[Federal Register Volume 62, Number 106 (Tuesday, June 3, 1997)]
[Notices]
[Pages 30380-30400]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-14383]
[[Page 30379]]
_______________________________________________________________________
Part II
Department of Housing and Urban Development
_______________________________________________________________________
NOFA for Lead-Based Paint Hazard Control in Privately-Owned Housing,
Fiscal Year 1997; Notice
Federal Register / Vol. 62, No. 106 / Tuesday, June 3, 1997 /
Notices
[[Page 30380]]
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4211-N-01]
NOFA for Lead-Based Paint Hazard Control in Privately-Owned
Housing, Fiscal Year 1997
AGENCY: Office of the Secretary--Office of Lead Hazard Control, HUD.
ACTION: Notice of funding availability for Fiscal Year (FY) 1997.
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SUMMARY: This notice announces the competition for two categories of
grant funding: Category A for approximately $46 million for a grant
program for State and local governments to undertake lead-based paint
hazard control in eligible privately-owned housing units; and Category
B for approximately $4 million for grants to State and local
governments for assistance in undertaking lead-based paint hazard
control in eligible privately-owned housing units on or near Superfund
or ``Brownfield'' sites.
Approximately 12-15 grants of $1 million-$4 million each will be
awarded under Category A and a maximum of 8 grants of $500,000 to $2
million each will be awarded under Category B. The grant sum requested
by applicants under either category must constitute the total request
for the maximum thirty six (36) months for the expected duration of the
proposed project. Proposals can be submitted by jurisdictions for both
categories of assistance. As part of HUD's reinvention efforts, this
Notice of Funding Availability (NOFA) includes changes that HUD
believes will make the application for lead-based paint hazard control
grant funds simpler and less time-consuming. This NOFA limits a
Category A applicant's response to the Rating Factors to a maximum of
25 pages, has specific format instructions, and reduces the number of
budget forms required. (There are no page limitations for Category B
applicant's responses to the Rating Factors.) The application kit
developed for this NOFA provides additional details to further guide
and assist those eligible to apply.
This document includes information concerning the following:
(1) The purpose of the NOFA, eligibility, available amounts, and
selection criteria;
(2) Application processing, including how to apply and how
selections will be made; and
(3) A checklist of steps and exhibits involved in the application
process.
Appendices to the NOFA identify relevant regulations and guidelines
referenced throughout the NOFA, define ``administrative costs'', list
HUD housing programs eligible to receive assistance under this grant
program, and provide a relevant statutory provision.
DATES: An original and five copies of the completed application must be
received by HUD no later than 3:00 p.m. (Eastern Time) on August 5,
1997. The application deadline is firm as to date and hour. In the
interest of fairness to all competing applicants, the Department will
treat as ineligible for consideration any application that is received
after its deadline. Applicants should take this factor into account and
make early submission of their materials to avoid loss of eligibility
brought about by unanticipated delays or other delivery-related
problems. Sections 5 and 7 of this NOFA provide further information on
what constitutes proper submission of an application for Category A and
B respectively.
ADDRESSES: Application kits may be obtained from the Office of Lead
Hazard Control, Department of Housing and Urban Development, Room B-
133, 451 Seventh Street, S.W., Washington, D.C. 20410, or by calling
Ms. Phyllis Horace at (202) 755-1785, extension 120 (this is not a
toll-free number), or by making an e-mail request to:
phyllis__d.__horace@hud.gov (use underscore characters). The Department
is also planning to make the NOFA and application kit accessible via
the Internet World Wide Web (http://www.hud.gov/lea/leahome.html).
Completed applications must be submitted to the mailing address, and
may not be faxed or electronically transmitted.
FOR FURTHER INFORMATION CONTACT: For Category A applicants: Ellis G.
Goldman, Director, Program Management Division, Office of Lead Hazard
Control, Room B-133, 451 Seventh Street, S.W., Washington, D.C. 20410,
telephone (202) 755-1785, extension 112 (this is not a toll-free
number). For Category B applicants: Melissa F. Shapiro, telephone (202)
755-1785, extension 153 (this is not a toll-free number). For hearing-
and speech-impaired persons, the telephone number may be accessed via
TTY (text telephone) by calling the toll-free Federal Information Relay
Service at 1-800-877-8339.
SUPPLEMENTARY INFORMATION:
Promoting Comprehensive Approaches to Housing and Community Development
HUD is interested in promoting comprehensive, coordinated
approaches to housing and community development. Economic development,
community development, public housing revitalization, homeownership,
assisted housing for special needs populations, supportive services,
and welfare-to-work initiatives can work better if linked at the local
level. Toward this end, the Department in recent years has developed
the Consolidated Planning process designed to help communities
undertake such approaches.
In this spirit, it may be helpful for applicants under this NOFA to
be aware of other related HUD NOFAs that have recently been published
or are expected to be published in the near future. By reviewing these
NOFAs with respect to their program purposes and the eligibility of
applicants and activities, applicants may be able to relate the
activities proposed for funding under this NOFA to the recent and
upcoming NOFAs and to the community's Consolidated Plan.
HUD is publishing the following related NOFA elsewhere in today's
Federal Register: The HOPE VI Public Housing Demolition NOFA. HUD has
also recently published the following related NOFAs: the NOFA for the
Revitalization of Severely Distressed Public Housing (HOPE VI) (62 FR
18242, April 14, 1997), and the Comprehensive Improvement Assistance
Program (CIAP) NOFA (62 FR 23928, May 1, 1997).
To foster comprehensive, coordinated approaches by communities, the
Department intends for the remainder of FY 1997 to continue to alert
applicants to upcoming and recent NOFAs as each NOFA is published. In
addition, a complete schedule of NOFAs to be published during the
fiscal year and those already published appears under the HUD Homepage
on the Internet, which can be accessed at http://www.hud.gov/
nofas.html. Additional steps on NOFA coordination may be considered for
FY 1998.
To help in obtaining a copy of your community's Consolidated Plan,
please contact the community development office of your municipal
government.
Table of Contents
Section 1. Paperwork Reduction Act Statement
Section 2. Definitions.
Section 3. Purpose and Description
3.1 Purpose and Authority
3.2 Background
3.2.1 Previous Awards
3.3 Allocation Amounts
3.4 Eligibility
3.5 Limitations on the Use of Assistance
3.6 Environmental Review
3.7 Objectives and Requirements
[[Page 30381]]
Section 4. Application Process for Category A
4.1 Submitting Applications
4.2 Threshold Requirements
4.3 Rating Factors
Section 5. Checklist of Application Submission Requirements for
Category A
5.1 Applicant Data
5.2 Proposed Activities
5.3 Certifications and Assurances
Section 6. Purpose and Description for Category B
6.1 Purpose and Authority
6.2 Background
6.3 Allocation Amounts
6.4 Eligibility
6.5 Limitations on the Use of Assistance
6.6 Environmental Review
6.7 Objectives and Requirements
Section 7. Application Process for Category B
7.1 Submitting Applications for Grants
7.2 Threshold Requirements
7.3 Rating Factors
7.4 Checklist of Application Submission Requirements
7.4.1 Applicant Data
7.4.2 Proposed Activities
7.4.3 Certifications and Assurances
Section 8. Corrections to Deficient Applications
Section 9. Administrative Provisions
9.1 Obligation of Funds
9.2 Increases of Awards
9.3 Deobligation
9.4 Reports
Section 10. Findings and Certifications
Appendix A. Relevant Federal Regulations and Guidelines
Appendix B. Explanation of ``Administrative Costs''
Appendix C. Section 1011(a) of Title X, as amended by Pub. L. 104-
134
Appendix D. Eligibility of HUD-Associated Housing Units
Appendix E. Elements of a State Certification Program
Section 1. Paperwork Reduction Act Statement
The information collection requirements contained in this NOFA have
been approved by the Office of Management and Budget (OMB), under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB
control number 2539-0005. 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.
Section 2. Definitions
The following definitions apply to this grant program:
Abatement--Any set of measures designed to permanently eliminate
lead-based paint or lead-based paint hazards. For the purposes of this
definition, permanent means at least 20 years effective life. Abatement
includes:
(a) The removal of lead-based paint and lead-contaminated dust, the
permanent enclosure or encapsulation of lead-based paint, the
replacement of components or fixtures painted with lead-based paint,
and the removal or permanent covering of soil; and
(b) All preparation, cleanup, disposal, and post-abatement
clearance testing activities associated with such measures.
Accredited Laboratory--A laboratory that is accredited by an EPA-
approved lead laboratory accrediting organization and 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. (A list of recognized laboratories and EPA-approved lead
laboratory accrediting organizations is available from the National
Lead Information Center at (800-424-LEAD [5323])).
Administrative Costs--(See Appendix B of this NOFA for a detailed
definition.)
Applicant--A State or a unit of general local government with a
currently approved Consolidated Plan that applies for funding under
this NOFA.
Certified Contractor--A contractor, inspector, risk assessor,
supervisor or other who has successfully completed a training program
approved by the appropriate Federal agency and who meets any other
requirements for certification or licensure established by such agency
or who is certified by any State through a program which has been found
by such Federal agency to be at least as rigorous as the training and
certification standards and requirements found in Appendix E of this
NOFA. All lead-hazard identification or control work shall be performed
by workers and supervisors who have passed a Federal training program
or a State training program found by such Federal agency to be at least
as rigorous as the Federal program.
Certified Inspector and Certified Risk Assessor--Included in the
definition of ``certified contractor,'' above.
Clearance Testing and Examination--A HUD-required visual
examination and collection of environmental samples by a certified
inspector or certified risk assessor, and laboratory analysis by an
accredited laboratory upon completion of lead-hazard control work. The
unit must undergo wipe testing showing that it has lead dust levels
below HUD's interim standards. Current standards are: for bare and
carpeted floors (100 g/ft\2\ [micrograms/square foot]);
interior window sills (500 g/ft\2\); and window troughs
(wells), exterior concrete or other rough surfaces (800 g/
ft\2\). (These interim standards may be revised subject to EPA's
issuance of regulations.)
Eligible Housing--Target housing that qualifies as eligible housing
under section 1011(a) of the Residential Lead-Based Paint Hazard
Reduction Act of 1992, as amended by section 217 of the Omnibus
Consolidated Rescissions and Appropriations Act of 1996 (Pub. L. 104-
134; 110 Stat. 1321, approved April 26, 1996) (See Appendix C of this
NOFA for criteria for eligible housing units and Appendix D for a list
of HUD's programs and their eligibility or ineligibility for receiving
assistance under this grant program.) The term does not include any
public housing (whether Federal or locally supported), any federally
owned housing, or any federally assisted housing.
Encapsulation--The application of any covering or coating that acts
as a barrier between the lead-based paint and the environment and that
relies, for its durability, on adhesion between the encapsulant and the
painted surface, and on the integrity of the existing bonds between
paint layers, and between the paint and the substrate.
Enclosure--The use of rigid, durable construction materials that
are mechanically fastened to the substrate to act as a barrier between
the lead-based paint and the environment.
Federally Assisted Housing--Residential dwellings receiving
project-based assistance under programs including:
(1) Section 221(d)(3) or section 236 of the National Housing Act;
(2) Section 1 of the Housing and Urban Development Act of 1965;
(3) Section 8 of the United States Housing Act of 1937; or
(4) Sections 502(a), 504, 514, 515, 516, and 533 of the Housing Act
of 1949.
``Federally Assisted Housing'' is not eligible for assistance under
the HUD Lead-Based Paint Hazard Control Grant Program. (See Appendix D
of this NOFA.)
Guidelines for the Evaluation and Control of Lead-Based Paint
Hazards in Housing (June 1995)--HUD's manual of lead hazard control
practices (commonly referred to as the Guidelines) which provide
detailed, comprehensive, technical information on how to identify lead-
based paint hazards in housing and how to control such hazards safely
and efficiently. (The Guidelines replace the HUD ``Lead-Based Paint:
Interim Guidelines for Hazard Identification and Abatement in Public
and Indian Housing.'')
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Hazardous Waste--As defined in EPA regulations (40 CFR 261.3).
Solid waste, or a combination of solid wastes, that because of its
quantity; concentration; or physical, chemical, or infectious
characteristics may:
(1) Cause, or significantly contribute to increases in mortality,
serious and irreversible, or incapacitating but reversible illness; or
(2) Pose a substantial present or potential hazard to human health
or the environment when improperly treated, stored, transported, or
disposed.
HEPA Vacuum--(High Efficiency Particulate Air)--A vacuum cleaner
fitted with a filter capable of removing particles of 0.3 microns or
larger at 99.97 percent or greater efficiency from the exhaust air
stream.
Interim Controls--A set of measures designed to temporarily reduce
human exposure or possible exposure to lead-based paint hazards. Such
measures include specialized cleaning, repairs, maintenance, painting,
temporary containment, and management and resident education programs.
Interim controls include dust removal; paint film stabilization;
treatment of friction and impact surfaces; installation of soil
coverings, such as grass or sod; and land-use controls.
Laboratory Analysis--As used for paint, dust-wipes or soil,
analysis for lead by an accredited laboratory in accordance with the
requirements and limitations of its accreditation.
Lead-Based Paint--Any paint, varnish, shellac, or other coating
that contains lead equal to or greater than 1.0 mg/cm \2\ as measured
by XRF or laboratory analysis, or 0.5 percent by weight (5,000
g/g, 5,000 ppm, or 5,000 mg/kg) as measured by laboratory
analysis. (Local definitions may vary.)
Lead-Based Paint Hazard--A condition in which exposure to lead from
lead-contaminated dust, lead-contaminated soil, or deteriorated lead-
based paint would have an adverse effect on human health (as
established by the EPA Administrator under Title IV of the Toxic
Substances Control Act). Lead-based paint hazards include for example,
deteriorated lead-based paint, dust levels above applicable standards,
and bare leaded soil above applicable standards.
Lead-Based Paint Hazard Control: Activities to control and
eliminate lead-based hazards, including interim controls, abatement and
complete abatement.
Lead-Contaminated Dust--Surface dust in residences that contains an
area or mass concentration of lead in excess of the standard
established by the EPA Administrator, pursuant to Title IV of the Toxic
Substances Control Act. Until the EPA standards are established, the
HUD-recommended clearance and risk assessment standards for leaded dust
are 100 g/ft \2\ on floors, 500 g/ft \2\ on interior
window sills, and 800 g/ft \2\ on window troughs (wells),
exterior concrete or other rough surfaces; criteria for work under this
grant shall be at least as stringent as these standards.
Lead-Contaminated Soil--Bare soil on residential property that
contains lead in excess of the standard established by the EPA
Administrator, pursuant to Title IV of the Toxic Substances Control
Act. The HUD-recommended standard and interim EPA guidance is 400
g/g for high-contact play areas and 2,000 g/g in
other bare areas of the yard; criteria for work under this grant shall
be at least as stringent as these standards. Soil contaminated with
lead at levels greater than or equal to 5,000 g/g should be
abated by removal or paving.
mg--milligram; 1/1,000 of a gram; equal to about 35/1,000,000 (35
millionths) of an ounce (an ounce is equal to about 28,400 mg).
Potentially Responsible Party (PRP)--Any individual or entity
including owners, operators, transporters, or generators who may be
liable under the Comprehensive Environmental Response Compensation and
Liability Act (CERCLA) section 107(a).
Replacement--A strategy of abatement that entails the removal of
building components coated with lead-based paint (such as windows,
doors, and trim) and the installation of new components free of lead-
based paint.
Residential Dwelling--This term means either:
(1) A single-family dwelling, including attached structures, such
as porches and stoops; or
(2) A single-family dwelling unit in a structure that contains more
than one separate residential dwelling unit and in which each unit is,
or is intended to be used or occupied, in whole or in part, as the home
or residence of one or more persons.
Risk Assessment--An on-site investigation of a residential dwelling
to discover any lead-based paint hazards. Risk assessments include an
investigation of the age, history, management, maintenance of the
dwelling, and the number of children under age 6 and women of child-
bearing age who are residents; a visual assessment; limited
environmental sampling (i.e., collection of dust wipe samples, soil
samples, and deteriorated paint samples); and preparation of a report
identifying acceptable abatement and interim control strategies based
on specific conditions.
State Certification Program--(see Appendix E of this NOFA--Elements
of a State Certification Program)
Substrate--A surface on which paint, varnish, or other coating has
been applied or may be applied. Examples of substrates include wood,
plaster, metal, and drywall.
Target Housing--Any residential unit constructed before 1978,
except dwellings for the elderly or persons with disabilities (unless
any child who is less than 6 years of age resides or is expected to
reside in such housing for the elderly or persons with disabilities) or
any 0-bedroom dwelling.
Testing--The measurement of lead in painted surfaces by Federal- or
State-certified personnel using a portable X-ray fluorescence analyzer
(XRF) operated in accordance with its manufacturer's operating
instructions and its Performance Characteristics Sheet (PCS),
laboratory analysis by an accredited laboratory of paint samples, or
other method(s) approved by HUD.
Title X--The Residential Lead-Based Hazard Reduction Act of 1992
(Title X of the Housing and Community Development Act of 1992, Pub. L.
102-550, approved October 28, 1992).
Trained Worker--For lead hazard control work, a worker who has
successfully met all the requirements of a Federal or State-accredited
lead-based paint training course in a particular discipline which
meets, at a minimum, the requirements found in Appendix E of this NOFA.
g (or ug)--Micrograms. The prefix micro means 1/1,000,000
(or one-millionth); a microgram is 1/1,000,000 of a gram and 1/1,000 of
a milligram; equal to about 35/1,000,000,000 (35 billionths) of an
ounce (an ounce is equal to 28,400,000 g).
Wipe Sampling for Settled Lead-Contaminated Dust--The collection of
settled dust samples from surfaces to measure for the presence of lead.
Samples must be analyzed by an accredited laboratory. For clearance
purposes, settled dust sampling shall be performed in accordance with
the HUD Guidelines. Surfaces sampled must meet the current HUD
standards for clearance. All surfaces shall have no more than the
maximum allowable standards. (See ``Clearance Testing and
Examination.'')
XRF Analyzer--An instrument that determines lead area concentration
in painted surfaces in units of milligrams per square centimeter (mg/
cm2) using the principle of x-ray fluorescence (XRF). For
purposes of the grant program, and as used in the Guidelines, the term
XRF analyzer only refers to portable instruments manufactured to
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analyze paint, and does not refer to laboratory-grade units or portable
instruments designed to analyze soil or dust. XRF analyzers are to be
operated in accordance with their manufacturer's operating instructions
and their Performance Characteristics Sheet (PCS).
Section 3. Purpose and Description
3.1 Purpose and Authority
Hazard-control grants are to assist State and local governments in
undertaking programs for the identification and control of lead-based
paint hazards in eligible privately-owned housing units for rental
occupants and owner occupants. (Appendix D of this NOFA lists HUD-
associated housing programs that may have dwellings that meet the
definition of eligible housing.) Approximately forty-six million
dollars ($46 million) is being made available to fund approximately 12-
15 Category A grants to assist State and local governments in
undertaking lead-based paint hazard control in eligible privately-owned
housing. Previously unfunded applicants are eligible to receive grants
of $1 million to $4 million each. Existing grantees which are
applicants are eligible to receive Category A grants of $1 million to
$3 million each. A maximum of 33 percent of the funds under Category A
of this NOFA shall be available to previous Lead-Based Paint Hazard
Control grantees which meet the additional performance-based threshold
criteria set forth in this NOFA. The applications of existing grantees
shall be evaluated and scored as a separate class and will not be in
competition with previously unfunded applicants. This limitation is
imposed to build capacity in those areas where no previous grant
supported work has been done, but still retain the Department's ability
to target some funds to areas of greatest need. Approximately four
million dollars ($4 million) will be available to fund a maximum of
eight (8) Category B grants of $500,000 to $2 million each. Funds
available under Category B are intended to promote coordination between
Superfund or the brownfield initiative with the HUD Lead-Based Paint
Hazard Control Grant Program, to maximize the benefits provided under
each program, and to involve the private sector. These funds are to be
used to control lead-based paint hazards at Superfund or brownfield
sites where Superfund or brownfield dollars will be spent to control
lead-contaminated soil, and probably housing exteriors, and HUD grant
dollars will be used to control lead-based paint hazards in eligible
privately-owned housing units.
Proposals may be submitted under both categories of assistance. The
amounts constitute the total request for the duration of the project.
Grants are authorized under section 1011(a)-(f) of Title X.
The purposes of this program include:
(a) Implementation of a national strategy, as defined in Title X,
to build the infrastructure necessary to eliminate lead-based paint
hazards in all housing, as widely and expeditiously as possible;
(b) Encouragement of effective action to prevent childhood lead
poisoning by establishing a workable framework for lead-based paint
hazard identification and control;
(c) Mobilization of public and private resources, involving
cooperation among all levels of government and the private sector, to
develop the most promising, cost-effective methods for identifying and
controlling lead-based paint hazards; and
(d) To the greatest extent feasible, promoting job training,
employment, and other economic lift opportunities for low-income and
minority residents and businesses which 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).
3.2 Background
Lead is a powerful toxicant that attacks the central nervous system
and is particularly damaging to the neurological development of young
children. Pregnant women can transfer lead through the placenta to the
fetus. Lead-based paint (LBP) is one of the major sources of lead in
the environment. In addition to paint, lead may be found in dust, soil,
drinking water, food, emissions from leaded gasoline combustion, and
industrial emissions. Human exposure to lead is found by measuring
blood samples for the presence of lead.
Based upon additional analysis in 1995 of the data generated from
the national housing survey conducted for HUD (Report on the National
Survey of Lead-Based Paint in Housing, June 1995), of all occupied
housing units built before Congress banned the use of lead-based paint
in 1978, approximately 83 percent or 64.4 million housing units are
estimated to have lead-based paint somewhere on the exterior or
interior of the building. Approximately 90 percent of the dwellings
built prior to 1960 have lead-based paint. Older dwellings are more
likely to have higher concentrations of lead on painted surfaces and
greater surface area coverage. Although intact lead-based paint poses
little immediate risk to occupants, non-intact paint which is chipping,
peeling, or otherwise deteriorating may present an immediate risk to
occupants. Therefore, of particular concern are the 14.4 million
housing units that contain deteriorated lead-based paint and/or lead-
contaminated dust and the 3.3 million units that are occupied by young
children. Approximately half of these units are occupied by families
with incomes lower than the national median.
HUD has been actively engaged in a number of activities relating to
lead-based paint as a result of the Lead-Based Paint Poisoning
Prevention Act (LBPPPA), 1971, as amended, 42 U.S.C. 4801-4846. Title X
provides major initiatives and more detailed requirements for this
NOFA. (Appendix A of this NOFA identifies relevant Federal regulations
and guidelines referred to in this NOFA.)
In June 1995, HUD published Guidelines for the Evaluation and
Control of Lead-Based Paint in Housing (Guidelines) (See Appendix A of
this NOFA). These Guidelines provide detailed, comprehensive, technical
information on how to identify lead-based paint hazards in housing and
how to control such hazards safely and efficiently. These Guidelines
replace the Interim Guidelines developed in 1990.
In July 1995, the Task Force on Lead-Based Paint Hazard Reduction
and Financing, which was established pursuant to Section 1015 of Title
X, presented its final report to HUD and the Environmental Protection
Agency (EPA). The Task Force Report, entitled Putting the Pieces
Together: Controlling Lead Hazards in the Nation's Housing, (See
Appendix A of this NOFA) recommended a number of actions which are
needed to develop comprehensive, health-protective, cost-effective, and
feasible approaches to solving the most significant environmental
health hazard facing America's children. In dealing with the estimated
64.4 million housing units with lead-based paint, the Task Force, using
the Title X framework for redefining the problem, moved beyond the mere
presence of lead-based paint and focused on the conditions that can
expose a child to lead hazards--deteriorating lead-based paint, lead-
contaminated dust and bare lead-contaminated soil. The Task Force
recommendations therefore focus on addressing lead hazards in the
approximately 15 million housing units estimated to contain lead
hazards, and preventing new lead hazards in the balance of the housing
stock. Children
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with elevated blood lead levels are disproportionately located in older
and poorer neighborhoods in the nation's central cities. More than one-
third of African-American children living in large central cities have
elevated blood lead levels. This NOFA incorporates many of the
recommendations outlined in the Task Force Report.
The Environmental Protection Agency (EPA), with assistance from HUD
and the Centers for Disease Control and Prevention (CDC), operates the
National Lead Information Center which includes an automated consumer
information Hotline 1-800-LEADFYI (1-800-532-3394) and a Clearinghouse
for lead-based paint resources and assistance 1-800-424-LEAD (1-800-
424-5323).
In the Federal Register of August 29, 1996, the EPA published the
final rule pursuant to sections 402 and 404 of the Toxic Substances
Control Act (TSCA), as amended by Title X (see 40 CFR part 745 Lead;
Requirements for Lead-Based Paint Activities in Target Housing and
Child-Occupied Facilities) for training and certification requirements
for lead-based paint contractors, inspectors, risk assessors, designers
and workers; and its requirements for a model state program. Until
State Lead-Based Paint Contractor Certification and Accreditation
Programs are authorized by EPA, State programs should be at least as
protective as outlined in Appendix E of this NOFA. State Lead-Based
Paint Contractor Certification and Accreditation Programs meeting the
requirements under Appendix E of this NOFA are considered acceptable to
HUD and EPA for purposes of the grant programs announced in this NOFA.
3.2.1 Previous Lead-Based Paint Hazard Control Grant Awards
This NOFA is for a fifth round of grants. In Fiscal Years 1992,
1993, 1994, and 1996, HUD conducted competitions and approved a total
of 84 Lead-Based Paint Hazard Control grants for approximately $335
million dollars. There was no competition in FY 1995.
3.3 Allocation Amounts
(a) Amounts
Approximately $46 million will be made available for the Category A
grant program from the appropriations made for the lead-based paint
hazard reduction program in the Departments of Veterans Affairs and
Housing and Urban Development, and Independent Agencies Appropriations
Act, 1997 (Pub.L. 104-204, approved September 26, 1996) (FY 1997
Appropriations Act).
(b) Residual Funds
In the selection process, once available funds have been allocated
to meet the full requested and/or negotiated amounts of the top
eligible applicants, HUD reserves the right, in successive order, to
offer any residual amount as partial funding to the next eligible
applicant. Such applicant(s) shall have not more than 7 calendar days
to accept, or to decline and reapply in a future round, provided HUD,
in its sole judgment, is satisfied that the residual amount is
sufficient to support a viable, though reduced effort, by such
applicant(s).
(c) Goals
Because lead-based paint is a national problem, these funds are
awarded in a manner that:
Maximizes the number of housing units in which lead-hazard
control occurs;
Stimulates cost-effective State and local approaches that
can be replicated in as many settings as possible;
Disperses the grants as widely as possible across the
nation;
Builds local capacity; and
Affirmatively furthers fair housing and environmental
justice.
HUD expects to award approximately 12-15 Category A grants of $1
million to $4 million each on a cost-reimbursable basis.
3.4 Eligibility
Title X specifies the following eligibility requirements for grants
to identify and control lead-based paint hazards in housing:
(a) Eligible Applicants
A State or unit of local government that has a currently approved
Consolidated Plan is eligible to apply for a grant. However, applicants
are advised that in selecting grantees under this NOFA, the Secretary
or his designee is unlikely to select applicants that were previously
funded under the FY 1996 NOFA (Round Four), issued May 14, 1996 (61 FR
24408) or any applicant which has been awarded two (2) Lead-Based Paint
Hazard Control Grants. As stated previously, approximately forty-six
million dollars ($46 million) is being made available to fund
approximately 12-15 Category A grants to assist State and local
governments in undertaking lead-based paint hazard control in eligible
privately-owned housing. Previously unfunded applicants are eligible to
receive grants of $1 million to $4 million each. Existing grantees
which are applicants are eligible to receive Category A grants of $1
million to $3 million each. A maximum of 33 percent of the funds under
Category A of this NOFA shall be available to previous Lead-Based Paint
Hazard Control grantees which meet the additional performance-based
threshold criteria set forth in this NOFA. The applications of existing
grantees shall be evaluated and scored as a separate class and will not
be in competition with previously unfunded applicants. This selection
decision will be pursuant to the Secretary's authority to ensure
geographic distribution and to ensure that available funds are used
effectively to promote the purposes of Title X. (See Section 4.3,
Rating Factors, for additional discussion of this consideration for
selection.)
(b) Certified Performers
Funds shall be available only for projects conducted by
contractors, risk assessors, inspectors, workers and others engaged in
lead-based paint activities who meet the requirements of a State Lead-
Based Paint Contractor Certification and Accreditation Program that is
at least as protective as the Federal certification program standards
outlined in Appendix E to this NOFA or which meets the requirements of
a State program authorized by EPA under the requirements of Section 404
of the Toxic Substances Control Act (TSCA).
(c) Eligible Activities
The following direct and support activities are eligible under this
grant program: (HUD encourages local innovation in performing work
under this grant.) HUD reserves the right, in negotiating the grant
agreement, to delete budget items that, in its judgment, are not
necessary for the direct support of program purposes, and to request
the grantee to redirect the deleted sums to other acceptable purposes,
or to make a corresponding reduction in the grant award.
(1) Direct Project Elements (whether activities of the grantee or
sub-grantees or other sub-recipients):
Performing risk assessments, inspections and testing of
eligible housing constructed prior to 1978 to determine the presence of
lead-based paint, lead dust, or leaded soil through the use of
acceptable testing procedures.
Conducting Lead Hazard Control which may include any
combination of the following:
Interim control of lead-based paint hazards in housing;
Hazard abatement for programs that apply a differentiated
set of resources to each unit, dependent upon conditions of the unit
and the extent of hazards; and
[[Page 30385]]
Complete abatement of lead-based paint and lead-based
paint hazards, including soil and dust, by means of removal, enclosure,
encapsulation, or replacement methods.
Carrying out temporary 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.
Conducting pre-hazard control blood lead testing of
children under the age of six residing in units undergoing risk
assessment, inspection or hazard control.
Performing blood lead testing and air sampling to protect
the health of the hazard-control workers, supervisors, and contractors.
Undertaking minimal housing rehabilitation activities
under this program that are specifically required to carry out
effective hazard control, and without which, the hazard control could
not be effected. Grant funds from this program may also be used for the
lead-based paint hazard-control component in conjunction with other
housing rehabilitation programs.
Conducting pre and post-hazard control dust-wipe testing
and analysis.
Carrying out engineering and architectural costs that are
necessary to, and in direct support of, lead hazard control.
Providing training to low-income persons for the purposes
of lead-based paint worker or contractor certification and/or
licensing.
Conducting general or targeted community awareness or
education programs on lead hazard control and lead poisoning
prevention. This activity would include educating owners of rental
properties to the provisions of the Fair Housing Act. It would also
include making all materials available in alternative formats for
persons with disabilities (e.g.; braille, audio, large type), upon
request.
Securing liability insurance for lead-hazard control
activities.
Supporting data collection, analysis, and evaluation of
grant program activities. This direct project activity includes
compiling and delivering such data as may be required by HUD. For
estimating purposes, an applicant should consider devoting 3 percent of
the total grant sum for this purpose. (This 3 percent does not include
the blood lead and environmental testing costs.) Note that this
activity is not included in administrative costs, for which there is a
separate 10 percent limit.
Preparing a final report at the conclusion of grant
activities.
(2) Support Elements:
Administrative costs of the grantee (maximum of 10
percent; (see Appendix B of this NOFA for definition)).
Program planning and management costs of sub-grantees and
other sub-recipients.
(d) Ineligible Activities
Grant funds shall not be used:
(1) To purchase real property.
(2) To purchase capital equipment having a per unit cost in excess
of $5,000, except for XRF analyzers. If purchased, capital equipment
and the XRF analyzers shall remain the property of the grantee at the
conclusion of the project. Funds may be used, however, to lease
equipment specifically for the Lead-Based Paint Hazard Control Grant
Program. If leased equipment, other than XRF analyzers, becomes the
property of the grantee as the result of a lease arrangement, the
leased equipment becomes the property of the grantee at the end of the
grant period; and
(3) For 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.
3.5 Limitations on the Use of Assistance
(a) Pursuant to the Coastal Barrier Resources Act (16 U.S.C. 3501),
grant funds may not be used for properties located in the Coastal
Barrier Resources System.
(b) Under the Flood Disaster Protection Act of 1973 (42 U.S.C.
4001-4128), grant funds may not be used for construction,
reconstruction, repair or improvement or lead-based paint hazard
control of a building or mobile home which 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)). Applicants are responsible for assuring that flood
insurance is obtained and maintained for the appropriate amount and
term.
(c) The National Historic Preservation Act of 1966 (16 U.S.C. 470)
(NHPA) and the regulations at 36 CFR part 800 apply to the lead-based
paint hazard control activities that are undertaken pursuant to this
NOFA. 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
NOFA. (See Section 3.6, Environmental Review and Section 10, Findings
and Certifications, in this NOFA.)
(d) The applicant/grantee, subgrantee, or other subrecipient shall
comply with the requirements of the Uniform Relocation Assistance and
Real Property Acquisition Policies Act of 1970 (URA) (42 U.S.C. 4601-
4655). These policies are described in HUD Handbook 1378, Tenant
Assistance, Relocation and Real Property Acquisition. No displacement
(a permanent, involuntary move) is anticipated. However, to preclude
avoidable claims for relocation assistance, all occupants (owner and
tenants) shall, as soon as feasible, be notified in writing that they
will not be displaced by the lead-based paint hazard-control program.
In most cases, tenants and owner-occupants will be required to relocate
temporarily to permit lead-based paint hazard-control activities to be
carried out. All conditions of the temporary relocation must be
reasonable. The policy regarding temporary relocation costs for owner-
occupants who elect to participate in hazard-control is a matter of
grantee discretion. However, the policy on paying for such costs should
be in writing and administered consistently in all cases. With respect
to tenants who will be required to relocate temporarily, at a minimum
the tenant shall be provided:
(1) Reimbursement for all reasonable out-of-pocket expenses
incurred in connection with the temporary relocation, including the
cost of moving to and from the temporarily occupied housing and any
increase in monthly rent/utility costs at that housing; and
(2) Appropriate advisory services, including reasonable advance
written notice of the date and approximate duration of the temporary
relocation; the address of the suitable, decent, safe, and sanitary
dwelling to be made available for the temporary period; the
reimbursement provisions of paragraph (e) of this section; and
information on a resident's rights under the Fair Housing Act.
(e) Abatement waste disposal will be handled according to the
requirements of the appropriate State or Federal regulatory agency.
(See HUD Guidelines
[[Page 30386]]
for the disposal of hazard control waste that contains lead-based paint
but is not classified as hazardous.)
(f) The applicant shall 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) (See Appendix A
of this NOFA), or the State or local occupational safety and health
regulations, whichever are most stringent. If other OSHA requirements
published prior to the start of actual abatement included as part of
lead hazard control work at any individual project site are more
stringent than the Guidelines, those more stringent OSHA standards
shall govern.
(g) Lead hazard control methods that will not be allowed are: open-
flame burning, dry scraping (except immediately around electrical
circuits and plumbing fixtures), uncontrolled abrasive blasting,
machine sanding without HEPA attachments or use of chemicals containing
methylene chloride. The applicant is cautioned that methods that
generate high levels of lead dust, such as abrasive sanding, shall be
undertaken only with requisite worker protection, containment of dust
and debris, suitable clean-up, and clearance.
3.6 Environmental Review
In accordance with the Multifamily Housing Property Disposition
Reform Act of 1994, HUD regulations in 24 CFR part 58 provide that
recipients of lead-based paint hazard control grants will assume
Federal environmental review responsibilities. Recipients of a grant
under this NOFA will be given guidance in carrying out these
responsibilities.
3.7 Objectives and Requirements
(a) Generally
Grantees will be afforded considerable latitude in designing and
implementing the methods of lead-based paint hazard control to be
employed in their jurisdictions. 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 residents, and that
demonstrate replicable techniques that are cost-effective and
efficient. Flexibility will be allowed within the parameters
established below. It is critical that written policies and procedures
for all phases of lead hazard control, including risk assessment,
inspection, pre-hazard control blood lead testing, financing,
relocation and clearance testing be clearly established in writing and
adhered to by all applicants, subcontractors, sub-grantees, sub-
recipients, and their contractors. The Department has found that the
establishment of written procedures clearly assigning duties to
participating agencies and individuals helps to protect children,
families, and workers during lead hazard control work.
Proposed methods requiring a variance from the standards or
procedures cited below will be considered on their merits in a separate
HUD review and approval process after the grant award is made and a
specific justification has been presented. When such a request is made,
either in the application or during the planning phase, HUD intends to
consult with experts from both the public and private sector as part of
its final determinations and will document its findings in an
environmental impact assessment. Approval of any proposed modifications
will not involve a lowering of standards that would have a potential to
adversely affect the health of residents, contractors or workers, or
the quality of the environment.
(b) Data Collection
Grantees will be required to collect the data necessary to document
the various lead hazard control methods employed in order to determine
the relative cost and effectiveness of these methods in reducing or
eliminating lead-based paint hazards. Pre- and post-lead hazard control
environmental dust-wipe sampling and laboratory analysis is a
requirement.
(c) Lead Hazard Control Testing--Schedule
In developing the application cost proposal, applicants shall
include costs for the pre- and post hazard control testing for each
dwelling that will undergo either a lead-based paint risk assessment
and/or inspection and hazard control according to HUD Guidelines, as
follows:
(1) XRF on-site (or supplementary laboratory) testing: Conducted
according to HUD Guidelines. Pretest every room or area in each
dwelling unit planned for hazard control, using each XRF analyzer in
accordance with its manufacturer's operating instructions and its
Performance Characteristics Sheet (PCS);
(2) Blood lead testing: Before lead hazard control work begins, the
testing of each occupant who is a child under six years old according
to the recommendations contained in Preventing Lead Poisoning in Young
Children, 1991 Centers for Disease Control and Prevention (CDC). (See
Appendix A of this NOFA.)
(3) Dust testing: Conducted according to the HUD Guidelines.
(A) Pretest before lead hazard control work begins;
(B) Clearance testing before reoccupying a unit or area; and
(C) Test at 12-months after the unit is reoccupied.
(d) Testing
(1) Generally. All testing and sampling shall conform to the HUD
Guidelines. Note that it is particularly important to provide this full
cycle of testing for hazard control, including interim controls, even
though the testing itself may become a substantial part of the cost per
unit.
(2) Required Thresholds for Hazard Control. While the Department's
Guidelines (see Appendix A of this NOFA) employ two hazard-control
thresholds, one milligram per square centimeter (1.0 mg/cm2)
or 0.5 percent by weight, applicants may utilize other thresholds,
provided that the alternative threshold is justified adequately and is
accepted by HUD. The justification must state why the applicant
believes the proposed threshold will provide satisfactory health
protection for occupants, and must discuss cost savings and benefits
expected to result from using the proposed approach.
(3) Surfaces which require lead hazard control. HUD's Guidelines
identify hazards considered to be of greatest immediate concern to
young children and which require hazard control to be undertaken.
Children are most frequently exposed to the following hazards: Lead-
contaminated dust, deteriorated lead-based paint; and bare, accessible
lead contaminated soil. Friction, chewable, and impact surfaces with
intact lead-based paint are also of concern, but do not necessarily
need to be treated, depending on dust testing results. Friction
surfaces are subject to abrasion and may generate lead-contaminated
dust in the dwelling; chewable surfaces are protruding surfaces that
are easily chewed on by young children; and impact surfaces may become
deteriorated through forceful contact. The applicant may choose to
treat fewer surfaces or apply other hazard control techniques, provided
that an adequate rationale, including periodic monitoring, is presented
to and accepted by HUD. The rationale must state why the applicant
believes the proposed approach will provide satisfactory health
protection for occupants and at the same time, provide cost savings or
other benefits.
[[Page 30387]]
(4) Grantees shall be required to meet the post-hazard control
wipe-test clearance thresholds contained in the HUD Guidelines (See
Appendix A of this NOFA). Wipe tests shall be conducted by a certified
inspector who is independent of the lead hazard control contractor.
Dust-wipe and soil samples, and any paint samples to be analyzed by a
laboratory, must be analyzed by a laboratory accredited to perform
those analyses (see Definitions). Units shall not be reoccupied until
clearance levels are achieved.
Section 4. Grant Application Process for Category A
4.1 Submitting Applications for Grants
To be considered for Category A funding, an original and two copies
of the application must be physically received in the Office of Lead
Hazard Control, Department of Housing and Urban Development, Room B-
133, 451 Seventh Street, S.W., Washington, D.C. 20410, no later than
3:00 P.M. (Eastern Time) on August 5, 1997. Electronic (FAX or
equivalent) transmittal of the application is not an acceptable
transmittal mode.
Separate proposals may be submitted by a jurisdiction for each
category of assistance.
For Category A, the application must have clearly numbered pages, a
complete table of contents and a limited number of appendices. The
applicant narrative response to the Rating Factors is limited to a
maximum of 25 pages. Responses must be typewritten on one (1) side only
on 8\1/2\'' x 11'' paper using a 12 point font.
The above-stated application deadline is firm as to date and hour.
In the interest of fairness to all competing applicants, the Department
will treat as ineligible for consideration any application that is
received after the deadline. Applicants should take this factor into
account and make early submission of their materials to avoid any risk
of loss of eligibility brought about by unanticipated delays, equipment
breakdown, or delivery-related problems.
HUD will review each application to determine whether it meets all
of the threshold criteria established for Category A under Section 4.2
of this NOFA. Nonresponsive applications will be declared ineligible
for further consideration. Applications that meet all of the threshold
criteria will be eligible to be scored and ranked, based on the total
number of points allocated for each of the rating factors for Category
A in Section 4.3 of this NOFA.
HUD intends to fund the highest ranked applications within the
limits of funding availability, but reserves the right to advance other
eligible applicants in funding rank, if necessary, to assure geographic
diversity, to promote the purposes of Title X, to broaden the range of
hazard control alternatives to be tested, or to enhance data
reliability.
4.2 Threshold Requirements for Category A Grants
(a) Purpose
The application must be for funds to identify and control lead
hazards in eligible housing (see Appendix D of this NOFA for program-
by-program listing of eligible HUD-associated housing programs).
(b) Eligible Applicants
An applicant must be a State or unit of local government that has a
currently approved Consolidated Plan. Applicants under this NOFA are
permitted to submit documentation that HUD approved their current
program year Consolidated Plan. Applicants are to submit, as an
appendix, a copy of the lead-based paint element included in the
approved Consolidated Plan. Applicants that do not have a currently
approved Consolidated Plan, but are otherwise eligible for this grant
program, must include their abbreviated Consolidated Plan which
includes a lead-based paint hazard control strategy developed and
submitted in accordance with 24 CFR 91.235. Applicants with outstanding
findings of civil rights violations are not eligible for funding.
(c) Matching Contribution
Each applicant shall provide a matching contribution of at least 10
percent of the requested grant sum. This may be in the form of a cash
or in-kind contribution or a combination of both.
(d) Contractor Certification Program Requirement
Each applicant must carry out its hazard control program under an
operational State program established pursuant to lead-based paint
contractor certification and accreditation legislation that is at least
as protective as the training and certification program requirements
cited in Appendix E of this NOFA. Applicants should indicate which of
the following situations, (1) or (2), applies with respect to
contractor certification.
(1) A State applicant shall furnish copies of the existing
statutes, regulations or other appropriate documentation regarding the
State's Lead-Based Paint Contractor Certification and Accreditation
Program which meet the standards set forth in paragraph (d) above.
(2) Other applicants may be approved for a conditional grant with
funding subject to the following provisions:
(A) A State applicant which has existing legislation acceptable to
HUD, but which has not implemented an acceptable lead-based paint
contractor certification program, shall furnish at the time of the
application, written assurances from the Governor that an acceptable
certification program will be implemented within 1 year from the date
of the application deadline date and that the designated agency
implementing the certification program shall offer training sessions
for contractors leading to certification within six (6) months of the
effective date of implementing regulations. If legislative approval of
proposed regulations is also required, a similar written assurance must
be provided by the chairs of committees having jurisdiction.
With the exception of costs incurred for planning purposes, HUD
will not release any funds for the lead hazard control phase of the
grant program until the State has implemented an acceptable lead-based
paint contractor certification and accreditation program and has
submitted and secured HUD approval of the grantee Request for Release
of Funds (HUD Form 7015.15) which certifies that the grantee has
fulfilled the environmental review requirements of the grant.
(B) Local government applicants in States which have not
implemented an acceptable contractor certification program must provide
assurances that only certified contractors and trained workers from
other State certification programs acceptable to HUD will be used in
conducting lead hazard control work.
Applicants are advised that if the commitment to implement a
certification/training program or use certified contractors is not
fulfilled within the stated time, the conditional grant agreement may
be immediately terminated.
(e) 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 the statute (see Appendix C of this NOFA).
Grantees are encouraged to maintain a listing of units in which lead
hazards have been controlled for distribution and marketing to agencies
[[Page 30388]]
and families as suitable housing for children under six.
(f) Cooperation With Related Research and Evaluation
Applicants shall cooperate fully with any research or evaluation
sponsored by HUD and associated with this grant program, including
preservation of the data and records of the project and compiling
requested information in formats provided by the researchers,
evaluators or HUD. This cooperation may also include the compiling of
certain relevant local demographic, dwelling unit, and participant data
not contemplated in the applicant's original proposal. Participant data
shall be subject to Privacy Act protection. For estimating purposes, an
applicant shall devote three percent of the total grant sum for data
collection and evaluation purposes, as discussed in Section 3.4,
Eligibility, of this NOFA.
4.3 Rating Factors
HUD will use the following technical and financial criteria to rate
and rank applications received in response to Category A of this NOFA.
The Request for Grant Applications (RFGA) will provide guidance in
responding to all the Rating Factors. The technical quality of an
application will be rated, and then the strength, quality, and
completeness of the financial and resources plan will be used to assess
the likelihood that the technical plan can be carried out using the
available resources. The maximum score possible under the rating
factors is 110 points for previously unfunded applicants and 125 points
for applicants which are existing grantees. (Applicants which are
existing Lead-Based Paint Hazard Control grantees are eligible to
receive a maximum of 15 additional points for performance related to
implementing their most recent grant award.) The applications of
existing grantees shall be evaluated and scored as a separate class and
will not be in competition with previously unfunded applicants.
Applicants are advised, however, that in selecting grantees under
this NOFA, the Secretary or his designee is unlikely to select
applicants who were previously funded under the FY 1996 NOFA (Round
Four) issued May 14, 1996 (61 FR 24408), or any applicant which has
been awarded two (2) Lead-Based Paint Hazard Control Grants). As stated
previously, approximately forty-six million dollars ($46 million) is
being made available to fund approximately 12-15 Category A grants to
assist State and local governments in undertaking lead-based paint
hazard control in eligible privately-owned housing. Previously unfunded
applicants are eligible to receive grants of $1 million to $4 million
each. Existing grantees which are applicants are eligible to receive
Category A grants of $1 million to $3 million each. A maximum of 33
percent of the funds under Category A of this NOFA shall be available
to existing Lead-Based Paint Hazard Control grantees which meet the
additional performance-based threshold criteria set forth in this NOFA.
This selection prerogative will be exercised under the Secretary's
authority to ensure that available funds are used effectively and to
promote the purposes of Title X. See section 1011(d)(5) of Title X (42
U.S.C. 4852(d)(5)).
(a) Need (10 Points)
The scope and magnitude of the applicant's current lead-based paint
problem for which grant program funds can be expected to have an
impact. The applicant should document its unmet need for assistance.
Examples should be the number and proportion of children with elevated
blood lead levels; the number and proportion of housing units with
deteriorating interior or exterior lead-based paint, lead-contaminated
dust or bare lead-contaminated soil.
It is desirable for the applicant to include:
(1) The age and condition of housing;
(2) The number and percentage of low income families whose incomes
do not exceed 80 percent of the median income for the area as
determined by HUD, with adjustments for smaller and larger families;
(3) The number and proportion of children at risk of lead
poisoning; and
(4) Other socioeconomic or environmental factors that document a
need to establish or continue lead hazard control work in the
applicant's jurisdiction.
(These data may be available in the applicant jurisdiction's currently
approved Consolidated Plan, or derived from 1990 Census Data)
(b) Work Plan and Budget (50 Points)
The quality and cost-effectiveness of the applicant's proposed
lead-based paint hazard control program. The work plan and budget
should include the following elements:
(1) Program Management (10 points)--A description of the way in
which the project will be carried out during the period of performance
(up to 36 months), including the participation of sub-grantees,
contractors, sub-recipients, and others assisting in implementing the
project. Specific time phased and measurable objectives should be
identified and described for carrying out the program plan. Existing
grantees must provide an assurance that the lead hazard control
activities proposed in the application will commence concurrently with
lead hazard control work being conducted with previously awarded HUD
lead-based paint grant funds. A detailed description of how this will
be accomplished shall be provided.
(2) Lead Hazard Control Strategy (35 points)--
The total number of owner occupied and rental units in
which lead hazard control interventions will be undertaken.
The degree to which the work plan focuses on eligible
privately-owned housing units with children under the age of 6 years.
Description of the planned approach to control lead hazards before
children are poisoned and/or to control lead hazards in units where
children have already been identified with an elevated blood lead
level, including the referral of children with elevated blood lead
levels for medical case management.
The degree to which lead hazard control work will be done
in conjunction with other housing rehabilitation, weatherization, code
violation or other work.
A description of the applicant's previous experience in
reducing or eliminating lead-based paint hazards in conjunction with
other Federal, State or locally funded programs.
The process for the selection, prioritization, risk
assessment and/or inspection, and enrollment of units of eligible
privately-owned housing in which lead hazard control will be
undertaken. (Housing having a risk assessment or inspection performed
in accordance with the HUD Guidelines within 12 months of a grant award
and identified with lead-based paint may be included in the already
inspected inventory.)
The testing methods, schedule, and costs for performing
blood lead testing, risk assessments and/or inspections. (Identify the
lead-based paint threshold for undertaking lead hazard control--e.g.
0.5 percent, 1.0 mg/cm 2 or other threshold established by
statute, regulation or local ordinance.)
The lead hazard control methods to be undertaken and the
number of units to be treated for each method selected (Interim
Controls, hazard abatement, and complete abatement). Provide an
estimate of the per unit costs for each method planned in conducting
lead hazard control and the time frames projected to initiate and
complete lead hazard control work in units selected. Efforts to
incorporate cost-effective
[[Page 30389]]
recommendations of the HUD Task Force Report: Putting the Pieces
Together: Controlling Lead Hazards in the Nation's Housing (see
Appendix A of this NOFA) should be included.
A description of the financing mechanism, including
eligibility criteria, terms, conditions and amounts available, to be
employed in carrying out lead hazard control activities and the way in
which these funds will be administered (e.g. use of grants, deferred
loans, forgivable loans, other resources, private sector financing,
etc.).
The applicant's plan for the temporary relocation of
occupants of units selected for lead hazard control work. (Use of safe
houses and other housing arrangements, storage of household goods,
stipends, incentives, etc.)
Proposed community awareness, education and outreach
programs in support of the applicant's work plan and objectives.
General and/or targeted efforts undertaken to assist the program in
reducing lead poisoning. To the extent possible, programs should be
culturally sensitive, developmentally appropriate, and linguistically
specific.
Existing grantees must provide a complete description of their
progress and accomplishments related to implementing their original or
amended lead hazard control strategy under their most recent grant
award. If the strategy and/or methods proposed in this application
differ from the applicant's existing grant, a description of the basis
for this modified strategy should be included.
(3) Program Evaluation and/or Data Collection (5 points)--The
applicant must identify the specific methods to be used, in addition to
using HUD reporting or data collection forms, to measure progress and
evaluate the program's effectiveness. The applicant should describe how
the information will be obtained, documented and reported.
(4) Budget (Not Scored)--The applicant's proposed budget (for the
maximum 36 month period of performance) will be evaluated for the
extent to which it is reasonable, clearly justified, and consistent
with the intended use of grant funds. HUD is not required to approve or
fund all proposed activities. Applicants may devote up to 24 months for
the planning and completion of lead hazard control activities and up to
an additional 12 months for post-hazard control testing.
All budget categories and costs (Part B of Standard Form
424A) and major tasks should be thoroughly documented and justified.
Describe in detail the budgeted costs for each program element included
in the overall plan (administrative costs, program management, lead
hazard control strategy, community awareness, education and outreach,
and program evaluation and data collection).
(c) Community and Private Sector Participation--[Place-Based Factor]
(20 Points)
For this rating factor, the Secretary's Representative will review
and score all eligible applications received from their designated
State and local jurisdictions. The extent to which the applicant has
enlisted the broad participation of neighborhood, community,
governmental and nongovernmental organizations and the private sector
(for-profit and not-for-profit entities) in the hazard control program
through specific commitments of time, effort, and resources. In
implementing a lead-based paint hazard control program, substantial
efforts must be made to collaborate and coordinate activities with
other housing, health and environmental agencies and organizations in
the applicant's jurisdiction. Such efforts might include: the formation
of broad-based lead task forces; expansion of public and private
cooperation and coordination of lead hazard control program services
with other revitalization efforts such as Federally designated Urban or
Rural Empowerment Zones, Enterprise Communities, or Supplemental
Empowerment Zones, and, implementation of programmatic responses to
environmental justice issues. (10 points)
To the greatest extent feasible, the applicant should promote job
training, employment, and other economic lift opportunities for target
area low-income residents and businesses in the hazard control program.
(10 points)
Evidence of commitments should include organization names, their
proposed levels of effort, resources and responsibilities of these
participants, including clearly proposed plans for the employment of
low-income residents. The absence of firm commitments, memoranda of
understanding or agreements, and letters of participation and/or a
discussion of levels of effort and responsibility will result in a
reduced rating under this factor.
Existing grantees must provide a detailed description of their
progress and accomplishments related to their efforts to enlist broad-
based support and participation of the community and private sector as
well as any plans to expand or enhance their efforts under this NOFA.
(d) Applicant Capacity and Commitment to Hazard Control. (15 Points for
Previously Unfunded Applicants; 30 Points for Existing Grantees)
(The applications of existing grantees shall be evaluated and
scored as a separate class and will not be in competition with
previously unfunded applicants)--The capacity of the applicant to
initiate and carry out the lead-based paint testing and hazard-control
program successfully within the period of performance established. An
existing grantee applicant must provide a description of its progress
and achievements in implementing its most recent grant award within the
period of performance. Existing grantee applicants must describe their
plans to concurrently implement lead hazard control activities under
this NOFA with work already undertaken with their most recent grant
award.
Describe the applicant's administrative organization,
including staff who will be responsible for carrying out the
responsibilities of the program. (As an appendix, the applicant should
include a clearly identified organizational chart, as well as resumes,
position descriptions, and vacancy announcements, including salaries of
key personnel identified to carry out the requirements of this grant
program.) Indicate for key personnel, the percentage of time to be
devoted to the project and any portion of salary to be paid by the
grant. A full-time day-to-day program manager is recommended. Describe
how other principal components of the applicant agency or other
organizations will participate in or otherwise support the grant
program. (5 points)
Describe the knowledge and experience of the overall
proposed 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 percentage of time devoted to the project as well as the
knowledge and experience of the project director and day-to-day program
manager are significant factors to be considered. (3 points)
The institutional capacity of the applicant, as
demonstrated by prior experience in initiating and implementing lead
hazard control efforts and/or related environmental, health, or housing
projects should be thoroughly described. The applicant should indicate
how this prior experience will be used in carrying out
[[Page 30390]]
its planned comprehensive Lead-Based Paint Hazard Control Grant
Program. (5 points)
At a minimum, the applicant shall provide a matching
contribution of at least 10 percent of the requested grant sum. That
contribution may be in cash, in-kind or a combination of both. In-kind
contributions shall be given a monetary value. Community Development
Block Grant funds are the only Federal funds which may be considered
part of the 10 percent matching contribution and only when they are
specifically dedicated as an integral part of the project (e.g. CDBG
rehabilitation funds used in conjunction with lead hazard control work
in units). Other resources committed to the program that exceed the
minimum required 10 percent match will provide points for this rating
factor. Each source of contributions, cash or in-kind, both for the
required minimum and additional amounts, shall be supported by a letter
of commitment from the contributing entity, whether a public or private
source, which shall describe the contributed resources that will be
used in the program. Staff in-kind contributions should be given a
monetary value as discussed above. The absence of letters providing
specific details and amount of the actual contributions will result in
those contributions not being counted. (2 points)
Performance-Based Criteria for Existing Grantees Only.
Applicants are advised that in selecting grantees under this NOFA,
the Secretary or his designee is unlikely to select applicants which
were previously funded under the FY 96 NOFA (Round Four) issued May 14,
1996 (61 FR 24408), or any applicant which has two (2) Lead-Based Paint
Hazard Control Grants. This selection decision is pursuant to the
Secretary's authority to ensure geographic distribution and to ensure
that funds available under this NOFA are used effectively to promote
the purposes of Title X and to target funds to areas of greatest need.
Grantees which have demonstrated measurable progress in the
implementation of their most recent grant award as measured by
expenditures and/or units completed or in-progress will receive more
favorable consideration under this factor for award relative to other
existing grantees applying under this NOFA. Progress will be judged
from the effective starting date of the applicant's most recent lead-
based paint hazard control grant award. (15 points)
(e) Actions Affirmatively Furthering Fair Housing in Department
Programs (10 Points)
Extent to which proposal affirmatively furthers fair housing and
environmental justice for all persons regardless of race, color,
national origin, religion, sex, disability (including children with
EBL), or familial status (size of family and number of children).
Special consideration will be given to particularly innovative
strategies and those designed to remedy the effects of identified past
discrimination. Applicants with existing grants should discuss
outstanding current activity on the factors specified below. Proposals
which receive the full ten points will have addressed, in depth, the
following issues:
(1) Outreach strategies and methodologies to provide lead hazard-
free housing to all segments of the population: homeowners, owners of
rental properties, and tenants; especially for occupants least likely
to receive its benefits. Once the population to which outreach will be
``targeted'' is identified, (e.g.; homeowners who are racial minorities
living in minority-concentrated areas or owners of properties with
under-served tenants such as minority renters with large families
containing young children), outreach strategies directed specifically
to them should be multifaceted. This criterion goes beyond testing and
hazard control; it concerns what happens to the units after the lead
hazard control and tries to ensure that all families will have
adequate, lead hazard-safe housing.
(2) Demonstrate how the funding would be used in conjunction with
the State or local government's Fair Housing Planning strategy to
overcome any identified impediment to fair housing choice, which
pertains to lead-based paint, and how experience with this program will
be used to update these documents. Specific impediments, plans for
correcting the identified impediments, and planned updates to the
analysis of impediments should be described.
(f) Lead-Hazard Control Integration (5 Points)
A description and/or specific plan of how the applicant will
integrate lead hazard control activities with other housing, health,
and environmental programs after the grant is completed. Applicants
should review the Lead-Based Paint Hazard Reduction and Financing Task
Force Report: Putting the Pieces Together: Controlling Lead Hazards in
the Nation's Housing (See NOFA, Appendix A). Lead hazard control
integration plans may include: (1) Incorporating lead-based paint
maintenance and hazard control standards into housing codes and health
regulations; (2) incorporating lead-based paint hazard control with
other housing rehabilitation or code violation activities; (3) the use
of public subsidies or other resources; (4) developing public-private
lending partnerships to finance lead hazard control as part of
acquisition and rehabilitation financing; (5) the use of revolving loan
funds to finance future lead hazard control activities; and (6) the
development and maintenance of a registry of lead-safe units with valid
documentation of compliance with standards of lead hazard control and
the process by which children, particularly those under age 6, are
matched to lead-safe units.
Existing grantees must provide a description of the efforts they
have undertaken to integrate lead hazard control activities beyond the
duration of their currently funded program and how they plan on
continuing and enhancing such efforts in the future.
Section 5. Checklist of Application Submission Requirements--
Category A
5.1 Applicant Data
Applicants must complete and submit applications in accordance with
the format and instructions contained in the application kit. The
following is a checklist of the application contents that will be
specified in the application kit:
(a) The name, mailing address, telephone number, and principal
contact person of the applicant. If the applicant has consortium
associates, sub-grantees, partners, major subcontractors, joint venture
participants, or others contributing resources to the project, similar
information shall also be provided for each of them.
(b) For State applicants, copies of existing statutes, regulations
or other appropriate documentation regarding the State's Lead-Based
Paint Contractor Certification and Accreditation Program. A State
applicant which has existing legislation acceptable to HUD, but which
has not implemented an acceptable lead-based paint contractor
certification program, shall furnish assurances from the Governor that
an acceptable certification program will be implemented within 1 year
from the date of the application deadline date and that the designated
agency implementing the certification program shall offer training
sessions leading to certification within 6 months of the effective date
of implementing
[[Page 30391]]
regulations. If legislative approval of proposed regulations is also
required, a similar assurance must be provided by the chairs of
committees having jurisdiction. Local government applicants in States
which have not implemented an acceptable contractor certification
program must provide assurances that only certified contractors and
trained workers from State certification programs acceptable to HUD
will be used in conducting lead hazard control work. (See Section
4.2(d) of this NOFA regarding this requirement.)
(c) Evidence of the applicant's commitment and experience in
eliminating or reducing significant lead-based paint hazards in
privately-owned eligible housing as detailed in the applicant's work
plan for lead-based paint hazard control (See Rating Factor, Work Plan
and Budget, in Section 4.3 of this NOFA).
(d) A detailed description of the funding mechanism, selection
process, and other proposed activities that the applicant plans to use
to assist any sub-grantees or sub-recipients under this grant.
(e) A detailed total budget with supporting cost justification for
all budget categories of the Federal grant request. There shall be a
separate estimate for the overall grant management element,
``Administrative Costs,'' which are 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 (See Section 3.4 (c) Eligible Activities of this NOFA).
(f) Certification assuring that the applicant will conduct lead
hazard control activities safely and effectively.
(g) An itemized breakout of the applicant's required matching
contribution, including values placed on donated in-kind services;
letters or other evidence of commitment from donors; and the amounts
and sources of contributed resources.
(h) Memoranda of Understanding or Agreement, letters of commitment
or other documentation describing the proposed roles of agencies, local
broad-based task forces, participating community or neighborhood-based
groups or organizations, local businesses, and others working with the
program.
(i) Completed Forms HUD-2880, Applicant/Recipient Disclosure/Update
Report, and SF-LLL, Disclosure of Lobbying Activities, where applicable
(See Section 10. Findings and Certifications in this NOFA).
(j) Standard Forms SF-424, 424A, 424B, and other certifications and
assurances listed in section 5.3 of this NOFA.
(k) A copy of the applicant's approval notification for the current
program year for its Consolidated Plan. A copy of the applicant's lead
hazard control element included in the current program year
Consolidated Plan.
5.2 Proposed Activities
(a) Affected Housing and Population To Be Served
The applicant shall describe the size and general characteristics
of the target housing within its jurisdiction, including a description
of the housing's location, condition, and occupants, and a current
estimate of the number of children under the age of six in these units.
Other characteristics described in Section 4.3 Rating Factor (a)--
``Need'' should be provided. If specific area(s) (neighborhoods, census
tracts, etc.) within an applicant's jurisdiction are specifically
targeted for lead hazard control activities, the applicant shall
describe these same characteristics for the area. Maps may be included
as an appendix.
To the extent practical, preference shall be given to occupied
eligible housing units with children under the age of 6. Vacant housing
that subsequently will be occupied by low-income renters or owners
should also be included in this description. In addition, as a measure
of its ongoing commitment to lead-based paint programs, the applicant
shall provide information on the magnitude and extent of the childhood
lead poisoning problem within its jurisdiction and for any area(s) to
be included in the lead hazard control program. Current efforts
undertaken to provide health care services for children with elevated
blood lead levels and efforts to address lead-based paint hazards shall
be described.
(b) Discussion of Program Activities. (See Section 4.3 Rating Factors)
The applicant shall provide a discussion of the overall proposed
hazard control program, including, but not limited to, information on
the following:
Needs Assessment
Program Work Plan and Budget to include:
--Program Management;
--Lead Hazard Control Strategy:
--Number of eligible housing units, hazard control methods, blood lead
and environmental testing methods, costs, financing mechanisms,
relocation plans, and community awareness and education;
Program Evaluation and Data Collection;
Budget Request;
Community and Private Sector Participation;
Ability to Implement the Lead Hazard Control Grant Program
Methods to Affirmatively Further Fair Housing; and
Future Integration and Coordination of Lead Hazard Control
Activities With Other Programs.
5.3 Certifications and Assurances
The following certifications and assurances are to be included in
all Category A applications:
(a) Compliance with environmental laws and authorities (24 CFR part
58).
(b) Compliance with the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970. (Implementing Regulations at
49 CFR part 24; and HUD Handbook 1378, Tenant Assistance, Relocation
and Real Property Acquisition.)
(c) Compliance with Federal civil rights laws and requirements,
including the authorities cited at 24 CFR 5.105.
(d) Assurance that financial management system meets the standards
for fund control and accountability (24 CFR 85.20).
(e) Assurance that pre-hazard control, clearance, and 12 month
post-hazard control testing will be conducted by certified performers.
(f) Assurance, to the extent possible, that blood lead testing,
blood lead level test results, and medical referral and follow up are
conducted for children under six years of age occupying affected units
according to the recommendations of the Centers for Disease Control and
Prevention (CDC). (See Appendix A of this NOFA-Preventing Lead
Poisoning in Young Children, October, 1991.)
(g) Assurance that Lead-Based Paint Hazard Control Grant Program
funds will not replace existing resources dedicated to any ongoing
project.
(h) The application shall contain any other assurances that HUD
includes in the application kit under this NOFA, including
certification of compliance with the Drug-Free Workplace Act of 1988 in
accordance with the requirements set forth at 24 CFR part 24, subpart
F.
Section 6. Application Process for Category B
Section 6 Purpose and Description
6.1 Purpose and Authority
Category B provides funds for two Federal government agencies to
work
[[Page 30392]]
cooperatively to reduce lead hazards to children. This category
provides funds to control lead-based paint hazards at Superfund sites
where Superfund dollars will be spent to control lead in soil hazards
and HUD dollars will be spent to control lead-based paint hazards in
residences.
In addition, for the first time, HUD is expanding the scope of
Category B to include Brownfield sites. HUD hopes that by making funds
available for use at Brownfield sites, the Department can fulfill an
important part of its mission to provide safe, affordable housing. By
including Brownfields, the Department is continuing another successful
partnership with EPA that it began last year with the development of
Category B. This partnership has enabled State and local governments to
combine Federal programs to remedy specific problems, cutting across
traditional program boundaries. This NOFA is an example of how HUD and
EPA are working together to enable communities to determine how best to
solve specific problems in their own jurisdictions.
For purposes of this NOFA, an eligible Brownfield site is one where
the State or local government has made the Brownfield designation;
there are one or more buildings that will be converted into low-income
family residential units; the buildings to be converted are likely to
have lead-based paint hazards that must be controlled and that the
residential units will be for income eligible families.
Approximately 4 million dollars will be available in awards ranging
from five-hundred thousand dollars ($500 thousand) to 2 million dollars
($2 million) available to each grantee. The amounts are for the total,
multiyear work of a proposed project. Grants are authorized under
section 1011(a)-(f) of Title X of the Housing and Community Development
Act of 1992.
The purposes of this program include:
(a)(1) To demonstrate that Potentially Responsible Parties (PRPs),
State and local governments, and other affected parties such as low-
income residents can work together to maximize benefits both from
Superfund actions and other lead-based paint hazard control activities.
(A Potentially Responsible Party (PRP) is defined by Superfund as any
individual or entity including owners, operators, transporters or
generators who may be liable under section 107(a) of the Comprehensive
Environmental Response Compensation and Liability Act (CERCLA)).
(2) To address the difficult urban housing problems at Brownfield
sites that have been passed over for development and to demonstrate how
HUD and EPA, together with State and local governments and the private
sector can work to solve this problem.
(b) To promote job training, employment, and other economic lift
opportunities for low-income residents and businesses as defined in 24
CFR 135.5 (see 59 FR 33881, June 30, 1994, and Category A Section
3.1(d) of this NOFA).
Section 6.2 Background
This category brings together two Federal agencies, HUD and the
Environmental Protection Agency (EPA), to address housing and
environmental issues. These funds will be targeted to communities that
have received a Brownfield site designation, or within 18 months of the
application submission deadline date have undergone EPA Superfund
cleanup activity. These funds will be used primarily for interior lead-
based paint hazard control. Under this Category, HUD funds may not be
used for soil cleanup at Superfund sites but may be used for soil
cleanup at Brownfield sites.
A multiagency approach is needed to address deteriorating interior
paint, exterior paint, and contaminated soil and dust simultaneously.
HUD's lead-based paint hazard control grant program has typically been
used to control primarily lead-based paint and dust both inside and
outside homes. The HUD lead-based paint hazard control grant program
may be also be used to deal with lead in soil on an optional basis as
determined by grantees. EPA Superfund normally cleans up residential
soils that are contaminated with hazardous substances from local
Superfund sites. EPA Superfund does not generally address the problem
of deteriorating interior lead-based paint because exposures from
interior paint are generally not within the jurisdiction of the
Superfund program. Exterior lead-based paint hazard control may be
considered an eligible activity by the Superfund program.
As part of HUD's efforts towards the joint goals of environmentally
safe housing and urban redevelopment of bypassed Brownfields sites,
certain Brownfield sites will be eligible. HUD wants to encourage the
provision of privately-owned low-income housing on sites that were once
abandoned.
Category B targets: (1) Communities with Superfund sites that may
or may not have participated in previous HUD lead-based paint hazard
control grant programs; and (2) communities with eligible Brownfield
sites. In addition, States or units of local government, where
privately-owned income eligible housing exists near Federal Facilities
designated as Superfund sites, may apply for assistance under this
NOFA. This Category will create a means for communities with a
Superfund site(s) and/or Brownfield sites to address both lead-based
paint inside and outside houses as well as soil cleanup. HUD has
developed a place-based strategy that empowers local communities to
combine government programs to remedy specific problems, cutting across
traditional program boundaries. This NOFA is an example of how HUD and
EPA are working together to enable communities to determine how best to
solve specific problems in their local area.
An important product of this grant program will be to demonstrate
how to address lead-based paint abatement issues at sites with multiple
sources of lead, thereby addressing housing and environmental problems
simultaneously. HUD expects that additional experience in this area
will reduce abatement costs and offer creative strategies for overall
lead risk reduction.
Section 6.3 Allocation Amounts
(a) Amounts
Approximately $4 million will be available for the Category B grant
program from the appropriations made for the lead-based paint hazard
reduction program in the FY 1997 Appropriations Act.
(b) Residual Funds
In the selection process, once available funds have been allocated
to meet the full requested amounts of the top eligible applicants, HUD
reserves the right to offer any residual amount as partial funding to
the next eligible applicant in successive order. Any such applicant
shall have not more than 7 calendar days to accept or decline the
grant. In addition, HUD reserves the right to award only one grant,
should only one applicant be able to support a credible effort.
Section 6.4 Eligibility
Title X specifies the following eligibility requirements for grants
to identify and control lead-based paint hazards in housing:
(a) Eligible Applicants
A State or unit of local government that has a current year
approved Consolidated Plan is eligible to apply for a grant. Applicants
that do not have a currently approved CHAS or Consolidated Plan, but
are otherwise eligible for this grant program, must
[[Page 30393]]
include their abbreviated Consolidated Plan which includes a lead-based
paint hazard control strategy developed and submitted in accordance
with 24 CFR 91.235.
Under Category B, all eligible applicants compete equally,
regardless of previous awards under the HUD Lead-Based Paint Hazard
Control grant program. However, applicants are advised that in
selecting grantees under this NOFA, the Secretary or his designee is
unlikely to select applicants that were previously funded under
Category B of the FY 1996 NOFA (Round Four), issued May 14, 1996 (61 FR
24408)
(b) Certified Performers
See Category A, Section 3.4(b).
(c) Eligible Activities
See Category A, Section 3.4(c).
(d) Ineligible Activities
See Category A, Section 3.4(d).
Section 6.5 Limitations on the Use of Assistance
See Category A, Section 3.5.
Section 6.6 Environmental Review
See Category A, Section 3.6.
Section 6.7 Objectives and Requirements
See Category A, Section 3.7.
Section 7 Grant Application Process
Section 7.1 Submitting Applications for Grants
See Category A, Section 4.1.
(There are no page restrictions or format requirements for Category
B applications.)
Section 7.2 Threshold Requirements for Category B
(a) Purpose
The application must be for funds to identify and control lead
hazards in privately-owned eligible housing units at or near Superfund
sites where lead has been identified as a major contaminant or for
privately-owned eligible housing units at or near Brownfield sites.
(See Appendix D of this NOFA for program-by-program listing of eligible
HUD-associated housing programs.)
See Category A (Section 4.2(b)-(f)) for eligible applicants,
matching contribution, contractor certification program requirement,
and other threshold requirements.
(b) Status of Superfund Remediation
Jurisdictions are eligible only if remediation activity was
completed within 18 months of the application submission deadline date,
or the jurisdiction has a Record of Decision with a completion date for
the remediation work of no more than three years from the date of
application submission deadline date, or the site is undergoing
remedial action or will undergo removal action within 18 months after
the application submission deadline date.
(c) Brownfield Sites
Jurisdictions are eligible where the State or local Government has
made the Brownfield designation; there are one or more buildings that
will be converted into residential units; the buildings to be converted
are likely to have lead-based paint hazards that must be controlled;
and the residential units will be for income eligible families.
Section 7.3 Rating Factors
HUD will use the following technical and financial criteria to rate
and rank applications received in response to this NOFA. The Request
for Grant Application (RFGA) kit will provide guidance in responding to
all the Rating Factors. The technical quality of an application will be
rated, and then the strength, quality, and completeness of the
financial and resources plan will be used to assess the likelihood that
the technical plan can be carried out using the available resources.
In selecting successful Superfund applicants, HUD is very
interested in applicants who have managed to involve PRPs yet HUD
explicitly recognizes that there are a number of sites where there is
no PRP and it is unlikely one will ever be found. These sites often
have environmental justice issues which reflect the cumulative effects
from multiple sources of lead exposure. These ``orphan'' Superfund
sites are similar to Brownfield sites in that neither has the resources
of a contributing PRP available to them. For this reason orphan
Superfund sites and Brownfield sites will be evaluated similarly under
Category B of the NOFA. However Superfund sites where one or more PRPs
have been identified, and where PRPs are contributing less than 1% of
the requested grant amount, will have a reduced score under this rating
factor (see Section 7.3(a)(2)). Under Category B, HUD seeks a balance
between those sites who have active and willing PRPs and those orphan
Superfund sites and Brownfield sites that have no other means to
accomplish lead-based paint hazard control. HUD believes that the best
way to achieve this balance is to recognize PRP involvement and provide
points for this involvement in one of the factors and at the same time
not exclude orphan Superfund or Brownfield sites. Therefore, since
neither orphan Superfund sites nor Brownfield sites have PRP's, PRP
involvement is not a prerequisite threshold requirement for eligibility
or selection of an award.
The maximum score possible under the rating factors is 110 points.
(a) Coordination (35 Points)
(1) Describe the history of the working relationship of the
applicant, EPA, any other Federal agencies, residents or neighborhood-
based organizations, and each Potentially Responsible Party (PRP), if
any. When describing the working relationship with EPA, applicants
should include Superfund activity, if appropriate, or Brownfield
activity. Describe any site-specific community relations plans and
activities including public meetings and other outreach activities that
present a complete picture of the community's involvement and any
likely issues that may arise. (25 points)
(2) Discuss the financial, technical, and other resources
contributed. (10 points)
Applicants will be scored according to ONLY one of the following
situations:
(i) The site is an orphan Superfund site or a Brownfield site. The
applicant will receive the full score. (5 points)
or
(ii) The site is a Superfund site and the total PRP contributions
are equal to or exceed 1% of the requested grant sum. (10 points)
or
(iii) The site is a Superfund site and one or more PRPs have been
identified and total contributions are less than 1% of the requested
grant sum. (5 points)
(b) Activities (25 Points)
(1) (i) For Superfund sites: Describe the extent of the remediation
work on the soil; provide a comprehensive picture of cleanup
activities, both planned and undertaken, including any relevant site
information that demonstrates the applicant's need, and describe how
coordinated efforts of the applicant, PRPs, residents, and Superfund
activities will reduce overall lead risk. (15 points)
or
(ii) For Brownfield sites: Applicants must provide information
about whether or not lead soil contamination exists (if known)
including the level of contamination. If soil lead levels exist, or are
likely to exist, that need remediation, applicants must describe how
remediation will occur. (15 points)
(2) Describe which non-HUD funding sources have been secured to
abate
[[Page 30394]]
exterior lead-based paint hazards. (10 points)
(c) Strategy (20 Points)
(1) Discuss the quality and cost-effectiveness of the proposed
lead-based paint hazard control strategy, especially as it relates to
Superfund cleanup activities or Brownfield sites, HUD lead-based paint
hazard control, and how they fit into an overall environmental lead
risk reduction scenario. The overall plan must include: the selection
of sub-grantees and other sub-recipients to assist in implementing the
project; the total number of units to be tested and treated and the
rationale for this total; the abatement/hazard control methods and
levels of treatment proposed, and number of units by type of treatment;
the amount of prior hazard control experience; financing mechanisms for
hazard control activities and the process for recruiting property
owners (if applicable); temporary relocation plans, if needed; and the
degree to which the strategy focuses on households in eligible housing
with children under the age of 6 years (if applicable). (8 points)
(2) The level of coordination between the applicant, HUD, and the
Superfund program or the Brownfield program; the experience of the
applicant with environmental issues; the experience of the applicant
with environmental justice issues; the experience of the applicant in
dealing with the private sector, especially for Superfund sites with
PRPs. (7 points)
(3) A program for education and outreach to the people residing on
or near the Superfund site or on or near the Brownfield site on the
hazards of lead in paint, soil, and dust, including blood lead
screening of young children and, if necessary, referral for medical
treatment. Include roles and responsibilities and approaches undertaken
by the groups and organizations involved in both education and
outreach, and blood lead testing and medical follow-up. (5 points)
(d) Management and Budget Plan (20 Points)
The Management and Budget Plan shall include:
(1) A narrative describing how the process and tasks of the grant
program will be coordinated and managed by the personnel discussed in
the strategy rating factor. Provide a brief narrative for each major
budget subtask and justification for each functional cost element,
explaining its planned use. (8 points)
(2) A budget proposal for each major cost element of the HUD grant,
a task by task spreadsheet for the HUD grant and Part B of Standard
Form 424A, for the match and other resources contributed by the
applicant and the budget for the Superfund part of the project or the
Brownfield part of the project as applicable. If applicable, describe
specifically how Superfund dollars and HUD dollars will be allocated
and tracked and whether or not Superfund dollars will be used to
control exterior lead-based paint hazards as part of the soil
remediation plan. (8 points)
(3) At a minimum, the applicant shall provide a 10 percent matching
contribution of the requested grant sum. Points for this factor will be
awarded only for the amount of the net contributions that exceed the 10
percent statutory minimum. Contributions may be cash or in-kind, or a
combination of both. In-kind contributions must be given a monetary
value. PRPs may contribute cash to meet this 10 percent matching
contribution requirement. Community Development Block Grant funds are
the only Federal funds which may be considered part of the 10 percent
matching contribution, when they are specifically dedicated to this
project. Additional resources committed to the program that exceed the
minimum required 10 percent match will provide points for this rating
factor. Each source of contributions, cash or in-kind, both for the
required minimum and additional amounts, shall be made in a letter of
commitment from the contributing entity, whether a public or private
source, and shall describe the contributed resources that will be used
in the program. The absence of letters providing specific details and
amount of the actual contributions will result in that contribution not
being counted. (4 points)
(e) Actions Affirmatively Furthering Fair Housing in Department
Programs (10 Points)
Extent to which proposal affirmatively furthers fair housing and
environmental justice for all persons regardless of race, color,
national origin, religion, sex, disability (including children with
EBL), or familial status (size of family and number of children).
Special consideration will be given to particularly innovative
strategies and those designed to remedy the effects of identified past
discrimination. Applicants with existing grants should discuss
outstanding current activity on the factors specified below. Proposals
which receive the full ten points will have addressed, in depth, the
following issues:
(1) Outreach strategies and methodologies to provide lead hazard-
free housing to all segments of the population: homeowners, owners of
rental properties, and tenants; especially for occupants least likely
to receive its benefits. Once the population to which outreach will be
``targeted'' is identified, (e.g.; homeowners who are racial minorities
living in minority-concentrated areas or owners of properties with
under-served tenants such as minority renters with large families
containing young children), outreach strategies directed specifically
to them should be multifaceted. This criterion goes beyond testing and
hazard control; it concerns what happens to the units after the lead
hazard control and tries to ensure that all families will have
adequate, lead hazard-safe housing.
(2) Demonstrate how the funding would be used in conjunction with
the State or local government's Fair Housing Planning strategy to
overcome any identified impediment to fair housing choice, which
pertains to lead-based paint, and how experience with this program will
be used to update these documents. Specific impediments, plans for
correcting the identified impediments, and planned updates to the
analysis of impediments should be described.
Section 7.4 Checklist of Application Submission Requirements
7.4.1 Applicant Data
See Category A, Section 5.1 (a)-(k).
7.4.2 Proposed Activities
See Category A, Section 5.2 (a)-(d).
7.4.3 Certifications and Assurances
See Category A, Section 5.3 (a)-(k).
Section 8. Corrections to Deficient Applications
Shortly after the expiration of the NOFA submission deadline date,
HUD will notify applicants in writing of any minor deficiencies in the
applications that are not of a substantive nature and do not affect the
score, such as an omitted certification or illegible signature. The
applicant shall submit corrections, which must be received at the
Office of Lead Hazard Control within 21 calendar days from the date of
HUD's letter notifying the applicant of any minor deficiencies.
Electronic or FAX transmittal is not an acceptable transmittal mode.
Corrections to minor deficiencies will be accepted within the 21-day
time limit. Applicants that do not make timely response to requests for
deficiency corrections shall be removed from further consideration for
an award.
Applicants shall only be permitted to correct those deficiencies
determined by HUD to be minor. Deficiencies
[[Page 30395]]
determined by HUD to be substantive and which may affect the score may
not be corrected.
Section 9. Administrative Provisions
9.1 Obligation of Funds
(a) Provision of Funds
Funding shall be provided on a cost-reimbursable basis not to
exceed the amount of the grant, except as otherwise provided in
Sections 9.2 and 9.3 of this NOFA.
(b) Availability of Funds
All payments will be made on a cost-reimbursable basis, except that
a one (1) percent final payment shall be made upon completion of all
tasks and delivery of an acceptable final report.
HUD will release funds for the inspection of units and for
conducting the lead hazard control phase (interim controls, hazard
abatement, or complete abatement) of the program after the grantee has
submitted and secured HUD approval of HUD Form 7015.15 (Request for
Release of Funds) which certifies that the grantee has fulfilled the
environmental review requirements of the grant.
9.2 Increases of Awards
After executing the grant agreement and initial obligation of
funds, HUD will not increase the grant sum or the total amount to be
obligated based upon the original scope of work. Amounts awarded may
only be increased as provided in Section 9.3, Deobligation, of this
NOFA.
9.3 Deobligation
(a) Reasons for Deobligation
HUD may deobligate amounts for the grant if proposed activities are
not initiated or completed within the required time after the award
effective date. The grant agreement will set forth in detail other
circumstances under which funds may be deobligated and other sanctions
imposed.
(b) Treatment of Deobligated Funds
HUD may undertake either or both of the following actions:
(1) Readvertise the availability of funds that have been
deobligated under this section in a new NOFA; or
(2) Choose additional applications which were submitted in response
to this NOFA in accordance with the selection process described in
Section 4.1 and Section 7.3 of this NOFA.
9.4 Reports
The grantee shall submit the following types of reports:
(a) Progress Reports
The grantee shall submit quarterly progress reports in accordance
with HUD requirements. These progress reports shall include expenditure
reports and a narrative describing important events, milestones, work
plan progress, and problems encountered during the period covered.
(b) Final Report
The grantee shall submit a final report in accordance with the
procedures of HUD's Management Reporting System. The report shall
summarize the applicant's plans, execution of the plans, achievements
noted, and lessons learned. The report need not be lengthy, but should
be of a quality and detail to provide a free-standing description to
any outside reader of all of the applicant's work and achievements
under the grant.
Section 10. Findings and Certifications
Environmental Review
A Finding of No Significant Impact with respect to the environment
has been made in accordance with HUD regulations in 24 CFR part 50,
which implements 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 during regular business hours in the
Office of the General Counsel, Rules Docket Clerk, Department of
Housing and Urban Development, 451 Seventh Street, S.W., Room 10276,
Washington, D.C. 20410.
Federalism Executive Order
The General Counsel, as the Designated Official under section 8(a)
of Executive Order 12612, Federalism, has determined that the policies
and procedures contained in this NOFA will not have substantial direct
effects on States or their political subdivisions, or the relationship
between the federal government and the States, or the distribution of
power and responsibilities among the various levels of government.
Under this NOFA, grants will be made for the control of lead-based
paint and lead-dust hazards in low-income owner-occupied units and
privately owned low-income rental units. Although the Department
encourages States and local governments to initiate or expand lead-
based paint certification, testing, abatement, and financing programs,
any action by a State or local government in these areas is voluntary.
Because action is not mandatory, the NOFA does not impinge upon the
relationships between the Federal government and State and local
governments, and the notice is not subject to review under the Order.
Family Executive Order
The General Counsel, as the Designated Official under Executive
Order 12606, The Family, has determined that this document will likely
have a beneficial impact on family formation, maintenance and general
well-being. This NOFA, insofar as it funds repairs to privately owned
housing, will assist in preserving decent housing stock for low-income
resident families. Accordingly, since the impact on the family is
beneficial, no further review is considered necessary.
Accountability in the Provision of HUD Assistance
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (HUD Reform Act) and the final rule codified at 24
CFR part 4, subpart A, published on April 1, 1996 (61 FR 1448), contain
a number of provisions that are designed to ensure greater
accountability and integrity in the provision of certain types of
assistance administered by HUD. On January 14, 1992 (57 FR 1942), HUD
published a notice that also provides information on the implementation
of section 102. The documentation, public access, and disclosure
requirements of section 102 are applicable to assistance awarded under
this NOFA as follows:
a. Documentation and Public Access
HUD will ensure that documentation and other information regarding
each application submitted pursuant to this NOFA are sufficient to
indicate the basis upon which assistance was provided or denied. This
material, including any letters of support, will be made available for
public inspection for a five-year period beginning not less than 30
days after the award of the assistance. Material will be made available
in accordance with the Freedom of Information Act (5 U.S.C. 552) and
HUD's implementing regulations at 24 CFR part 15. In addition, HUD will
include the recipients of assistance pursuant to this NOFA in its
Federal Register notice of all recipients of HUD assistance awarded on
a competitive basis.
b. Disclosures
HUD will make available to the public for five years all applicant
disclosure reports (HUD Form 2880) submitted in connection with this
NOFA. Update reports (also Form 2880) will be made available along with
the applicant disclosure reports, but in no case for a period less than
three years. All reports,
[[Page 30396]]
both applicant disclosures and updates, will be made available in
accordance with the Freedom of Information Act (5 U.S.C. 552) and HUD's
implementing regulations at 24 CFR part 15.
Prohibition Against Lobbying Activities
Applicants for funding under this NOFA are subject to the
provisions of section 319 of the Department of Interior and Related
Agencies Appropriation Act for Fiscal Year 1991 (31 U.S.C. 1352) (the
Byrd Amendment), which prohibits applicants from using appropriated
funds for lobbying the Executive or Legislative Branches of the Federal
Government in connection with a specific contract, grant, or loan.
Applicants are required to certify, using the certification found at
Appendix A to 24 CFR part 87, that they will not, and have not, used
appropriated funds for any prohibited lobbying activities. In addition,
applicants must disclose, using Standard Form LLL, ``Disclosure of
Lobbying Activities,'' any funds, other than Federally appropriated
funds, that will be or have been used to influence Federal employees,
members of Congress, and Congressional staff regarding specific grants
or contracts.
Procurement Standards
All grantees are governed by and should consult 24 CFR sections
85.36 and 85.37, which implement OMB Circular A-102 and detail the
procedures for subcontracts and sub-grants by States and local
governments. Under Sec. 85.36, which pertains to subcontracts, small
purchase procedures can be used for contracts up to $100,000, and
require price or rate quotations from several sources (three is
acceptable); above that threshold, more formal procedures are required
(note that Sec. 85.36 treats States differently than local
governments). Section 85.37 procedures apply to sub-grants, and are not
as restrictive. If States have more restrictive standards for contracts
and grants, the State standards can be applied. All grantees should
consult and become familiar with Secs. 85.36 and 85.37 before issuing
subcontracts or sub-grants.
Davis-Bacon Act
The Davis-Bacon Act does not apply to this program. However, if
grant funds are used 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.
Prohibition Against Advance Information on Funding Decisions--Section
103 of the Reform Act
HUD's regulation implementing section 103 of the HUD Reform Act,
codified as 24 CFR part 4, applies to the funding competition announced
today. The requirements of the rule continue to apply until the
announcement of the selection of all successful applicants.
HUD employees involved in the review of applications and in the
making of funding decisions are restrained by part 4 from providing
advance information to any person (other than an authorized employee of
HUD) concerning funding decisions, or from otherwise giving any
applicant an unfair competitive advantage. Persons who apply for
assistance in this competition should confine their inquiries to the
subject areas permitted under 24 CFR part 4.
Applicants who have ethics related questions should contact HUD's
Ethics Law Division (202) 708-3815 (This is not a toll-free number).
Catalog of Federal Domestic Assistance Number
The Catalog of Federal Domestic Assistance Number for this program
is 14.900.
Dated: May 22, 1997.
David E. Jacobs,
Director, Office of Lead Hazard Control.
Appendix A--Relevant Federal Regulations and Guidelines
To secure any of the documents listed, call the listed telephone
number (generally not toll-free).
REGULATIONS
1. Worker Protection: OSHA publication--Telephone: 202-219-4667.
OSHA Regulations (available for a charge)--Government Printing
Office--Telephone: 202-512-1800.
--General Industry Lead Standard, 29 CFR 1910.1025; (Document
Number 869022001124).
--Lead Exposure in Construction, 29 CFR 1926.62, and appendices
A, B, C, and D; published 58 FR 26590 (May 4, 1993). (Document
Number 869022001141).
2. Waste Disposal: 40 CFR parts 260-268 (EPA regulations)--
Telephone 1-800-424-9346.
3. Lead; Requirements for Lead-Based Paint Activities in Target
Housing and Child-Occupied Facilities; Final Rule: 40 CFR part 745
(EPA) (State Certification and Accreditation Program for those
engaged in lead-based paint activities)--Telephone: 202-554-1404
(Toxic Substances Control Act Hotline).
GUIDELINES
1. Lead-Based Paint: Guidelines for the Evaluation and Control
of Lead-Based Paint Hazards in Housing; HUD, June 1995 (available
for a charge)--Telephone: 800-245-2691:
Post-Lead Hazard Control Clearance, No More Than:
100 Micrograms/Sq.Ft. (Bare and Carpeted Floors)
500 Micrograms/Sq.Ft. (Window Sills)
800 Micrograms/Sq.Ft. (Window Troughs (Wells), exterior concrete and
other rough surfaces)
2. HUD Handbook 1378, Tenant Assistance, Relocation and Real
Property Acquisition; Telephone: 202-708-0336.
3. Preventing Lead Poisoning In Young Children; Centers for
Disease Control, October 1991: Telephone: 770-488-7330.
REPORTS
1. Putting the Pieces Together: Controlling Lead Hazards in the
Nation's Housing, HUD, (Summary and Full Report), July 1995,
(available for a charge)--Telephone 800-245-2691:
2. Comprehensive and Workable Plan for the Abatement of Lead-
Based Paint in Privately Owned Housing: Report to Congress (HUD,
December 7, 1990) (available for a charge)--Telephone 800-245-2691.
CDC Classes of Blood Lead Levels in Children
----------------------------------------------------------------------------------------------------------------
Concentration (q/dL) Comment
----------------------------------------------------------------------------------------------------------------
I.................................... <9 child="" is="" not="" considered="" to="" be="" lead-poisoned.="" iia..................................="" 10-14="" large="" number="" or="" proportion="" of="" children="" with="" blood="" lead="" levels="" in="" this="" range="" should="" trigger="" community-wide="" childhood="" lead="" poisoning="" prevention="" activities.="" children="" in="" this="" range="" may="" need="" to="" be="" rescreened="" more="" frequently.="" iib..................................="" 15-19="" child="" should="" receive="" nutritional="" and="" educational="" interventions="" and="" more="" frequent="" screening.="" if="" the="" blood="" lead="" level="" persists,="" environmental="" investigation="" and="" intervention="" should="" be="" done.="" iii..................................="" 20-44="" child="" should="" receive="" environmental="" evaluation="" and="" remediation="" and="" a="" medical="" evaluation;="" may="" need="" pharmacologic="" treatment="" of="" lead="" poisoning.="" [[page="" 30397]]="" iv...................................="" 45-69="" child="" will="" need="" both="" medical="" and="" environmental="" interventions,="" including="" chelation="" therapy.="" v....................................="">70 Child is a medical emergency. Medical and
environmental management must begin immediately.
----------------------------------------------------------------------------------------------------------------
Appendix B
``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
circumstances the Grantee, whether a state or a local government, is
expected to serve principally as a conduit to pass funding to sub-
grantees, which are to be responsible for performance of the lead-
hazard reduction work. Congress set a top limit of ten (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 ten (10) percent of the total grant amount.
The balance of ninety (90) percent or more of the total grant sum is
reserved for the sub-grantee/direct-performers of the lead-hazard
reduction work.
II. Administrative Costs: What They Are Not
For the purposes of this HUD grant program for States and local
governments to provide support for the evaluation and reduction of
lead-hazards in low and moderate-income, private target housing: 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 plus the allocable indirect costs.
The allowable limit of such costs that can be reimbursed under this
program is ten (10) percent of the total grant sum. Should the
Grantee's actual costs for overall management of the grant program
exceed ten (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 and may be shown as part of the requirement for cost-
sharing funds to support the grant.
IV. Administrative Costs: Definition
A. General
Administrative costs, are the allowable, reasonable, and
allocable direct and indirect 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 ten (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 3.4(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 NOFA Section II.E.(5) (a) and (b) (ii) through (vi),
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% of the total grant sum shall be devoted to direct
program activities. 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% 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; and
(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,
under NOFA Section II.E.(5)(b), and should not be attributed to
administrative costs, but to its own cost center.)
(i) Coordinating the resolution of overall grant audit and
monitoring findings;
(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;
(3) Administrative services performed under third party
contracts or agreements, for services directly allocable to overall
grant management such as overall-grant legal services, overall-grant
accounting services, and overall-grant audit services;
(4) Other costs for goods and services required for and directly
related to the overall management of the grant program, 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: The Mayor's and City Council's salaries and
related costs; the costs of the City's General Council's office, not
charged off to particular projects or operating departments; and the
costs of the City's
[[Page 30398]]
Accounting Department not charged back to specific projects or
operating departments. (If Grantee has an established burden rate it
should be used; if not Grantee shall be assigned a negotiated
provisional burden rate, subject to final audit.)
To repeat, all of the above activities goods and services: 1.a-
j., 2., 3., 4., and 5. are subject to the ten (10) percent limit.
Appendix C
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:
Sec. 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 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.
* * * * *
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Appendix E--Elements of a State Certification Program
Congress has assigned Federal responsibility to the
Environmental Protection Agency (EPA) for the definition,
implementation, and oversight of State Certification Programs for
workers, contractors, and inspectors engaged in the detection and
reduction of lead-based paint hazards. The Department of Housing and
Urban Development (HUD) has a strong interest in the strength and
rigor of the EPA program, because HUD must rely on the effectiveness
of the EPA program to assure the safe detection and reduction of
those lead-based paint hazards.
In October 1992, Congress passed the Residential Lead-Based
Paint Hazard Reduction Act (Title X of the Housing and Community
Development Act of 1992). This legislation required EPA to
promulgate regulations governing the 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:
(a) In the case of target housing: risk assessment, inspection,
and abatement; and
(b) 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. At 40 CFR part 745 Subpart L,
the Agency established requirements for the certification of
individuals and the accreditation of training programs as well as
work practice standards. At 40 CFR part 745 Subpart Q, the Agency
established procedures and requirements for the approval of State
programs that would be administered and enforced in lieu of the
Federal Program in that State. At 40 CFR 745.325 and 745.327, the
Agency established the minimum programmatic and enforcement elements
that a program must have in order to be authorized. States will have
until August 30, 1998 to receive authorization from the Agency.
After that date, EPA will administer the Federal program in that
State. Any State that is applying for a HUD Lead-Based Paint Hazard
Control Grant must have legislation that provides the State with the
authority to develop a program that reflects substantial progress
towards fulfilling the requirements of 40 CFR 745.325 and 327. Thus,
while HUD does not require that 40 CFR part 745 be fully implemented
at this time, a State must have enacted legislation which will
support the eventual implementation of all requirements set forth in
EPA's final rule. States should be aware that effective August 30,
1998, HUD will not award grants for lead-based paint hazard
evaluation or reduction to a State unless such State has an
authorized program under section 404 of the Toxic Substances Control
Act.
[FR Doc. 97-14383 Filed 6-2-97; 8:45 am]
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