NOFA for Lead-Based Paint Hazard Control in Privately-Owned Housing, Fiscal Year 1997

Federal RegisterJun 3, 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:

[email protected] (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

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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;

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).

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).

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.

(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.

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

(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.

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).

(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.)

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.)

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

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).

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.

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)

(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)

(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)

(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)

(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)