmarks, and performance
indicators that will allow you to measure your performance. Performance
indicators should be objectively quantifiable and measure actual
achievements against anticipated achievements. Your Evaluation Plan
should identify what you are going to measure, how you are going
measure it and the steps you have in place to make adjustments to your
work plan if performance targets are not met within established
timeframes.
This new rating factor reflects HUD's goal to embrace high
standards of ethics, management and accountability. Applicants are
required to complete the HUD Logic Form included in Appendix B of the
General Section of this SuperNOFA.
(1) An applicant is to identify and describe specific methods,
measures, and tools that you will use (in addition to HUD reporting
requirements) to measure progress, evaluate program effectiveness, and
identify program changes necessary to improve performance. Describe how
you will obtain, document and report the information. In evaluating
this factor, HUD will consider how you have described outcome measures
and benefits of your program including:
(a) The degree to which lead hazard control work will be done in
conjunction with other housing-related activities (i.e.,
rehabilitation, weatherization, correction of code violations, and
other similar work), or your plan for the integration and coordination
of lead hazard control activities into those activities in the future.
(b) Plans to develop public/private lending partnerships to finance
lead hazard control as part of acquisition and rehabilitation financing
such as the use of Community Reinvestment Act ``credits'' by lending
institutions or other financing strategies.
[[Page 21292]]
(c) Results of any specific plans and objectives established to
implement and/or maintain a registry (listing) of lead-safe housing
that is available to the public, or to incorporate the inclusion of the
lead-safe status of properties in another publicly accessible address-
based property information system. Results could include how the
information would be managed and affirmatively marketed to the public
so that families (particularly low-income families with children under
six years of age) can make informed decisions regarding their housing
options. Prior grantee applicants must address any registry (listing)
of lead-safe housing developed during the prior grant period by
specifically discussing the availability, amount of information
contained, and its maintenance.
(d) The extent to which affirmatively furthering fair housing for
all segments of the population is advanced by the proposed activities.
(This section does not apply to Native American Tribes.) Detail how
your proposed work plan will support the community's efforts to
affirmatively further affordable housing and discuss the impact of
prior activities that have contributed to enhanced lead-safe housing
opportunities.
(e) The resulting impact of plans to adopt or amend statutes,
regulations, or policies that will more fully integrate lead hazard
control into community policies and priorities.
(f) Results of activities to coordinate and cooperate with other
organizations that will lead to a reduction in lead risks to community
residents. This could include documenting such activities as: free
training to create a workforce properly trained in lead safe work
practices; lead-safe repainting and remodeling; promotion of essential
maintenance practices; and provision of lead dust testing to low-
income, privately-owned homes which may not receive lead hazard control
assistance under this grant program.
(g) How your program will be held accountable for meeting program
goals, objectives, and the actions undertaken in implementing the grant
program. Applicants should provide a description of the mechanism to
assess progress and track performance in meeting the goals and
objectives outlined in the work plan. Applicants should provide
assurances that work plans and performance measures developed for the
program will assist intended beneficiaries, and that work will be
conducted in a timely and cost-effective manner.
Note on Program Performance: Grantees shall take all reasonable
steps to accomplish all lead hazard control activities outlined in an
approved work plan within the approved period of performance. HUD will
closely monitor grantee performance with particular attention placed on
the completion of the number of units in the grant agreement, the
expenditure of HUD grant funds as evidenced by drawdowns from the Line
of Credit Control System (LOCCS), and other established community
education, outreach and training objectives. HUD reserves the right to
terminate the grant prior to the expiration of the period of
performance if a grantee fails to meet established work plan benchmark
milestones in implementing the approved program of activities.
Bonus Points (2 Points).
Applicants may also meet the requirements listed in Section VI (C)
of the General Section of this SuperNOFA for a possible award of two
bonus points.
V. Application Submission Requirements for New and Prior Grantee
Applicants
(Grantee applicants eligible for a Performance-Based Renewal are to
follow the submission requirements included in Appendix C of this Lead
Hazard Control Grant Program NOFA)
(A) Applicant Information
(1) Application Format. The application narrative response from new
and eligible prior grantees to the Rating Factors is limited to a
maximum of 25 pages (excluding appendices and worksheets). Your
response must be typewritten on one side only on 8\1/2\'' x 11'' paper
using a 12-point (minimum) font with not less than \3/4\'' margins on
all sides. Appendices should be referenced and discussed in the
narrative response. Materials provided in the appendices should
directly apply to the rating factor narrative.
(2) Application Checklist. Your application must contain all of the
required information noted in this Program Section and the General
Section of this SuperNOFA. These items include the standard forms,
certifications, and assurances listed in the General Section of this
SuperNOFA that are applicable to this funding (collectively referred to
as the ``standard forms''). The standard forms can be found in Appendix
B of the General Section of this SuperNOFA. In addition, the following
items are to be included in an application:
(a) Transmittal Letter. The applicant (or applicants) submitting
the application, the dollar amount requested, the number of units to
receive lead hazard control work, what the program funds are requested
for, the nature of involvement with grassroots faith-based and other
community-based organizations, and the name, mailing address, telephone
number, and principal contact person of ``the applicant.''
(b) Checklist and Submission Table of Contents (see Appendix A of
this NOFA).
(c) Abstract Summary. An abstract summary describing the goals and
objectives of your proposed program (two page maximum). The abstract
should briefly highlight the major goals and objectives established for
the program.
(d) Section V Forms. All forms as required by Section V (H) of the
General Section of this SuperNOFA.
(e) Budget. A detailed budget (total budget is the Federal share
and matching contribution) with supporting cost justifications for all
budget categories of your grant request. You must provide a separate
estimate for the overall grant management element (Administrative
Costs), which is more fully defined in Appendix B of this NOFA. The
budget shall include not more than 10% for administrative costs and not
less than 90% for direct project elements. A minimum of 60% of the
total Federal amount requested must be dedicated to direct lead hazard
control activities. A sufficient amount (two percent for most
applicants) of the total Federal amount must be dedicated to activities
to create a workforce properly trained in lead-safe work practices. If
an applicant chooses not to include costs related to lead-safe work
practices training in their work plan and budget, it must demonstrate
that there is a workforce currently in place that is sufficient in size
and is properly trained to carry out the work under the Lead Hazard
Control Grant Program and the HUD Lead-Safe Housing Regulation. In the
event of a discrepancy between grant amounts requested in various
sections of the application, the amount you indicate on the HUD Form-
424 will govern as the correct value.
(f) Matching Contribution. An itemized breakout (using the HUD 424)
of your required matching contribution, including:
(i) Values placed on donated in-kind services;
(ii) Letters or other evidence of commitment from donors; and
(iii) The amounts and sources of contributed resources.
(g) Application Forms. Standard Forms SF-LLL and HUD Forms 2880,
2990, 2991, 2993, and 2994.
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(h) Grant Partners. Contracts, Memoranda of Understanding or
Agreement, letters of commitment or other documentation describing the
proposed roles of agencies, local broad-based task forces,
participating grassroots faith-based and other community or
neighborhood-based groups or organizations, local businesses, and
others working with the program.
(i) Consolidated Plan Element. A copy of the lead hazard control
element included in your current program year's Consolidated Plan.
(This does not apply to Native American Tribes) You should include the
discussion of any lead-based paint issues in your jurisdiction's
Analysis of Impediments, particularly as it addresses your target
areas.
(j) Rating Factor Response. Narrative responses to the five rating
factors.
(B) Proposed Activities. Unless otherwise noted in this NOFA, all
applicants must, at a minimum, describe the proposed activities in the
narrative responses to the rating factors. Your narrative statement
must be numbered in accordance with each factor for award (Rating
Factors 1 through 5). Please see Section V of the General Section of
this SuperNOFA for additional requirements and submittal procedures.
(C) Applicant Debriefing. See Section XI(A)(d) of the General
Section of this SuperNOFA for information about applicant debriefing.
V. Corrections to Deficient Applications
See Section VIII of the General Section of this SuperNOFA for
information about corrections to deficient applications.
VI. Environmental Requirements
(A) Environmental Impact. See Section IX of the General Section of
this SuperNOFA for information about the Finding of No Significant
Impact.
(B) Environmental Requirements. Recipients of lead-based paint
hazard control grants must comply with 24 CFR Part 58--``Environmental
Review Procedures for Entities Assuming HUD Environmental
Responsibilities.'' Recipients are prohibited from committing or
expending HUD and non-HUD funds on the project until HUD approves the
recipient's Request for the Release of Funds (form HUD 7015.15) or the
recipient has determined that the activity is either Categorically
Excluded, not subject to the related Federal laws and authorities
pursuant to 24 CFR 58.35(b) or Exempt pursuant to 24 CFR 58.34. For
Part 58 procedures, see http://www.hud.gov/offices/cpd/energyenviron/
environment/index.cfm. For assistance, contact Karen Choi,
the Office of Healthy Homes and Lead Hazard Control Environmental Officer
at (213) 894-8000 x3015 (this is not a toll-free number) or the HUD
Environmental Review Officer in the HUD Field Office serving your area.
If you are a hearing-or speech-impaired person, you may reach the
telephone number via TTY by calling the toll-free Federal Information
Relay Service at 1-800-877-8339. Recipients of a grant under this
funded program will be given additional guidance in these
responsibilities.
VII. HUD Reform Act of 1989
The provisions of the HUD Reform Act of 1989 that apply to this
NOFA are explained in the General Section of this SuperNOFA at Section
XI (A) Public Access, Documentation and Disclosure
Appendix A
Appendix A of this NOFA contains sample worksheets to assist you
in your response to specific information requested in this NOFA. The
submission of these worksheets are not mandatory, but have been
developed to reduce the applicant's burden on providing this
information.
Appendix B
The description of Administrative Costs, Eligibility of HUD
Assisted Housing, and Work Plan Guidance are included in this
section of the NOFA.
Appendix C
The eligibility criteria and submission requirements for current
grantees eligible to submit a Performance-Based Renewal are included
in this section of the NOFA.
BILLING CODE 4210-32-P
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