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Notice of Funding Availability (NOFA) for the Lead Hazard Reduction Demonstration Grant Program for Fiscal Year 2003
Note: EPA no longer updates this information, but it may be useful as a reference or resource.
[Federal Register: July 1, 2003 (Volume 68, Number 126)]
[Notices]
[Page 39399-39425]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr01jy03-130]
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4851-N-01]
Notice of Funding Availability (NOFA) for the Lead Hazard
Reduction Demonstration Grant Program for Fiscal Year 2003
AGENCY: Office of Healthy Homes and Lead Hazard Control, HUD.
ACTION: Notice of funding availability.
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I. Program Overview
Purpose of the Program. The purpose of the Lead Hazard Reduction
Demonstration Grant Program is to assist areas with the highest lead
paint abatement needs in undertaking programs for abatement,
inspections, risk assessments, temporary relocations, and interim
control of lead-based paint hazards in eligible privately owned, single
family housing units, and multifamily buildings that are occupied by
low-income families.
Available Funds. Approximately $49,675,000 in Fiscal Year 2003
funds.
Eligible Applicants. The eligible applicants must be a city,
county, or similar unit of local government. States and Indian Tribes
may apply on behalf of units of local government within their
jurisdiction, if the local government designates the state or Indian
Tribe as their applicant. 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. 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. July 31, 2003.
Match. A 25 percent match in local funds.
II. Addresses and Application Submission Procedures
(A) Application Submission. See the General Section of the
SuperNOFA for specific procedures concerning the form of application
submission (e.g., mailed applications, express mail, or overnight
delivery). The General Section of the SuperNOFA was published in the
Federal Register on April 25, 2003, at page 21002 and is available on
HUD's website at http://www.hud.gov/offices/adm/grants/nofa/grplead.cfm.
Applicants for this NOFA must also read the General
Section of the SuperNOFA in order to submit an acceptable application.
There is no application kit for this NOFA.
(B) Addresses. You, the applicant, must submit a complete
application (although not required, applicants are encouraged to submit
3 additional copies of their application) to: Department of Housing and
Urban Development, Office of Healthy Homes and Lead Hazard Control,
ATTN: Lead Hazard Reduction Demonstration Grant Program, 451 Seventh
Street, SW., Room P3206, Washington, DC 20410-0001.
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.
III. Authority, Funding Amounts, and Amount of Funds Allocated
(A) Authority. The Lead Hazard Reduction Demonstration Grant
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, Pub. L. 108-7, approved February 20, 2003.
(B) Funding Available and Eligibility. Approximately $49.9 million
in Fiscal Year 2003 funds is available. The minimum award amount shall
be $2 million per grant. The maximum award amount shall be $4 million
per grant. Approximately 12-25 grants will be awarded.
IV. Eligible Applicants and Activities
(A) Program Description. The Lead Hazard Reduction Demonstration
Grant Program assists areas with the highest lead paint abatement needs
in undertaking programs for abatement, inspections, risk assessments,
temporary relocations, and interim control of lead-based hazards in
eligible privately owned, single family housing units, and multifamily
buildings that are occupied by low-income families, as defined by
Section 3(b)(2) of the Housing Act of 1937. Areas with the highest
lead-based paint abatement needs are identified as having: (1) The
highest number of pre-1940 units of rental housing; and (2) a
disproportionately high number of documented cases of lead-poisoned
children.
Appendix B lists additional 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 or 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 or 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
[[Page 39401]]
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 and Threshold Requirements. (1) To be
eligible to apply for funding under this program, the applicant must be
a city, county, or similar unit of local government. States and Indian
Tribes may apply on behalf of units of local government within their
jurisdiction, if the local government designates the state or the
Indian Tribe as their applicant. 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.
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). You may submit only one
application. In the event that multiple applications are submitted,
this will be considered a technical deficiency 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 the
SuperNOFA). In addition, if you or any member of your consortium also
applied for funding under the recent Fiscal Year 2003 Lead Hazard
Control Grant Program Notice of Funding Availability, you must discuss
how both programs will operate concurrently and how program activities
will be combined to achieve maximum benefits.
(2) Threshold Requirements. As an eligible applicant, you must also
meet all of the threshold requirements in Section V(B) of the General
Section of the SuperNOFA as well as the specific threshold requirements
listed in this subsection. Applications will not be rated or ranked if
they do not meet the threshold requirements.
(a) Applicants must report the total number of pre-1940 rental
units within the jurisdiction(s) where funds will be used (data from
the 2000 U.S. Census are acceptable). Applicants must have at least
3,200 pre-1940 rental housing units in order to apply under this NOFA.
Appendix C includes the top 100 areas ranked by the number of pre-1940
rental housing units as determined by the year 2000 U.S. Census.
Failure to provide the number of pre-1940 rental units will result in
the application not being evaluated.
(b) Provide the actual number of documented cases of lead-poisoned
children residing within the applicant's jurisdiction(s) for the most
recent complete calendar year and identify the source of the data. Data
prior to calendar year 2000 will not be accepted. States and Indian
Tribes must report the number in the city, county, or other area where
funds will actually be used. Consortia of local governments must report
the number in the cities or counties making up the consortium. For the
purposes of this application, a ``documented case'' of childhood lead
poisoning is a child under six years of age with a blood lead level
test of equal to or greater than 10 micrograms of lead per deciliter of
blood, which was performed by a medical health care provider. The
actual number of documented cases (not an estimate) must be reported to
HUD in order to be eligible for this grant program. Do not send the
children's names, addresses, or other identifiers. Failure to provide
this number in the application means that the application will not be
rated or ranked.
(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. If the Analysis of
Impediments (AI) includes references to lead-based paint as an
impediment to fair housing, this should be included in your application
as well. If the same applicant agency also submitted an application for
the recently published Fiscal Year 2003 Lead Hazard Control Grant
Program Notice of Funding Availability, you may refer to this material
for proof of documentation if the applicant agencies are the same. You
are not required to resubmit this material for this NOFA.
(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) 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.
(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. Copies of this Regulation are
available from the Office of Healthy Homes and Lead Hazard Control
website at: http://www.hud.gov/offices/lead.
(1) Not less than 90 percent of the funds made available shall be
used exclusively for abatement and/or interim controls (with clearance
testing), inspections, risk assessments, and temporary relocations.
These include Direct Project Elements (a)-(e) that you may undertake
directly or through sub-recipients:
(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 lead hazard control activities that may include any
combination of the following:
i. Interim controls of lead-based paint hazards including lead-
contaminated soil in housing (that must include specialized cleaning
techniques to address lead dust, according to the HUD Guidelines,
located at http://www.hud.gov/offices/lead/guidelines/hudguidelines/
index.cfm.
ii. Abatement. The complete abatement of all lead-based paint
hazards in a unit or structure is acceptable if it is cost-effective
and if prior HUD approval is obtained. 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.
All lead hazards identified in a housing unit enrolled in this
grant program must be controlled or eliminated by any combination of
these strategies.
(c) Carrying out temporary relocation of families and individuals
during the period in which hazard control is
[[Page 39402]]
conducted and until the time the affected unit receives clearance for
reoccupancy. If families or individuals are temporarily relocated in a
project which utilizes Community Development Block Grant funds, the
guidance and requirements of 24 CFR 570.606(b)(2)(i)D(1)-(3) must be
met. HUD recommends you review these regulations when preparing your
proposal.
(d) 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.
(e) Conducting clearance dust-wipe testing and laboratory analysis
(the 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).
(2) The following are supporting Project Elements that may be
undertaken through matching or other available funds only:
(a) Conducting targeted community awareness, affirmative marketing,
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, and large type).
(b) Engineering and architectural activities that are required for,
and in direct support of, lead hazard control work.
(c) Procuring liability insurance for lead-hazard control
activities.
(d) 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.
(e) Purchasing or leasing equipment having a per unit cost under
$5,000.
(f) Purchasing or leasing no more than two X-ray fluorescence
analyzers for use by this program, if not already available.
(g) Preparing a final report at the conclusion of grant activities.
(3) Support Elements.
(a) Administrative costs. There is a 10 percent 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.
(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).
V. Requirements
Except as modified in this section, all the requirements,
procedures, and principles listed in Section V of the General Section
of the SuperNOFA apply to this program.
(A) Matching Contribution. You must provide a matching contribution
of at least 25 percent 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 required 25 percent
matching requirement. Federal funds may be used, however, for
contributions above the statutory requirement.
(B) Program Requirements. The applicant must also comply with the
following:
(1) Work Activities. 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 located at http://www.hud.gov/offices/
lead/guidelines/leadsaferule/index.cfm. 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. Not
less than 90 percent of the funds made available shall be used
exclusively for abatement, inspections, risk assessments, temporary
relocations, and interim control of lead-based hazards.
(3) By September 30, 2005, a statewide or jurisdiction-wide
strategic plan to eliminate childhood lead poisoning as a major public
health problem by 2010 (further guidance will be provided to grantees
on developing the elimination plan) must be submitted to HUD.
Applicants are encouraged to collaborate with grantees of the Centers
for Disease Control and Prevention (CDC), which are also now required
to develop such local plans. At a minimum, the plan must include the
following elements:
i. Mission Statement
ii. Purpose and Background on Lead Poisoning Prevalence
iii. Goals, Objectives, and Activities
iv. Evaluation Plan
(C) Administrative Costs. There is a 10 percent 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.
(D) Period of Performance. The period of performance is 42 months.
HUD reserves the right to approve no cost time extensions for a period
not to exceed 12 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).
[[Page 39403]]
(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 must be 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 website at: http://www.hud.gov/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 website at:
http://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 Safety and Health Administration
(OSHA) (29 CFR 1926.62, Lead Exposure in Construction), or applicable
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;
(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 families for at least three years 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, located at http://www.
hud.gov/offices/lead/guidelines/hudguidelines/index.cfm, 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 should 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. (a) You shall
cooperate fully with any research or evaluation sponsored by HUD, CDC,
[[Page 39404]]
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 may also 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.
(b) If your program includes conducting research involving human
subjects in a manner which requires Institutional Review Board (IRB)
approval and periodic monitoring, address how you will obtain such
approval and your monitoring plan (before you can receive funds from
HUD for activities that require IRB approval, you must provide an
assurance that your study has been reviewed and approved by an IRB and
evidence of your organization's institutional assurance). Describe how
you will provide informed consent (e.g., from the subjects, their
parents, or their guardians, as applicable) to help ensure their
understanding of, and consent to, the elements of informed consent,
such as the purposes, benefits, and risks of the research. Describe how
this information will be provided and how the consent will be
collected. For example, describe your use of ``plain language'' forms,
flyers, and verbal scripts, and how you plan to work with families with
limited English proficiency or primary languages other than English,
and with families including persons with disabilities.
(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 the SuperNOFA. The requirements of Section 3 of
the Housing and Urban Development Act of 1968 are applicable to this
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 Section I of the General
Section of the 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 SectionV(B) of the
General Section of the 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 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.
(W) Proposed Exceptions to HUD Requirements. Proposed methods that
differ from HUD's Lead Safe Housing Rule will be considered on their
merits through a separate HUD review and approval process after the
grant award is made and a specific justification has been presented.
HUD may consult with experts from both the public and private sectors.
HUD will not approve methods that, in HUD's opinion, involve a lowering
of standards that have the potential to adversely affect the health of
residents, contractors or workers, or the environment.
VI. Application Selection Process
(A) Rating and Ranking. Please see Section VI (B) of the General
Section of the SuperNOFA. Only those applications that meet the
threshold review requirements will be rated and ranked. HUD intends to
fund the highest ranked applications within the limits of funding. In
addition, the work plan and budget submitted in response to this NOFA
will be evaluated as part of the rating and ranking process.
(1) Adjustments to Funding. See Section VI (F) of the General
Section of the SuperNOFA for additional information.
(a) HUD reserves the right to fund an amount different than the
full amount requested in your application to ensure the fair
distribution of funds and ensure that the purposes or requirements of
this program are met.
(b) HUD will not fund any portion of your application that is not
eligible for funding under specific program statutory or regulatory
requirements or does not meet the requirements of this NOFA. Only the
eligible portions of your application may be funded.
(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. Each applicant shall submit a detailed work
plan and strategy that demonstrates adequate capacity. Applications
will be evaluated based on the criteria below. The maximum number of
points to be awarded will be 100.
(1) 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 the SuperNOFA. 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. An applicant will be awarded one point under Rating Factor
3 (A) (3): Economic
[[Page 39405]]
Opportunities for activities undertaken that specifically address this
policy priority. Activities that promote the participation of
grassroots faith-based or other community organizations support HUD's
policy priority for: Providing Full and Equal Access to Grassroots
Faith-Based or 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 100. A minimum score of 75 is
required for fundable applications.
------------------------------------------------------------------------
Maximum
Rating factor points
------------------------------------------------------------------------
1. Capacity of the Applicant and Relevant Organizational 30
Experience...................................................
2. Demonstrated Need/Extent of the Problem.................... 15
3. Soundness of Approach/Work Plan/Budget..................... 55
---------
Total..................................................... 100
------------------------------------------------------------------------
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (30 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 or 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 or 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 and 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. 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 would be used in carrying out your proposed comprehensive
Lead Hazard Reduction Demonstration 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).
Where the applicant has received multiple HUD Lead Hazard Control
Grants, performance under the most recent grant award will be primarily
evaluated. If you are a current or prior grantee, you must provide the
detail necessary to assure HUD that you will implement the proposed
work immediately and perform it concurrently with existing lead hazard
control grant work. The applicant must provide a description of its
progress and performance in implementing the most recent grant award
including the total number of housing units enrolled, assessed, in
progress, and completed and cleared as of the most recent calendar
quarter.
Rating Factor 2: Demonstrated Need/Extent of the Problem (15 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 be scored in this rating factor based on their
documented need as evidenced by thorough, credible, and appropriate
data and information. The evaluation will be based only on the
applicant's documentation of the data requested. The data submitted in
response to this rating factor will be verified using data available
from the Census and in cooperation with the Centers for Disease Control
and Prevention.
(1)Provide the actual number of documented cases of lead-poisoned
children residing within the applicant's jurisdiction for the most
recent complete calendar year and identify the source of the data. Data
prior to calendar year 2000 will not be accepted. States must report
the number in the city, county, or other area where funds will actually
be used. Consortia of local governments must report the number in the
cities or counties making up the consortium. For the purposes of this
application, a ``documented case'' of childhood lead poisoning is a
child under six years of age with a blood lead level test of equal to
or greater than 10 micrograms of lead per deciliter of blood, which was
performed by a medical health care provider. The actual number of
documented cases (not an estimate) must be reported to HUD in order to
be eligible for this grant program. Do not send the children's names or
addresses or other identifiers. Failure to provide this number in the
application means that the application will not be rated or ranked.
Points will be awarded based on the charts below.
------------------------------------------------------------------------
Pre-1940 units of
Points awarded rental housing
------------------------------------------------------------------------
1.................................................... < 5,000
2.................................................... 5,000-15,000
3.................................................... 15,001-25,000
4.................................................... 25,001-35,000
5.................................................... £
35,001
------------------------------------------------------------------------
[[Page 39406]]
------------------------------------------------------------------------
Number of
documented cases
Points awarded of lead-poisoned
children
------------------------------------------------------------------------
2.................................................... < 100
4.................................................... 100-249
6.................................................... 250-499
8.................................................... 500-999
10................................................... £ 1,000
------------------------------------------------------------------------
Rating Factor 3: Soundness of Approach /Work Plan /Budget (55 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 the Appendices A and B to this NOFA and are
available at the HUD website at: http://www.hud.gov/offices/lead/lhc/pgi/
index.cfm. This policy guidance provides a sample format and
outline for developing a Lead Hazard Reduction Demonstration Grant
Program Work Plan. In addition, applicants are also required to
complete the HUD Program Outcome Logic Model (HUD-96010) included in
Appendix D of this NOFA. The Logic Model is to be used by grantees to
assess their own performance.
(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, HUD will consider how you have described outcome measures and
benefits of your program including:
(a) 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.
(b) 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, 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.
(A) Lead Hazard Control Work Plan Strategy (40 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:
(1) Implementing a Lead Hazard Control Program. 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. Explain how
you would target resources to maximize the return on investment from
grant funding. As funding is a constraint for this program, it is
imperative to maximize the impact of grant dollars. Include in this
discussion your proposed technical approach and how this choice
addresses local conditions and needs as well as attempting to maximize
the number of children protected from lead hazards. As there are a
variety of reduction techniques that grantees can apply to lead
hazards, it is important that HUD be able to assess the effectiveness
of grantees' choice of technical strategy. Also discuss how referrals
are made 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
your program.)
(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,
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 the program will recapture grant funds 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
[[Page 39407]]
requirements, if any, proposed for assistance to rental property
owners.
(e) 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.
(2) Technical Approach/Performance. 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 (see the Appendix A of this NOFA for Sample Worksheet 2).
(a) Describe your testing methods, schedule, and costs for 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 percent 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.
(b) Describe the lead hazard control methods and strategies you
will undertake and the number of units you will treat. In cases where
only a few surfaces have lead hazards in a specific unit and complete
abatement of all lead paint 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) 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.
(c) 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.
(d) Time frames. Describe the estimated elapsed time frame 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 activities, and clearance. The time frame 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 number of
units projected in each of the following categories: lead-based paint
inspections/risk assessments, hazard control, and clearance
inspections.
(e) 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.
(f) 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.
(g) Describe your plan for occupant protection or the temporary
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 http://
www.hud.gov/offices/lead/guidelines/leadsaferule/index.cfm).
Your work plan should address the use of safe houses and other temporary
housing arrangements, storage of household goods, stipends, incentives,
etc. If families or individuals are temporarily relocated in a project
which utilizes Community Development Block Grant funds, the guidance and
requirements of 24 CFR 570.606(b)(2)(i)D(1)-(3) must be met. HUD
recommends you review these regulations when preparing your proposal.
(h) Describe your strategy for involving neighborhood or grassroots
faith-based or other community-based organizations in your proposed
activities. Priority activities should include increasing the
enrollment of eligible privately owned housing units to receive lead
treatments, but may also include 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.
(i) 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.
(j) If you are a current or prior grantee or you have also applied
to the Fiscal Year 2003 Lead Hazard Control Grant Program Notice of
Funding Availability, you must describe the actions you will take to
ensure that your proposed lead hazard control work will occur
concurrently with other ongoing HUD lead hazard control grant work.
Your application must provide the detail necessary to assure HUD that
you will implement the proposed work immediately and perform it
concurrently with other ongoing lead hazard control grant work.
(B) Budget. (15 points) Describe your budget within the 42-month
(or less) period of performance for your lead hazard control grant
program. You should provide information on:
(1) Allocation of Funds. (5 points) You should describe your
detailed total budget (total budget is the federal share and matching
contribution) with supporting cost justifications for all budget
categories of your grant request. The budget shall include not more
than 10 percent for administrative costs and not less than 90 percent
for direct project elements. You should describe how you intend to
provide not less than 90 percent of the funds for abatement,
inspections, risk assessments, temporary relocations, and interim
control of lead-based hazards and what activities will be conducted
with the remaining 10 percent.
(2) Source/Use of Match Funds. (10 points) Specify the amount,
sources, and proposed use of the 25 percent
[[Page 39408]]
matching contribution, any additional resources, and how they will be
provided (i.e., by cash, by in-kind services, or personnel). If in-kind
contributions are used, attribute a monetary value, provide the basis
for the value of the contribution, and explain how the contributions
will be used in the project. Each source of contributions should be
made in a letter of commitment from the contributing entity, describing
the contributed resources and the monetary value. Resources directly
contributed by the applicant are considered to be committed and do not
require letters. Evidence of firm commitments and the appropriate use
of match resources is necessary for receiving maximum points in this
rating factor. Matching contributions greater than the required 25
percent match will receive a higher rating for this subfactor.
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.
VII. Application Submission Requirements
(A) Application Submission
(1) Application Format. The application narrative response to the
Rating Factors is limited to a maximum of 15 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 Section V of the
General Section of the SuperNOFA. These items include the standard
forms, certifications, and assurances listed in the General Section of
the SuperNOFA that are applicable to this funding (collectively
referred to as the ``standard forms''). The standard forms can be found
in Appendix D of the General Section of the SuperNOFA. The program
application items are:
(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 or 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) 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 percent for administrative costs
and not less than 90 percent for direct project elements. 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.
(e) 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.
(f) Application Forms. All forms as required by Section V (H) of
the General Section of the SuperNOFA.
(g) 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 or other community-or
neighborhood-based groups or organizations, local businesses, and
others working with the program (see Appendix A of this NOFA for Sample
Worksheet 3--Grant Partners).
(h) 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. If you submitted an application for the recently published FY
2003 Lead Hazard Control Grant Program Notice of Funding Availability,
you may refer to this material for proof of documentation. You are not
required to resubmit this material for this NOFA.
(i) Rating Factor Response. Narrative responses to the 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. Please see
Section V of the General Section of the SuperNOFA for additional
requirements and submittal procedures.
(C) Applicant Debriefing. See Section XI (A)(4) of the General
Section of the SuperNOFA for information about applicant debriefing.
VIII. Correction to Deficient Applications
See Section VIII of the General Section of the SuperNOFA for
information about corrections to deficient applications.
IX. Environmental Requirements
(A) Environmental Impact. A Finding of No Significant Impact with
respect to the environment has been made in accordance with HUD
regulations at 24 CFR part 50 that implement Section 102(2)(C) of the
National Environmental Policy Act of 1969 (42 U.S.C. 4332). The Finding
of No Significant Impact is available for public inspection between 8
a.m. and 5 p.m. in the Office of the General Counsel, Regulations
Division, Room 10276, U.S. Department of Housing and Urban Development,
451 Seventh Street, SW., Washington, DC 20410-0500.
(B) Environmental Requirements. Recipients of lead hazard reduction
demonstration 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 Release of Funds (form HUD 7015.15) or the
recipient has
[[Page 39409]]
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,
extension 3015 (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.
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
the SuperNOFA at Section XI (A) Public Access, Documentation and
Disclosure Requirements.
(C) Paperwork Reduction Act Statement.
The information collection requirements in this NOFA have been
approved by OMB under the Paperwork Reduction Act of 1995 (44 U.S.C.
3501-3520). The OMB number is 2539-0015. Under the Paperwork Reduction
Act, an agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless the collection
displays a valid control number.
(D) Catalog of Federal Domestic Assistance Numbers. The Federal
Domestic Assistance Number for this program is 14.905.
Dated: June 25, 2003.
David Jacobs,
Director, Office of Healthy Homes and Lead Hazard Control.
Appendix A
Appendix A contains the Checklist and Submission Table of Contents
and sample worksheets to assist you in your response to specific
information requested in this NOFA. The submission of these worksheets
is not mandatory, but has been developed to reduce the applicant's
burden on providing this information.
Appendix B
The description of Administrative Costs, Eligibility of HUD-
Assisted Housing, Section 1011 of Title X, Elements of a State
Certification Program, and Work Plan Guidance.
Appendix C
The top 100 areas ranked by the number of pre-1940 rental housing
units as determined by the year 2000 U.S. Census.
Appendix D
The required forms for application submission.
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Appendix B
(A) Administrative Costs
I. Purpose
The intent of this HUD grant program is to allow the Grantee to be
reimbursed for the reasonable direct and indirect costs, subject to a
top limit, for overall management of the grant. In most instances the
grantee, whether a state or a local government, principally serves as a
conduit to pass funding to sub-grantees, which are to be responsible
for the conducting lead-hazard reduction work. Congress set a top limit
of 10 percent of the total grant sum for the grantee to perform the
function of overall management of the grant program, including passing
on funding to sub-grantees. The cost of that function, for the purpose
of this grant, is defined as the ``administrative cost'' of the grant,
and is limited to 10 percent of the total grant amount. The balance of
90 percent or more of the total grant sum is reserved for sub-grantees
or other direct-performers of lead-hazard identification and reduction
work. Lead hazard identification and reduction includes, but is not
necessarily limited to outreach, training, enrollment, lead paint
inspection/risk assessments, interim controls, hazard abatement,
clearance documentation, blood lead testing, and public education.
II. Administrative Costs: What They Are Not
For purposes of this HUD grant program, the term ``administrative
costs'' should not be confused with the terms ``general and
administrative cost,'' ``indirect costs,'' ``overhead,'' and ``burden
rate.'' These are accounting terms usually represented by a government-
accepted standard percentage rate. The percentage rate allocates a fair
share of an organization's costs that cannot be attributed to a
particular project or department (such as the chief executive's salary
or the costs of the organization's headquarters building) to all
projects and operating departments (such as the Fire Department, the
Police Department, the Community Development Department, the Health
Department, or this program). Such allocated costs are added to those
projects' or departments' direct costs to determine their total costs
to the organization.
III. Administrative Costs: What They Are
For the purposes of this HUD grant program, ``Administrative
Costs'' are the grantee's allowable direct costs for the overall
management of the grant program. The allowable limit of such costs that
can be reimbursed under this program is 10 percent of the total grant
sum. The grantee should pay particular attention to accurately
estimating costs, determining the necessity for and reasonableness of
costs, and correctly computing all budget items and totals. Should the
grantee's actual costs for overall management of the grant program
exceed 10 percent of the total grant sum, those excess costs shall be
paid for by the grantee. However, excess costs paid for by the grantee
may be shown as part of the requirement for cost-sharing funds to
support the grant. Indirect costs must be substantiated and approved by
the appropriate federal agency or the grantee must provide an indirect
cost rate plan. The indirect cost rate should be indicated in your
budget. Grantees should also provide a narrative statement indicating
how you arrived at your costs. When possible, you should use quotes
from vendors or historical data. You must support all direct labor and
salaries with mandated city/state pay scales or other documentation.
IV. Administrative Costs: Definition
A. General
Administrative costs are the allowable, reasonable, and necessary
direct costs related to the overall management of the HUD grant for
lead-hazard reduction activities. Those costs shall be segregated in a
separate cost center within the grantee's accounting system, and they
are eligible costs for reimbursement as part of the grant, subject to
the 10 percent limit. Such administrative costs do not include any of
the staff and overhead costs directly arising from specific sub-grantee
program activities eligible under Section III (C) of this NOFA, because
those costs are eligible for reimbursement under a separate cost center
as a direct part of project activities.
The grantee may elect to serve solely as a conduit to sub-grantees,
who will in turn perform the direct program activities eligible under
this NOFA, or the grantee may elect to perform all or a part of the
direct program activities in other parts of its own organization, which
shall have their own segregated, cost centers for those direct program
activities. In either case, not more than 10 percent of the total HUD
grant sum may be devoted to administrative costs, and not less than 90
percent of the total grant sum shall be devoted to the direct delivery
of program activities. The grantee shall take care not to mix or
attribute administrative costs to the direct project cost centers.
B. Specific
Reasonable costs for the grantee's overall grant management,
coordination, monitoring, and evaluation are eligible administrative
costs. Subject to the 10 percent limit, such costs include, but are not
limited to, necessary expenditures for the following goods, activities
and services:
(1) Salaries, wages, and related costs of the grantee's staff, the
staff of affiliated public agencies, or other staff engaged in
grantee's overall grant management activities. In charging costs to
this category the recipient may either include the entire salary,
wages, and related costs allocable to the program for each person whose
primary responsibilities (more than 65 percent of their time) with
regard to the grant program involve direct overall grant management
assignments, or the pro rata share of the salary, wages, and related
costs of each person whose job includes any overall grant management
assignments. The grantee may use only one of these two methods during
this program. Overall grant management includes the following types of
activities:
(a) Preparing grantee program budgets and schedules, and amendments
thereto;
(b) Developing systems for the selection and award of funding to
sub-grantees and other sub-recipients;
(c) Developing suitable agreements for use with sub-grantees and
other sub-recipients to carry out grant activities;
(d) Developing systems for assuring compliance with program
requirements;
(e) Monitoring sub-grantee and sub-recipient activities for
progress and compliance with program requirements;
(f) Preparing presentations, reports, and other documents related
to the program for submission to HUD;
(g) Evaluating program results against stated objectives;
(h) Providing local officials and citizens with information about
the overall grant program; however, a more general education program,
helping the public understand the nature of lead hazards, lead hazard
reduction, blood-lead screening, and the health consequences of lead-
poisoning is a direct project support activity;
(i) Coordinating the resolution of overall grant audit and
monitoring findings; and
(j) Managing or supervising persons whose responsibilities with
regard to the program include such assignments as those described in
paragraphs (a) through (i).
(2) Travel costs incurred for official business in carrying out the
overall grant management;
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(3) Administrative services performed under third party contracts
or agreements, for services directly allocable to grant management such
as: legal services, accounting services, and audit services;
(4) Other costs for goods and services required for, and directly
related to, the overall management of the grant program; and including
such goods and services as telephone, postage, rental of equipment,
renter's insurance for the program management space, utilities, office
supplies, and rental and maintenance (but not purchase) of office space
for the program;
(5) The fair and allocable share of grantee's general costs that
are not directly attributable to specific projects or operating
departments such as salaries, office expenses, and other related costs
for local officials (e.g., mayor and city council members, etc.), and
expenses for a city's legal or accounting department which are not
charged back to particular projects or other operating departments. If
a grantee has an established burden rate, it should be used; if not,
the grantee shall be assigned a negotiated provisional burden rate,
subject to final audit.
(B) Eligibility of HUD-Assisted Housing. Eligibility of HUD-
associated ``eligible'' housing units to participate under HUD's Lead
Hazard Reduction Demonstration Grant Program:
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(C) Section 1011 of Title X
Section 217 of Public Law 104-134 (the Omnibus Consolidated
Rescissions and Appropriations Act of 1996, 110 Stat. 1321, approved
April 26, 1996) amended Section 1011(a) of the Residential Lead-Based
Paint Hazard Reduction Act of 1992 (Title X) to read as follows:
Section 1011 Grants for Lead-Based Paint Hazard Reduction in Target
Housing
(a) General Authority. The Secretary is authorized to provide
grants to eligible applicants to evaluate and reduce lead-based paint
hazards in housing that is
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not federally-assisted housing, federally-owned housing, or public
housing, in accordance with the provisions of this section. Grants
shall only be made under this section to provide assistance for housing
which meets the following criteria--
(1) For grants made to assist rental housing, at least 50 percent
of the units must be occupied by or made available to families with
incomes at or below 50 percent of the area median income level, and the
remaining units shall be occupied or made available to families with
incomes at or below 80 percent of the area median income level, and in
all cases the landlord shall give priority in renting units assisted
under this section, for not less than 3 years following the completion
of lead abatement activities, to families with a child under the age of
six years, except that buildings with five or more units may have 20
percent of the units occupied by families with incomes above 80 percent
of area median income level;
(2) For grants made to assist housing owned by owner-occupants, all
units assisted with grants under this section shall be the principal
residence of families with income at or below 80 percent of the area
median income level, and not less than 90 percent of the units assisted
with grants under this section shall be occupied by a child under the
age of six years or shall be units where a child under the age of six
years spends a significant amount of time visiting; and
(3) Notwithstanding paragraphs (1) and (2), Round II grantees who
receive assistance under this section may use such assistance for
priority housing.
(D) Elements of a State Certification Program
To be eligible to receive a Lead-Based Paint Hazard Control grant,
an applicant must be a state, tribal, or local (city or county)
government. State government and Native American tribal applicants must
have an EPA approved state program for certification of lead-based
paint contractors, inspectors, and risk assessors in accordance with 40
CFR 745.
Background
In October 1992, Congress passed the Residential Lead-Based Paint
Hazard Reduction Act (Title X of the Housing and Community Development
Act of 1992). Congress assigned federal responsibility to the
Environmental Protection Agency (EPA) for the definition,
implementation, and oversight of state and Tribal Certification
Programs for workers, contractors, and inspectors engaged in the
detection and reduction of lead-based paint hazards. This legislation
required EPA to develop regulations on accreditation of training
programs, the certification of contractors, and the training of workers
engaged in lead-based paint activities. In addition, EPA was directed
to issue work practice standards. Under the statute, lead-based paint
activities are defined as:
? In the case of target housing: risk assessment, inspection,
and abatement; and
? In the case of any public building constructed before 1978,
commercial building, bridge, or other structure or superstructure:
identification of lead-based paint and materials containing lead-based
paint, deleading, removal of lead from bridges, and demolition.
On August 29, 1996, EPA promulgated a final regulation that
established requirements for lead-based paint activities in Target
Housing and Child Occupied Facilities.
? 40 CFR part 745, subpart L addressed the requirements for
the certification of individuals and the accreditation of training
programs as well as work practice standards.
? 40 CFR part 745, subpart Q addresses the procedures and
requirements for the approval of state programs that would be
administered and enforced in lieu of the federal program in that state.
? 40 CFR 745.325 and 745.327 establish the minimum
programmatic and enforcement elements that a program must have in order
to be authorized. States had until August 30, 1998, to receive
authorization from the Agency. After that date, EPA will administer the
federal program in that state.
Any state or Tribe applying for a HUD Lead-Based Paint Hazard
Control Grant must have implemented legislation and programs that
fulfills the requirements of 40 CFR 745.325 and 327 and received EPA
authorization for such a program. States and Tribes should be aware
that HUD will not award grants for lead-based paint hazard evaluation
or reduction to states without an EPA authorized program under section
404 of the Toxic Substances Control Act. An EPA administered training
and certification program established in the place of an approved state
program does not satisfy the requirement for a state applicant to have
a federally-authorized state program. State or Tribal applicants must
have received EPA authorization for their program as of the date the
Lead-Based Paint Hazard Control Grant program applications are due at
HUD. State and Tribal applicants should coordinate with the appropriate
EPA Region to ensure their application for an authorized program is
approved by the due date for the grant applications. All local
government applicants will be required to use performers certified by
their state or the EPA to perform lead hazard control work in their
state.
Questions regarding the EPA authorization process should be
directed to your EPA Regional Lead Coordinator.
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[FR Doc. 03-16593 Filed 6-26-03; 3:04 pm]
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