FY 1998 SuperNOFA 1

Lead-Based Paint Hazard Control Program

Billing Code 4340-7
[Docket No. FR-4340-N-01]
Super Notice of Funding Availability (SuperNOFA)
for Housing and Community Development Programs

AGENCY: Office of the Secretary, HUD.

ACTION: Super Notice of Funding Availability (SuperNOFA) for Housing and Community Development Programs.

PROGRAM DESCRIPTION: Approximately $50 million is available in funding for the Lead-Based Paint Hazard Control Program. Lead-Based Paint Hazard Control grants 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.

APPLICATION DUE DATE: An original and two copies of the completed application must be received by HUD no later than 12:00 midnight, Eastern time on June 1, 1998 at HUD Headquarters. See the General Section of this SuperNOFA of this SuperNOFA for specific procedures governing the form of application submission (e.g., mailed applications, express mail, overnight delivery, or hand carried).

ADDRESS FOR SUBMITTING APPLICATIONS: The completed application (original and two copies) must be submitted to: Office of Lead Hazard Control, Department of Housing and Urban Development, Room B-133, 451 Seventh Street, SW, Washington, DC 20410. Hand carried applications should be delivered to Suite 3206, 490 East L'Enfant Plaza, Washington, DC, 20024.


For Application Kits: For an application kit and any supplemental information, please call the SuperNOFA Information Center at 1-800-HUD-8929. Persons with hearing or speech impairments may call the Center's TTY number at 1-800-483-2209. When requesting an application kit, please refer to the Lead-Based Paint Hazard Control Grant Program. Please be sure to provide your name, address (including zip code), and telephone number (including area code).

For Further Information: Ellis G. Goldman, Director, Program Management Division, Office of Lead Hazard Control, at the address above; telephone (202) 755-1785, extension 112 (this is not a toll-free number). Hearing- and speech-impaired persons may access the above telephone numbers via TTY by calling the toll-free Federal Information Relay Service at 1-800-877-8339.

For Technical Assistance: Please refer to the General Section of this SuperNOFA for information regarding the provision of technical assistance. The HUD staff that will provide technical assistance for the Lead-Based Paint Hazard Control Program is in HUD's Office of Lead Hazard Control. Please see the "For Further Information" section above for the address and phone number.


I. Authority; Purpose; Amount Allocated; and Eligibility.

(A) Authority. The Lead-Based Paint Hazard Control Program is authorized by section 1011 of the Residential Lead-Based Paint Hazard Reduction Act of 1992 (Title X of the Housing and Community Development Act of 1992) (Title X).

(B) Purpose.

    (1) Lead-Based Paint Hazard Control (LBPHC) 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. The application kit for this LBPHC Program section of the SuperNOFA lists HUD-associated housing programs that may have housing units meeting the definition of eligible housing. Because lead-based paint is a national problem, these funds are awarded in a manner that:

      (a) Maximizes the number of housing units where lead-hazards have been controlled;

      (b) Stimulates cost-effective State and local approaches that can be replicated in as many settings as possible;

      (c) Disperses the grants as widely as possible across the nation to ensure the capacity developed is geographically distributed;

      (d) Builds local capacity; and

      (e) Affirmatively furthering fair housing and environmental justice.

    (2) The objectives 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;

      (d) Integration of lead-safe work practices into housing maintenance, repair, and improvements;

      (e) Integration of lead hazard control into rehabilitation, weatherization, and other related programs;

      (f) Development of sustainable lead-safe programs (beyond the life of the grant);

      (g) Establishment of a publicly accessible registry of lead-safe housing; and

      (h) To the greatest extent feasible, promoting job training, employment, and other economic 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).

(C) Amount Allocated.

    (1) Fifty million dollars ($50 million) will be made available for the grant program from the appropriations made for the Lead-Based Paint Hazard Reduction Program.

    (2) Approximately 15-25 grants of $1 million-$4 million each will be awarded. Previously unfunded applicants are eligible to apply for grants of $1 million-$4 million. Existing grantees are eligible to apply for grants of $1 million-$3 million. A maximum of 50% of the funds under this LBPHC Program section of the SuperNOFA shall be available to current Lead-Based Paint Hazard Control grantees. Applications of existing grantees will be evaluated and scored as a separate class and will not be in direct competition with previously unfunded applicants.

    (3) In the selection process, once available funds have been allocated to meet the requested 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 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). Such applicant(s) shall have a maximum of seven (7) calendar days to accept such a reduced award, or shall be considered to have declined the award. Applicant(s) may reapply in a future round.

(D) Eligible Applicants.

    (1) Applicants must be a State or unit of local government that has a currently approved Consolidated Plan to be eligible to apply for a grant. Applicants under this LBPHC Program section of the SuperNOFA must submit documentation that HUD has approved their current program year Consolidated Plan. Applicants must submit, as an appendix, a copy of the lead-based paint element included in the approved Consolidated Plan.

    (2) 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.

    (3) Applicants that were funded under Category A of the FY 1997 LBPHC NOFA issued June 3, 1997 (61 FR 30380) are not eligible for this round of funding.

(E) Eligible Activities.

    (1) 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 the application kit to this LBPHC Program section of the SuperNOFA 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).

    (2) 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 which are cost-effective and efficient. The following direct and support activities are eligible under this grant program.

      (a) Direct Project Elements (activities of the grantee and all sub-grantees):

        (i) 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.

        (ii) Conducting pre-hazard control blood lead testing of children under the age of six residing in units undergoing risk assessment, inspection or hazard control.

        (iii) Conducting lead hazard control which may include any combination of the following: interim control of lead-based paint hazards in housing (which may include intensive cleaning techniques to address lead dust); 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 abatement of lead-based paint hazards, including soil and dust, by means of removal, enclosure, encapsulation, or replacement methods. Complete abatement of all lead-based paint is not recommended as a cost effective strategy except under exceptional circumstances.

        (iv) 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.

        (v) Performing blood lead testing and air sampling to protect the health of the hazard control workers, supervisors, and contractors.

        (vi) Undertaking minimal housing rehabilitation activities that are specifically required to carry out effective hazard control, and without which the hazard control could not be completed and maintained. Grant funds under this program may also be used for the lead-based paint hazard control component in conjunction with other housing rehabilitation programs.

        (vii) Conducting pre-hazard control and clearance dust-wipe testing and analysis.

        (viii) Carrying out engineering and architectural costs that are necessary to, and in direct support of, lead hazard control.

        (ix) Providing lead-based paint workeror contractor certification training and/or licensing to low-income persons.

        (x) Providing training on lead-safe maintenance practices to homeowners, renters, painters, remodelers, and apartment maintenance staff working in low income housing.

        (xi) Providing cleaning supplies for lead-hazard control to community/neighborhood-based organizations, homeowners, and renters in low income housing.

        (xii) 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 on the provisions of the Fair Housing Act and training on lead-safe maintenance and renovation practices. It would also include making all materials available in alternative formats for persons with disabilities (e.g.; Braille, audio, large type), upon request.

        (xiii) Securing liability insurance for lead-hazard control activities.

        (xiv) Supporting data collection, analysis, and evaluation of grant program activities. This includes compiling and delivering such data as may be required by HUD. This activity is separate from administrative costs.

        (xv) Applied research activities directed at demonstration of cost effective methods for lead hazard control as described in Section III of this LBPHC Program section of the SuperNOFA.

        (xvi) Preparing a final report at the conclusion of grant activities.

      (b) Support Elements.

        (i) Administrative costs of the grantee. There is a 10% maximum for administrative costs.

        (ii) Program planning and management costs of sub-grantees and other sub-recipients.

    (3) Ineligible Activities. Grant funds shall not be used for:

      (a) Purchase of real property.

      (b) Purchase or lease of capital equipment having a per unit cost in excess of $5,000, except for X-ray fluorescence analyzer (XRF). If purchased, capital equipment (under $5,000) 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 becomes the property of the grantee as the result of a lease arrangement, it may remain the property of the grantee at the end of the grant period; and

      (c) 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.

II. Program Requirements.

In addition to the program requirements listed in the General Section of this SuperNOFA, applicants are subject to the following requirements:

(A) General. Grantees will be afforded considerable latitude in designing and implementing the methods of lead-based paint hazard control to be employed in their jurisdictions. Experience and data from past and ongoing evaluations has identified effective approaches. 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 which are cost-effective and efficient. Flexibility will be allowed within the parameters established below.

(B) Budgeting.

    (1) Matching Contribution. Each grantee shall provide a matching contribution of at least 10% of the requested grant sum. This may be in the form of a cash or in-kind contribution or a combination of both. Federal funds from other programs cannot constitute matching funds, with the exception of Community Development Block Grant (CDBG) funds. Applicants who do not show a 10% match will be required to provide the matching contribution during grant negotiations.

    (2) Applied Research Activities. A maximum of five (5%) percent of the total grant request may be identified for applied research activities.

    (3) Administrative Costs. There is a 10% maximum for administrative costs.

(C) Period of Performance. The period of performance cannot exceed 36 months.

(D) Certified Performers. Funds shall be available only for projects conducted by certified contractors, risk assessors, inspectors, workers and others engaged in lead-based paint activities. An applicant must provide the documents listed in Section IV(A)(4) of this LBPHC section of the SuperNOFA to demonstrate its compliance with this requirement.

(E) Coastal Barrier Resources Act. 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.

(F) Flood Disaster Protection Act. 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 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.

(G) National Historic Preservation Act. 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 program. HUD and the Advisory Council for Historic Preservation have developed an optional Model Agreement (See the application kit for this program) for use by grantees and State Historic Preservation Officers in carrying out activities under this program.

(H) Waste Disposal. Waste disposal will be handled according to the requirements of the appropriate local, State or Federal regulatory agency. Disposal of wastes from hazard control activities that contain lead-based paint but are not classified as hazardous will be handled in accordance with the HUD Guidelines for the Evaluation and Control of Lead-Based Hazards in Housing (HUD Guidelines).

(I) Worker Protection Procedures. 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), or the State or local occupational safety and health regulations, whichever are most stringent. If other applicable OSHA requirements contain more stringent requirements than the HUD Guidelines, the OSHA standards shall govern.

(J) Prohibited Practices. Lead hazard control methods which are considered prohibited practices are not allowed. 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. Prohibited practices are practices which are not allowed because of the risks to health. Prohibited practices include:

    (1) Open flame burning or torching;

    (2) Machine sanding or grinding without a high-efficiency particulate air (HEPA) exhaust control;

    (3) Uncontained hydroblasting or high pressure wash;

    (4) Abrasive blasting or sandblasting without HEPA exhaust control;

    (5) Heat guns operating above 1100 degrees Fahrenheit;

    (6) Chemical paint strippers containing methylene chloride; and

    (7) Dry scraping or dry sanding, except scraping in conjunction with heat guns or around electrical outlets or when treating no more than two (2) square feet in any one interior room or space, or totaling no more than 20 square feet on exterior surfaces.

(K) Proposed Modifications from Current Procedures. Proposed methods requiring a variance from currently approved standards or procedures will be considered on their merits through a separate HUD review and approval process after the grant award is made and a specific justification has been presented. When such a request is made, either in the application or during the planning phase, HUD may consult with experts from both the public and private sector as part of its final determinations and will document its findings in an environmental assessment. Proposed modifications which involve a lowering of standards with potential to adversely affect the health of residents, contractors or workers, or the quality of the environment will not be approved.

(L) Written Policies and Procedures. Written policies and procedures for all phases of lead hazard control, including risk assessment, inspection, development of specifications, pre-hazard control blood lead testing, financing, relocation and clearance testing must be clearly established in writing and adhered to by all grantees, subcontractors, sub-grantees, sub-recipients, and their contractors.

(M) Continued Availability of Lead Safe Housing to Low-Income Families. Units in which lead hazards have been controlled under this program shall be occupied by and/or continue to be available to low-income residents as required by Title X. Grantees are required to maintain a registry of units in which lead hazards have been controlled for distribution and marketing to agencies and families as suitable housing for children under six.

(N) Development of Application Cost Proposal. 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. Such testing must be conducted according to the HUD Guidelines, with particular attention to the 1997 revision of its chapter 7 on lead-based paint inspection. The applicant must 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 applicant must test each occupant who is a child under six years old according to the recommendations contained in Preventing Lead Poisoning in Young Children (1991), published by the Centers for Disease Control and Prevention (CDC).

    (3) Dust testing. Such testing must be conducted according to the HUD Guidelines. Specifically, the applicant must pre-test before lead hazard control work begins, and conduct a clearance test before reoccupying a unit or area.

    (4) Testing.

      (a) General. All testing and sampling shall conform to the HUD Guidelines. It is particularly important to provide this full cycle of testing for hazard control, including interim controls.

      (b) Required Thresholds for Hazard Control. While the HUD Guidelines employ two hazard control thresholds, one milligram per square centimeter (1.0 mg/cm2) or 0.5% by weight, applicants may use 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 cost savings and benefits expected to result from using the proposed approach.

      (c) Surfaces which require lead hazard control. The HUD Guidelines identify hazards considered to be of greatest threat to young children which require hazard control. 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 proposed approach will provide satisfactory health protection for occupants and at the same time, provide cost savings or other benefits.

      (d) Clearance thresholds. Grantees are required to meet the post-hazard control dust-wipe test clearance thresholds contained in the HUD Guidelines. 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 recognized by the Environmental Protection Agency's National Lead Laboratory Accreditation Program (NLLAP). Units shall not be reoccupied until clearance levels are achieved.

(O) 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.

(P) Data collection. Grantees will be required to collect and maintain the data necessary to document the various lead hazard control methods used in order to determine the effectiveness and relative cost of these methods.

(Q) Environmental requirements.

    (1) In accordance with HUD regulations in 24 CFR part 58 recipients of lead-based paint hazard control grants will assume Federal environmental review responsibilities. Recipients of a grant under this program will be given guidance in these responsibilities.

(R) Section 3 Employment Opportunities. Please see Section II(E) of the General Section of this SuperNOFA. The requirements of Section 3 are applicable to the Lead-Based Paint Hazard Control Program.

(S) Forms, Certifications and Assurances. In addition to the forms, certifications and assurances listed in the General Section of this SuperNOFA, applicants are required to submit signed copies of the following:

    (1) A certification of compliance with the environmental laws and authorities described in 24 CFR part 58.

    (2) A certification of compliance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, and the implementing regulations at 49 CFR 24; and HUD Handbook 1378 (Tenant Assistance, Relocation and Real Property Acquisition).

    (3) An assurance that the applicant's financial management system meets the standards for fund control and accountability described in 24 CFR 85.20.

    (4) An assurance that pre-hazard control and clearance testing will be conducted by certified performers.

    (5) An assurance that, to the extent possible, the blood lead testing, blood lead level test results, and medical referral and follow up will be conducted for children under six years of age occupying affected units according to the recommendations of the Centers for Disease Control and Prevention (CDC) publication Preventing Lead Poisoning in Young Children (1991).

    (6) An assurance that Lead-Based Paint Hazard Control Grant Program funds will not replace existing resources dedicated to any ongoing project.

    (7) An assurance that the housing units in which lead hazards have been controlled under this program shall be occupied by and/or continue to be available to low-income residents as required by Title X. Grantees are required to maintain a registry of units in which lead hazards have been controlled for distribution and marketing to agencies and families as suitable housing for children under six.

    (8) A certification that the applicant will carry out its lead 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 the application kit for this LBPHC Program section of the SuperNOFA.

III. Application Selection Process.

(A) Rating and Ranking. HUD intends to fund the highest ranked applications within the limits of funding, but reserves the right to advance other eligible applicants in funding rank based on the following considerations which will: foster either local approaches or lead hazard control methods which have not been employed before, or provide lead hazard control services to populations or communities that have high need (as measured by the "Need" factor for award) and have never received funding under this grant program.

(B) Factors for Award Used to Evaluate and Rate Applications. The factors for rating and ranking applicants, and maximum points for each factor, are provided below. The maximum number of points to be awarded is 102. This includes two EZ/EC bonus points, as described in the General Section of the SuperNOFA.

Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience (15 Points for Previously Unfunded Applicants; 25 Points for Existing Grantees).

This factor addresses the extent to which the applicant has the organizational resources necessary to successfully implement the proposed activities in a timely manner. The rating of the "applicant" or the "applicant's staff" for technical merit or threshold compliance, unless otherwise specified, will include any sub-contractors, consultants, sub-recipients, and members of consortia which are firmly committed to the project. In rating this factor, HUD will consider the extent to which the proposal demonstrates:

(1) Recent, relevant and successful experience of the applicant's staff to undertake eligible program activities. Applicants must describe the knowledge and experience of the proposed overall project director and day-to-day program manager in planning and managing large and complex interdisciplinary programs, especially involving housing rehabilitation, public health, or environmental programs. As an appendix, the applicant should include a clearly identified organizational chart for the lead hazard control grant program effort, as well as resumes, position descriptions, and salaries of key personnel identified to carry out the requirements of this grant program. Applicants must indicate the percentage of time that key personnel will devote to the project and any salary costs to be paid by the grant. A full-time day-to-day program manager is highly recommended.

(2) That the applicant has sufficient personnel or will be able to quickly access qualified experts or professionals, to immediately begin the proposed work program and to deliver the proposed activities in each proposed service area in a timely and effective fashion. The application must describe how other principal components of the applicant agency or other organizations will participate in or otherwise support the grant program. The institutional capacity of the applicant may be demonstrated by prior experience in initiating and implementing lead hazard control efforts and/or related environmental, health, or housing projects and should be thoroughly described. The applicant should indicate how this prior experience will be used in carrying out its planned comprehensive Lead-Based Paint Hazard Control Grant Program.

(3) If the applicant received HUD Lead Hazard Control Grant funding in previous years, the applicant's past experience will be evaluated in terms of its progress in achieving the purpose of its previous grant. An existing grantee applicant must provide a description of its progress in implementing its most recent grant award within the period of performance, including the total number of housing units completed as of the latest calendar quarter.

Rating Factor 2: Need/Extent of the Problem (20 Points)

This factor addresses the extent to which there is a need for funding the proposed program activities to address a documented problem in the target area.

(1) The applicant must document a critical level of need for the proposed activities in the area where activities will be carried out. Specific attention must be paid to documenting need as it applies to the area where activities will be targeted, rather than the entire locality or state. If the target area is an entire locality or state, then documenting need at this level is appropriate.

(2) The documentation of need should demonstrate the extent of the problem being addressed by the proposed activities. Examples of data that might be used to demonstrate need, include, but are not limited to:

    (a) Economic and demographic data relevant to the target area, including poverty and unemployment rates;

    (b) Levels of homelessness;

    (c) Lead poisoning rates;

    (d) Housing market data available from HUD or other data sources including the Public Housing Authority's Five Year Comprehensive Plan, State or local Welfare Department's Welfare Reform Plan; or

    (e) Lack of other Federal, State or local funding that could be, or is used, to address the problem HUD program funds are designed to address.

(3) To the extent that statistics and other data contained in the community's Consolidated Plan or Analysis of Impediments to Fair Housing Choice (AI) supports the extent of the problem, references to the Consolidated Plan and the AI should be included in the response.

(4) It is also desirable that the applicant provide information on the following for the applicant's jurisdiction, or more preferably, the areas targeted for the lead hazard control activities (data may be available in the applicant jurisdiction's currently approved Consolidated Plan, or derived from 1990 Census Data):

    (a) The age and condition of housing;

    (b) The number and percentage of very-low and low income families whose incomes do not exceed 80% of the median income for the area, as determined by HUD, with adjustments for smaller and larger families;

    (c) The number and proportion of children under six years of age (72 months) at risk of lead poisoning;

    (d) The magnitude of the lead poisoning problem in children under six years of age in target areas;

    (e) The health and economic impacts of Superfund or Brownfields sites on the targeted neighborhoods or communities; and

    (f) Other socioeconomic or environmental factors that document a need to establish or continue lead hazard control work in the applicant's jurisdiction.

(5) The applicant must also provide documentation of the priority that the community's Consolidated Plan has placed on addressing the needs described by the applicant.

(6) Applicants that address needs that are in the Consolidated Plan, Analysis of Impediments to Fair Housing Choice, court orders or consent decrees, settlements, conciliation agreements, and voluntary compliance agreements will receive a greater number of points than applicants that do not relate their program to identified needs.

(7) There must be a clear relationship between the proposed activities, community needs, and the purpose of the program funding for an applicant to receive points for this factor.

Rating Factor 3: Soundness of Approach (45 Points for previously unfunded applicants and 35 Points for existing grantees)

This factor addresses the quality and cost-effectiveness of the applicant's proposed work plan. This factor will allow applicants to present information on the proposed lead-based paint hazard control program and how it will satisfy the identified needs. The work plan and budget should include the following elements:

(1) Lead Hazard Control Strategy (30 points for previously unfunded applicants; 20 points for existing grantees). A description of the strategy to be used in planning and executing the lead hazard control grant program effort. Applicants should provide information on:

    (a) Implementing a Lead Hazard Control Program (10 points for previously unfunded applicants; 5 points for existing grantees). The applicant must describe the overall strategy for the proposed lead hazard control program. The description must include a discussion of:

      (i) The applicant's previous experience in reducing or eliminating lead-based paint hazards in conjunction with other Federal, State or locally funded programs.

      (ii) The applicant's overall strategy for the identification, selection, prioritization, and enrollment of units of eligible privately-owned housing in which lead hazard control will be undertaken.

      (iii) The total number of owner occupied and/or rental units in which lead hazard control activities will be conducted.

      (iv) The degree to which the work plan focuses on eligible privately-owned housing units with children under 6 years old. The applicant must describe 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. The applicant must also describe the process for the referral of children with elevated blood lead levels for medical case management.

      (v) The financing mechanism, including eligibility criteria, terms, conditions, and amounts available, to be employed in carrying out lead hazard control activities. The applicant must discuss the way these funds will be administered (e.g. use of grants, deferred loans, forgivable loans, other resources, private sector financing, etc.) as well as the agency which will administer the process. The applicant should describe how the proposed program will satisfy the needs articulated or will assist in addressing the impediments in the AI. The applicant should describe how the proposed program will further and support the policy priorities of the Department, including promoting healthy homes; providing opportunities for self-sufficiency, particularly for persons enrolled in welfare to work programs; or providing educational and job training opportunities through such initiatives as Neighborhood Networks, Campus of Learners, and linking to AmeriCorps activities.

    (b) Lead Hazard Control Outreach and Community Involvement (5 points).
    The applicant must describe:

      (i) Proposed community awareness, education, training, and outreach programs in support of the work plan and objectives. This should include general and/or targeted efforts undertaken to assist the program in reducing lead poisoning. To the extent possible, programs should be culturally sensitive, targeted, and linguistically appropriate.

      (ii) Proposed involvement of community or neighborhood based organizations in the performance of activities proposed by the applicant. These activities could include outreach, community education, marketing, inspection, and the actual conduct of lead hazard control activities.

      (iii) Outreach strategies and methodologies to affirmatively further fair housing and provide lead-safe 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 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-safe housing.

    (c) Technical Approach for Conducting Lead Hazard Control Activities (15 points for
    previously unfunded applicants; 10 points for existing grantees)

      (i) The applicant must describe the process for the risk assessment and/or inspection of units of eligible privately-owned housing in which lead hazard control will be undertaken. Housing having a risk assessment or inspection already performed by certified inspectors or risk assessors in accordance with the HUD Guidelines and identified with lead-based paint hazards may be included in the inventory.

      (ii) The applicant must describe the testing methods, schedule, and costs for performing blood lead testing, risk assessments and/or inspections to be used. If the applicant plans to use a standard more restrictive than the HUD thresholds (e.g. 0.5% or 1.0 mg/cm2), the applicant must identify the lead-based paint threshold for undertaking lead hazard control which will be used. All testing methods shall be performed in accordance with the HUD Guidelines.

      (iii) The applicant must describe 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). The applicant must provide an estimate of the per unit costs (and a basis for those estimates) for each method the applicant plans to use in conducting lead hazard control activities. The applicant must also provide a schedule for initiating and conducting lead hazard control work in the selected units. The applicant should discuss efforts to incorporate cost-effective lead hazard control methods. If complete abatement is proposed, the applicant must describe the rationale for that decision, and explain why hazard control approaches were not proposed.

      (iv) The applicant must describe its process for the development of work specifications for the selected lead hazard control method. The applicant must describe the management processes which will be used to ensure the cost-effectiveness of the lead hazard control methods. The application must include a discussion of the contracting process that will be used to obtain contractors to conduct lead hazard control activities in the selected units.

      (v) The applicant must describe its plan for the temporary relocation of occupants of units selected for lead hazard control work. This discussion should address the use of safe houses and other housing arrangements, storage of household goods, stipends, incentives, etc.

      (vi) Existing grantees must describe how the lead hazard control work being proposed in the application will occur concurrently with ongoing HUD lead hazard control grants.

      (vii) Existing grantees must describe their progress in implementing their most recent lead hazard control grant award. If the production achieved is low and no changes are proposed, the applicant should explain why the strategy in the earlier grant remains appropriate.

(2) Coordination with housing rehabilitation, housing and health codes, and other related
housing programs (7 points).

    (a) The applicant must describe the degree to which lead hazard control work will be done in conjunction with other housing-related activities (i.e., rehabilitation, weatherization, removal of code violations, and other similar work), and the applicant's plan for the integration and coordination of lead hazard control activities into those activities.

    (b) The applicant must describe how it plans to incorporate lead-based paint maintenance and hazard control standards with the applicable housing codes and health regulations.

    (c) The applicant must describe how it plans to generate and use public subsidies or other resources (such as revolving loan funds) to finance future lead hazard control activities.

    (d) The applicant must describe how it plans to develop public-private lending partnerships to finance lead hazard control as part of acquisition and rehabilitation financing.

    (e) The applicant must describe how it plans to develop and ensure the continued availability of a registry of publicly available information on lead-safe units, so that families (particularly those with children under age six) can make informed decisions regarding their housing options.

    (f) Evidence of firm commitments from participating organizations should include:

      (i) The name of each organization;

      (ii) The capabilities or focus of each organization;

      (iii) The proposed level of effort of each organization; and

      (iv) The resources and responsibilities of each organization, including the applicant's clearly proposed plans for the training and employment of low-income residents.

    (g) The applicant must describe its plan for the coordination of lead-based paint hazard control activities under this grant with lead-related Superfund or Brownfields efforts.

    (h) The applicant must detail the extent to which the policy of fair housing for minorities and the disabled is furthered by the proposed activities. Detail how the applicant's work plan will support the community's efforts to further housing choices. Applicants with existing grants should discuss activities which have contributed to enhanced lead-hazard free housing opportunities to all segments of the population.

(3) Economic Opportunity (5 points) The applicant must describe the methods to be used which will result in economic opportunities for residents and businesses in the community. This discussion should include information on how employment, business development, and contract opportunities will be promoted as part of the lead hazard control program. The applicant should also describe how they will satisfy the requirements of Section 3 of the Housing and Community Development Act of 1992 to give preference to hiring of low- and very low-income persons or contracting with businesses owned by or employing low- and very-low income persons.

(4) Program Evaluation and/or Data Collection (3 Points) The applicant must identify the specific methods to be used (in addition to HUD reporting or data collection forms) to measure progress, evaluate program effectiveness, and make program changes to improve performance. The applicant should describe how the information will be obtained, documented, and reported. In addition, the applicant should provide a detailed description of any proposed applied research activities.

(5) 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 36 months for the planning, execution, and completion of lead hazard control activities. The applicant must thoroughly document and justify all budget categories and costs (Part B of Standard Form 424A) and all major tasks. The applicant must describe in detail the budgeted costs for each program element (major task) included in the overall plan (administrative costs, program management, lead hazard control strategy, community awareness, education and outreach, program evaluation, and data collection).

Rating Factor 4: Leveraging Resources (10 Points).

This factor addresses the ability of the applicant to secure other community resources (financing is a community resource) which can be combined with HUD's program resources to achieve program purposes.

(1) In evaluating this factor, HUD will consider the extent to which the applicant has partnered with other entities to secure additional resources to increase the effectiveness of the proposed program activities. Resources may include funding or in-kind contributions (such as services or equipment) allocated to the purpose(s) of the award the applicant is seeking. Resources may be provided by governmental entities, public or private nonprofit organizations, for-profit private organizations, or other entities willing to partner with the applicant. Applicants may also partner with other program funding recipients to coordinate the use of resources in the target area.

(2) Funding from any Federally funded programs (except the CDBG program) may not be included as part of the required 10% match. Other resources committed to the program that exceed the required 10% match will provide points for this rating factor and may include match from Federally funded programs. 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. The absence of letters providing specific details and the amount of the actual contributions will result in those contributions not being counted.

(3) Applicants must provide evidence of leveraging/partnerships by including in the application letters of firm commitment, memoranda of understanding, or agreements to participate from those entities identified as partners in the application. Each letter of commitment, memorandum of understanding, or agreement to participate should include the organization's name and the proposed level of commitment and responsibilities as they relate to the proposed program. The commitment must also be signed by an official of the organization legally able to make commitments on behalf of the organization.

Rating Factor 5: Comprehensiveness and Coordination (10 Points).

This factor addresses the extent to which the applicant's program reflects a coordinated, community-based process of identifying needs and building a system to address the needs by using available HUD funding resources and other resources available to the community.

In evaluating this factor, HUD will consider the extent to which the applicant demonstrates it has:

(1) Coordinated its proposed activities with those of other groups or organizations in order to best complement, support and coordinate all known activities and, the specific steps it will take to share information on solutions and outcomes with others. Any written agreements, memoranda of understanding in place, or that will be in place after award should be described.

(2) Taken or will take specific steps to become active in the community's Consolidated Planning process (including the Analysis of Impediments to Fair Housing Choice) established to identify and address a need/problem that is related to the activities the applicant proposes.

(3) Taken or will take specific steps to develop linkages to coordinate comprehensive solutions through meetings, information networks, planning processes or other mechanisms with:

    (a) Other HUD funded projects/activities outside the scope of those covered by the Consolidated Plan; and

    (b) Other HUD, Federal, State or locally funded activities, including those proposed or on-going in the community(s) served.

IV. Application Submission Requirements.

    (A) Applicant Information.

    (1) Application Format. The applicant's 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 (minimum) font with not less than 3/4" margins on all sides. Appendices should be referenced and discussed in the narrative response. Materials provided in the appendices should directly apply to the rating factor narrative.

    (2) Application Checklist. In addition to the forms, certifications and assurances listed in the General Section of the SuperNOFA, the applicant must submit the following:

      (a) Transmittal Letter that identifies what the program funds are requested for, the dollar amount requested, and the applicant or applicants submitting the application.

      (b) 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 these partners.

        (i) For State applicants, copies of existing statutes, regulations or other appropriate documentation regarding the State's Lead-Based Paint Contractor Certification and Accreditation Program must be included.

        (ii) A State applicant which has an existing statute that is 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 one (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 six (6) months of the effective date of implementing regulations.

        (iii) If legislative approval of proposed regulations is also required, a similar assurance must be provided by the chairs of committees having jurisdiction.

        (iv) 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.

      (d) 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.

      (e) 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.

      (f) A detailed budget with supporting cost justifications for all budget categories of the grant request. There shall be a separate estimate for the overall grant management element (Administrative Costs), which is more fully defined in the application kit for this LBPHC Program section of the SuperNOFA. The budget shall include not more than 10% for administrative costs and not less than 90% for direct project elements.

      (g) An itemized breakout (using the SF-424A) of the applicant's required matching contribution, including:

        (i) Values placed on donated in-kind services;

        (ii) Letters or other evidence of commitment from donors; and

        (iii) The amounts and sources of contributed resources.

      (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) A copy of the applicant's approval notification for the current program year for its Consolidated Plan. The applicant should also include a copy of the applicant's lead hazard control element included in the current program year Consolidated Plan.

(B) Proposed Activities. All applications must, at a minimum, contain the following items:

    (1) A description of the affected housing and population to be served.

      (a) 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 Rating Factor 2 (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. Vacant housing that subsequently will be occupied by low-income renters or owners should also be included in this description. Maps may be included as an appendix.

      (b) To the extent practical, preference shall be given to occupied eligible housing units with children under the age of six. 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.

    (2) Discussion of program activities. The applicant shall provide a discussion of the overall proposed hazard control program, including, but not limited to, information on the following:

      (a) Needs Assessment. Each applicant is required to submit a statement of the extent of need for the program funds they are seeking. The statement of need must demonstrate how specific community or neighborhood needs can be resolved through the activities proposed to be undertaken with the funds being applied for. This statement may be integrated into the response to Rating Factor 2 (Need). The statement must identify:

        (i) The population to be served;

        (ii) How these needs were determined;

        (iii) How the needs identified are consistent with the needs identified in the community's Consolidated Plan; and

        (iv) Barriers that have been identified in the community's AI.

      (b) Program Work Plan and Budget. The work plan and budget must include:

        (i) A description of:

          (1) The applicant's program management methods;

          (2) The applicant's lead hazard control strategy;

          (3) The number of eligible housing units in the target jurisdiction;

          (4) The applicant's hazard control methods;

          (5) The applicant's blood lead and environmental testing methods;

          (6) The applicant's costs;

          (7) The applicant's financing mechanisms;

          (8) The applicant's relocation plans; and

          (9) A description of the community's lead hazard awareness and education efforts.

        (ii) A Statement of Work that describes all of the activities proposed for funding and details how the proposed work will be accomplished. Following a task-by-task format, the Statement of Work must:

          (1) Discuss the tasks and sub-tasks involved in the program. The discussion must identify how the tasks meet the rating factors for award.

          (2) Indicate the sequence in which the tasks are to be performed, noting areas of work which must be performed simultaneously.

          (3) Include a project management and staff allocation plan for carrying out the activities proposed in the Statement of Work. The project management plan and staff allocation submission should cover the proposed number of staff years by employee allocated to the project, the titles and relevant professional background and experience of each employee proposed to be assigned to the project, and the roles to be performed by each identified staff member. The project management and staff allocation plan must cover the proposed period of performance. The applicant may make use of in-house staff, consultants, sub-contractors and sub-recipients and networks of private consultants and/or local organizations with requisite experience and capabilities. To the maximum extent practicable, applicants should make use of local expertise and persons familiar with the opportunities and resources available in the area to be served. Regardless of the type of staffing resources identified, the plan should identify activities to be undertaken by the staff indicated in the plan.

        (iii) A summary budget identifying costs by cost category in accordance with the following:

          (1) Direct labor by position or individual, indicating the estimated hours per position, the rate per hour, estimated cost per staff position and the total estimated direct labor costs;

          (2) Fringe benefits by staff position identifying the rate, the salary base the rate was computed on, estimated cost per position, and the total estimated fringe benefit cost;

          (3) Material costs indicating the item, unit cost per item, the number of items to be purchased, estimated cost per item, and the total estimated material costs;

          (4) Transportation costs, as applicable. Where local private vehicles are proposed to be used, costs should indicate the proposed number of miles, rate per mile of travel identified by item, and estimated total private vehicle costs. Where air transportation is proposed, costs should identify the destination(s), number of trips per destination, estimated air fare and total estimated air transportation costs. If other transportation costs are listed, the applicant should identify the other method of transportation selected, the number of trips to be made and destination(s), the estimated cost, and the total estimated costs for other transportation costs. In addition, applicants should identify per diem or subsistence costs per travel day and the number of travel days included, the estimated costs for per diem/subsistence and the total estimated transportation costs;

          (5) Equipment charges, if any. Equipment charges should identify the type of equipment, quantity, unit costs and total estimated equipment costs;

          (6) Consultant costs, if applicable. The applicant must indicate the type, estimated number of consultant days, rate per day, total estimated consultant costs per consultant and total estimated costs for all consultants;

          (7) Subcontract costs, if applicable. The applicant must identify proposed subcontracts and provide estimated costs.

          (8) Other direct costs listed by item, quantity, unit cost, total for each item listed, and total direct costs for the award.

          (9) Indirect costs should identify the type, approved indirect cost rate, base to which the rate applies and total indirect costs. These line items should total the amount requested for each cost category. The grand total of all program funds requested should reflect the grand total of all funds for which the applicant is applying. The submission should include the rationale used to determine costs and validation of fringe and indirect cost rates.

        (c) Narrative statement addressing the rating factors for award listed in Section III of this LBPHC section of the SuperNOFA. The narrative statement must be numbered in accordance with each factor for award (Factor 1 through 5).

V. Corrections to Deficient Applications.

The General Section to this SuperNOFA provides the procedures for corrections to this NOFA.


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Content Archived: July 23, 2012