HomeMy WebLinkAboutAssistance Award Amendment-09.24.2007 Assistance Award/ U.S.Department of Housing q_?y-d'�
Amendment and Urban Development
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1.Assistance Instrument 2.Type of Action
W Cooperative Agreement n Grant Fl Award Amendment
3. Instrument Number 4.Amendment Number 5.Effective Date of this Action 6. Control Number
IALHB0357-07 November 1,2007
7. Name and Address of Recipient 8. HUD Administering Office
City of Waterloo HUD, Office of Healthy Homes and Lead Hazard Control
Community Development 451 Seventh Street, SW
620 Mulberry Street Room 8236
Waterloo,IA 50703 Washington,DC 20410
8a.Name of Administrator 8b. Telephone Number
Cherita D.Hammond (202)755-1785 x7583
10. Recipient Project Manager 9. HUD Government Technical Representative
Ms.Nancy Gulick,319-291-4429 GTR-Gail Ward,412-644-4225
GTM-Paul Diegleman,216-522-4058
11.Assistance Arrangement 12. Payment Method 13. HUD Payment Office
NCost Reimbursement n Treasury Check Reimbursement CFO Accounting Center
Administrative Accounting Division,6AFF
Ti Cost Sharing n Advance Check
n Fixed Price M Automated Clearing House P.O.Box 901013
Fort Worth,TX 76101
14. Assistance Amount 15. HUD Accounting and Appropriation Data
Previous HUD Amount $00.00 15a. Appropriation Number 15b. Reservation Number
HUD Amount this action $1,510,597.00 867/80174(FY07) LHB07-05
LRLH/LRLHR
Total HUD Amount $1,510,597.00 Amount Previously Obligated $00.00
Recipient Amount $643,117.00 Obligated by this action $1,510,597.00
Total Instrument Amount $2,153,714.00 Total Obligated $1,510,597.00
16. Description
Employer Identification/DUNS: 426005327/625547120 Program: LHB
This instrument sets forth the agreement between the parties as to all terms and conditions and provisions herein. By signing this award
document,the Grantee certifies that it is in compliance with all administrative and financial provisions of this award. This grant instrument
consists of the following, some of which are incorporated by reference:
1. Cover Page,HUD 1044
2. Schedule of Articles
3. Statement of Work/Work Plan/Benchmark Standards
4. Lead Hazard Control Program Policy Guidance Issuances
5. Grantee's financial and technical proposal
6. Mutually agreed and negotiated proposal changes
7. Abstract of grant activities
8. OMB Circular A-102,which was implemented by 24 CFR 85
9. OMB Circular A-110,which was implemented by 24 CFR 84
10. OMB Circular A-133,which was implemented by 24 CFR 84 and 85
11. Notice of Funding Availability/NOFA(72 FR 5100,January 18,2007)
Period of Performance is November 1,2007 through October 31,2010 (36 months)
Number of Units to be Completed and Cleared: 96
17. Recipient is required to sign and return three(3)copies of 18. Recipient is not required to sign this document.
XI this document to the HUD Administering Office.
19. Recipient(By Name): 20.HUD(By Name):
The Honorable Timothy J. Hurley Cherita D. Hammond,Grant Officer
Signature : - - Date: Signature&Title Date:
"or" j _Ivlayor 10/12/07
Previous editio r obsolete form HUD 1044(8/90)
ref. Handbook 2210.17
HUD 1044 CONTINUATION SHEET—PAGE 1
INSTRUMENT NO: IALHB0357-07
This instrument reflects the acceptance of the budget,key personnel and basic conditions of the Applicant's
Proposal entitled, "WaterLoo Eliminates LeAd HazarDs", which was submitted in response to the 2007
NOFA for the Department of Housing and Urban Development, Fiscal Year 2007, Healthy Homes and
Lead Hazard Control Grant Programs. As a condition of accepting the grant award, the grantee and sub-
grantees,as applicable,agree to the following:
The Grantee shall complete and submit a revised management and work plan(with Benchmark Standards),
Deliverables/Outcomes and Budget within 60 calendar days after the effective date of the Grant. These
revisions shall update the general/basic plan submitted with the proposal and include any negotiation
changes to the work plan and budget. These revisions should be developed according to the instructions
included in the Lead Hazard Control Grant Program Policy Guidance's developed for your specific
OHHLHC grant program or by the Government Technical Representative. Should these specific issues not
be addressed,your grant may be terminated on the basis of failure to conclude negotiations or to provide
HUD with requested information,in accordance with the NOFA(NOFA(72 FR 5100,January 18,2007),
VI. 1.Negotiation.
Grantee's conducting Lead Abatement activities will not be allowed to draw down funds to be used for
conducting housing inspections or lead hazard control work in homes/units (combined risk
assessments/paint inspections, and interim control and hazard abatement) activities prior to the completion
of a satisfactory environmental review by the appropriate HUD Environmental Officer and an approved
Request for Release of Funds and Certification as prescribed within this agreement.
BUDGET
Revised budget
The grantee shall incur costs in conformance with the form HUD-424-CB, budget, included in
the original/revised proposal. The grantee shall not commingle any funds computed under this
grant with any other existing or future operating accounts held by the grantee.
The grantee shall be reimbursed by HUD for 100% of allowable costs incurred in the
performance of this grant. HUD shall not be obligated to reimburse the grantee in excess
of$1,510,597.00. HUD reserves the right to withhold one-percent (1%) of the Federal grant
amount pending the receipt and approval of a final progress report prepared in accordance
with the Article entitled "REPORTS"in this grant agreement.
KEY PERSONNEL
Nancy Gulick,Project Director 10%
Mark Bossen,Program Manager 80%
Mike Prideaux, Lead Coordinator 50% (Black Hawk County)
HUD 1044 CONTINUATION SHEET—PAGE 2
INSTRUMENT NO: IALHB0357-07
The personnel specified on form HUD-96012, Factor 1, Capacity of the Applicant And Relevant
Organizational Experience in the original/revised proposal are considered to be essential to the
work being performed hereunder. Prior to diverting any of the specified individuals to other
work, the grantee shall notify the Grant Officer reasonably in advance and shall submit
justification (including proposed substitutions) in sufficient detail to permit evaluation of the
impact on the work effort. No diversion shall be made by the grantee without the written consent
of the Grant Officer.
REPORTS AND DELIVERABLES
List of Deliverables:
A) Number of Unit Evaluations: 115
B) Number of Units for Clearance: 96
C) Number of Training Sessions: 12
D) Number of Outreach Events: 50
E) Partnership commitments from the organizations identified in the grant application:
Black Hawk County Health Department
Eastside Ministerial Alliance
Operation Threshold
El Centro Lationamericano
Peoples Community Health Clinic
Tri-County Child and Family Development Council
Waterloo Housing Authority
F) Match $643,117.00
HUD 1044 CONTINUATION SHEET—PAGE 3
INSTRUMENT NO: IALHB0357-07
Return on Investment Statement
By using Lead Grant funds with our CDBG funding, we will be able to stretch our
CDBG dollars and improve more housing units. Where feasible we will do rehabilitation
using CDBG funds in conjunction with lead remediation. This will increase property
values for the homeowners as well as make 96 more units lead safe. The opportunity for
employment through our contractors also increases. We will have more work, and we
will also offer the lead training classes at no charge to the contractors and workers.
U.S. DEPARTMENT OF
HOUSING AND URBAN DEVELOPMENT,
OFFICE OF HEALTHY HOMES AND LEAD HAZARD
CONTROL
GRANT PROGRAMS
GRANT AND COOPERATIVE AGREEMENT
PROVISIONS
(MAY 2007)
SCHEDULE OF ARTICLES
1. DEFINITIONS
2. SCOPE OF WORK(COST-REIMBURSEMENT)
3. PERIOD OF PERFORMANCE
4. ** GRANTEE CERTIFICATION PROGRAM REQUIREMENTS(SPECIAL CLAUSE)
5. CONDUCT OF WORK
6. KEY PERSONNEL
7. HUD'S RIGHT TO AUDIT AND DISALLOW OR RECOVER EXPENDITURES
8. PROGRAM INCOME
9. INDIRECT COSTS
10. AMOUNT OF COST SHARE(ESTIMATED COST AND PAYMENT-MATCHING)
11. BUDGET
12. ADVANCE PAYMENT BY TREASURY CHECK OR ELECTRONIC FUNDS
TRANSFER
13. ESTIMATED COST AND PAYMENT-LINE OF CREDIT CONTROL SYSTEM
(LOCCS)
14. CERTIFICATION REGARDING PARTIES EXCLUDED FROM PROCUREMENTS
15. REVIEW OF DELIVERABLES INSPECTION AND ACCEPTANCE
16. COLLECTION OF DATA
17. LIMITATION ON CONSULTANT PAYMENTS
18. PUBLICATIONS AND NEWS RELEASES
19. REPRODUCTION OF REPORTS
20. PATENT RIGHTS (SMALL BUSINESS FIRMS AND NONPROFIT ORGANIZATIONS)
21. LIMITATION ON PAYMENTS TO INFLUENCE CERTAIN FEDERAL
TRANSACTIONS (OVER$100,000)
22. PROJECT MANAGEMENT SYSTEM
23. EQUIPMENT
24. AMENDMENTS
25. CHANGES
26. DISPUTES
27. ORDER OF PRECEDENCE
28. OTHER ADMINISTRATIVE PROVISIONS
29. UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE
AGREEMENTS
30. CERTIFICATION PROHIBITING EXCESSIVE FORCE AGAINST NON-VIOLENT
CIVIL RIGHTS DEMONSTRATORS
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,
31. ** SPECIAL CONDITIONS CLAUSES FOR LEAD BASED PAINT HAZARD
EVALUATION OR CONTROL ACTIVITIES
32. ENVIRONMENTAL POLICY
**NOTE: UNIQUE CLAUSES-CONTAIN SPECIAL REQUIREMENTS FOR ALL
PROGRAMS CONDUCTING LEAD HAZARD EVALUATION OR CONTROL ACTIVITIES
PLEASE READ
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1. DEFINITIONS
a) The term "grant" as used herein refers to either a grant or a cooperative agreement
instrument.
b) The term "grantee" as used herein refers to either a recipient of a grant or a
cooperative agreements.
c) The term "Grant Officer" means the official authorized by HUD to execute and/or
administer this grant. This term also refers to a Cooperative Agreement Officer when
the instrument is a cooperative agreement.
d) The term "Government Technical Representative (GTR)" means the HUD individual
who is responsible for the technical administration of the grant, the evaluation of
performance under the grant, the acceptance of technical reports or projects, and
other such specific responsibilities as may be stipulated in the grant.
e) The term "Government Technical Monitor(GTM)" means the individual responsible
for assisting a Government Technical Representative in the latter's performance of
his/her duties. The GTM is also the responsible individual that will comply with the
Office of Healthy Homes and Lead Hazard Control's devolution of authority under
our Continuity of Operations Plan (COOP). Should the National Capital Region
become non-operational due to emergency conditions, the approval of vouchers and
the authority to pay vouchers will transfer to the GTM until such time as the
designation is lifted. The Government Technical Representative (GTR) will [may?]
continue to be the point of contact for day-to-day management issues and
responsibilities described above.
f) The term "Head of the Awarding Activity (HAA)" means a HUD official, at the
Assistant Secretary level or equivalent, with authority for policy, award, and
administration of discretionary grants within one or more HUD organizational
elements. For this grant, the HAA is the Director of the Office of Healthy Homes
Lead Hazard Control.
g) The term "Guidelines" refers to the definitions, standards and information contained
in the latest edition of the "Guidelines for the Evaluation and Control of Lead-Based
Paint in Housing" HUD. The guidelines are incorporated by reference.
h) The term "OHHLHC" means the HUD Office of Healthy Homes and Lead Hazard
Control.
i) The term "NOFA" means the Notice of Funding Availability, which announced the
availability of funding for this grant.
2. SCOPE OF WORK(COST-REIMBURSEMENT)
The grantee shall furnish the necessary personnel, materials, services, equipment, facilities
(except as otherwise specified herein) and otherwise do all things necessary for or incidental to
the performance of the work set forth in submitted with your original application under the
NOFA for Fiscal Year 2006 as well as the subsequent Statement of Work / Management and
Work Plan and Benchmark schedule.
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Management and Work Plan (with Benchmark Standards), Deliverables and Budget.
The Grantee shall complete and submit a detailed management and work plan (with Benchmark
Standards), Deliverables and Budget within 90 days after the effective date of the grant and are
subject to review and approval by HUD. These revisions shall update the general plan submitted
in the proposal and include any negotiation changes of the work plan or budget if applicable. The
plan shall be developed according to the instructions and benchmark standards that will be
provided by the Government Technical Representative for the grant program as applicable.
Instructions for the Lead Hazard Control Program and Healthy Homes programs are provided as
follows:
For the Lead Hazard Control Grant Program, use OHHLHC Policy Guidance Number 2001-03
"Revised Quarterly Progress Reporting Requirements" dated October 1, 2001, as amended,
and/or guidance from the GTR.
The plan for the Healthy Homes Programs, should be prepared pursuant to the following outline:
I. Background
II. Project Goals and Objectives
III. Project Tasks
IV. Reporting and Deliverables
V. Project Budget
VI. Appendices
The estimated number of housing units and structures in which evaluation and/or intervention
activities are expected to take place should be included in the project goals and objectives section.
Objectives of research components of the grant should be stated in terms of testable hypothesis in
the work plan when possible.
Tasks should be arranged sequentially or in a logical order within the work plan, and include
supportive activities. The entity responsible for each task should be identified, and the timeframe
for its completion stated. The tasks section should also include a discussion of the roles and
responsibilities of all of the organizations on the project team. The Institution Review Board
approval is required,you should be clear on how this will be obtained.
For recipients of all programs, please contact your Government Technical Representative to get
specific instructions.
The management and work plan consists of the goals and time-phased objectives and deliverables
for each of the major tasks to be undertaken by the program. Benchmark standards (milestones)
have been developed to assist the grantee plan and implement its program in a timely and cost-
effective manner. A revised budget, in accordance with the final negotiation, shall be submitted
(if necessary). The work plan shall also include a detailed narrative description of how assistance
and funding will flow from the grantee to the actual performers of the hazard reduction work; the
selection process for subgrantees and subcontractors; the selection process for the particular
properties to be abated, the lead hazard control activities to be undertaken, and the screening,
health, and other measures to be taken to protect children and other occupants. Where there is
interdependence among the tasks, the work plan shall indicate how each interdependent task will
provide needed inputs to the others. (Also, see Article 22, Project Management System — Work
Plan).
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The revisions to the management and work plan deliverables and budget, if needed, shall be
submitted within 60 days after the effective date of the grant and are subject to review and
approval by HUD. When approved by the GTR and the Grant Officer,the work plan, deliverables
and budget shall be incorporated as part of the grant agreement and amended/modified
accordingly.
3. PERIOD OF PERFORMANCE AND INCURRING COSTS OR OBLIGATING FEDERAL
FUNDS BEYOND THE EXPIRATION DATE
a. The grantee shall provide all services stipulated in this award agreement for the period of
months specified on the HUD 1044, "Assistance Award/Amendment" Continuation Sheet from
the effective date stipulated in Block #5 of the HUD 1044. Grantees are to comply with the
requirements of 24 CFR 84.28 or 24 CFR 85.23 (Period of availability of funds), as applicable, in
charging costs to the grant. All obligations incurred under the award must be liquidated not later
than 90 days after the end of the funding period. The preparation of the final administrative and
financial reports is to be completed within the 90-days after the end of the period of performance
b. The grantee shall not incur costs or obligate funds for any purpose pertaining to the operation
of the project, program, or activities beyond the expiration date stipulated in the award. The only
costs which are authorized for a period of up to 90 days following the award expiration date are
those strictly associated with closeout activities. Closeout activities are normally limited to the
preparation of final progress, financial, and required project audit reports unless otherwise
approved in writing by the Grants Officer.
c. Any extension of the award period can only be authorized by the Grants Officer in writing.
Verbal or written assurances of funding from other than the Grants Officer shall not constitute
authority to obligate funds for programmatic activities beyond the expiration date.
d. The OHHLHC has no obligation to provide any additional prospective (?) funding. Any
amendment of the award to increase funding and to extend the period of performance is at the
sole discretion of the OHHLHC.
4. ** GRANTEE CERTIFICATION PROGRAM REQUIREMENT
The Grantee agrees that any funds under this grant used for lead-based paint or lead-based paint
hazard evaluation or control activities shall be conducted by firms and persons qualified for the
activities according to 24 CFR Part 35, subpart R(possessing, as applicable, certification valid for
the State in which the activity is conducted as abatement contractors, risk assessors, inspectors,
abatement workers, or sampling technicians, or,for interim lead hazard control work,training in a
HUD-approved course in lead-safe work practices), and that laboratories used for analysis of
samples for lead in paint, soil or dust shall be recognized by the U.S. Environmental Protection
Agency for the analysis of those samples under its National Lead Laboratory Accreditation
Program.
5. CONDUCT OF WORK
During the effective period of this grant, the Government Technical Representative and/or the
Government Technical Monitor identified in Block 9 of the HUD-1044 shall be responsible for
monitoring the technical effort of the grantee, unless the grantee is notified in writing by the
Grant Officer of a replacement.
Only the Grant Officer has the authority to authorize deviations from this grant, including
deviations from the Statement of Work/Work Plan. In the event the grantee does deviate without
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written approval of the Grant Officer, such deviation shall be at the risk of, and any costs related
thereto, shall be borne by the grantee.
6. KEY PERSONNEL
The personnel specified in the original proposal, stated in the grant agreement, or as amended on
the HUD 1044 Continuation Page of the amendment, as key personnel are considered to be
essential to the work being performed hereunder. Prior to diverting any of the specified
individuals to other work, the grantee shall notify the Grant Officer and GTR reasonably in
advance in writing and shall submit justification (including proposed substitutions (with the
qualifications and experience of the substitute personnel)) in sufficient detail to permit evaluation
of the impact on the work effort. No diversion shall be made by the grantee without the written
consent of the Grant Officer.
7. HUD'S RIGHT TO AUDIT AND DISALLOW OR RECOVER EXPENDITURES
For the performance of the work under this instrument, HUD shall reimburse the grantee for costs
incurred ("allowable costs") which are determined by the Grant Officer to be allowable,
allocable, and reasonable in accordance with the following cost principles*:
a. For colleges and universities: OMB Circular A-21.
OMB Circular A-21, Cost Principles for Educational Institutions(05/10/2004) HTML or PDF
(263k), Relocated to 2 CFR, Part 220(384k)
b. For State and local Governments: OMB Circular A-87.
OMB Circular A-87, Cost Principles for State, Local and Indian Tribal
Governments (05/10/2004) HTML or PDF (199k), Relocated to 2 CFR, Part 225 (362k)
c. For other nonprofit organizations: Federal Acquisition Regulation Part 31 — Contract
Cost Principles and Procedures. Office of Management and Budget (OMB) Circular
A-122: Cost Principles for Non-Profit Organizations excludes the non-profit
organizations listed in Attachment C in accord with item 5 of the Circular.
OMB Circular A-122, Cost Principles for Non-Profit Organizations(05/10/2004) HTML or PDF
(220k), Relocated to 2 CFR, Part 230(235k)
d. For all other grantees, Federal Acquisition Regulation, Part 31 Subpart 31.2.
e. HUD Handbook 2210.18 Cost Principles for For-Profit Organizations.
*The Version of these documents in effect on the date of award shall govern throughout the
period of performance.
8. PROGRAM INCOME
Any program income derived as a result of this award shall be added to funds committed under
your award to further activities eligible for assistance under this award. If not contained in the
Work Plan or under Special Conditions itemized in these provisions, prior to using program
income to further the objectives of the grant program, the parties shall mutually agree by written
amendment on the use of program income. Program income received after the period of
performance must be used to further the objectives of the applicable OHHLHC grant program for
which this grant is awarded in accordance with CFR 24 Part 84.24/85.25 as applicable.
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9. INDIRECT COSTS
If the Grantee has received a provisional rate, pending establishment of a final rate,
reimbursement will be made on the basis of the provisional rate. By accepting this award
document, Grantee agrees to bill at the provisional indirect cost rate for the entire period of
performance of the award agreement. At completion, of the grant, adjustments may be made
from the provisional rate to the final rate before the end of the period of performance. However,
such adjustments must not exceed the total amount of the award as stated in Block 15 of the
HUD-1044.
10. AMOUNT OF COST SHARE (ESTIMATED COST AND PAYMENT—MATCHING) (See
Blocks 14 of the HUD 1044)
(a)The estimated cost for the performance of this grant is the "Total Instrument Amount".
(b) The grantee shall be reimbursed by HUD for 100% of costs incurred in the performance
of this grant. HUD shall not be obligated to reimburse the grantee in excess of the
"Total HUD Amount". HUD reserves the right to withhold one-percent (1%) of the
Federal grant amount(what if money will be left?)pending the receipt and approval of a
final progress report prepared in accordance with the Policy Guidance or GTR
instructions for the specific OHHLHC program and any amendments.
(c) The proposed contribution to supplement HUD funds is the "Recipient Amount." The
grantee agrees to bear without reimbursement by HUD the "Recipient Amount" of the
total costs. The grantee is not obligated to contribute more than the "Recipient
Amount". However, the grantee shall be solely responsible for any costs in excess of
the estimated cost of the"Total Instrument Amount".
(d)The grantee must satisfy all statutory matching requirements in the NOFA. If the grantee's
actual matching contribution is less than "Recipient Amount" under Block 14 of the
HUD 1044, the Government reserves the right to negotiate new line items and/or
amounts to satisfy the grantee's match, or to reduce the Government's share
proportionally. The grantee must satisfy all statuary matching requirements in the
NOFA. The grantee shall notify the Government at any time it believes it will not meet
its match by the completion of the grant. If the grantee exceeds the dollar amount
shown above, there will be no impact on the Federal share. (What about leverage or
other commitments above the statutory amount?
11. BUDGET
The grantee shall incur costs in conformance with the budget, presented in the original proposal
stated in the grant agreement, or as amended on the HUD 1044 Continuation Page of the
amendment. The grantee shall not commingle any funds computed under this grant with any other
existing or future operating accounts held by the grantee.
If the grantee has been contacted to submit documents to support the application that were not
received prior to the execution of this grant, the grantee will not be allowed to draw down funds,
exceeding 10%of the federal amount,until such time that the requirements have been met.
Standard Form 269,Financial Status Report, detailing match or in-kind contributions shall
be submitted on a quarterly basis. A final narrative and Standard Form 269 report
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detailing the progress made in achieving the purpose of the grant and adequate
documentation of the total funds expended in support of the activities to achieve this
purpose (both Federal and in-kind 10 percent match, if applicable) are due 90 days after the
end of the period of performance. See Article 10(b) regarding the holdback of 1% of the
Federal amount pending the receipt and approval of the final narrative report.
12. ADVANCE PAYMENT BY TREASURY CHECK OR ELECTRONIC FUNDS
TRANSFER
Advance payments by Treasury check or electronic funds transfer are hereby authorized under
this grant. A Grantee that is subject to existing State program accreditation requirements may
request an advance payment in writing, if applicable. HUD may provide to the grantee a one time
cash advance that shall not exceed 10 percent of the grant amount, and shall be limited to the
minimum amount needed for the actual, immediate cash requirements of the grantee in carrying
out the tasks of this agreement and as agreed to by the Grant Officer. These funds cannot be used
for conducting lead hazard control work in homes until the Grantee has an approved Request for
Release of Funds and Certification (Form HUD 7015.15 and OHHLHC Policy Guidance Issuance
2000-01 dated 02/24/2000). Contact the OHHLHC Environmental Clearance Officer, Edward A.
Thomas at 215-861-7670 for questions and mail the original and copies to the following
addresses:
Originals:
Edward A. Thomas
Healthy Homes Representative, Region 3
Environmental Clearance Officer
Office of Healthy Homes and Lead Hazard Control
Office of Housing and Urban Development
The Wanamaker Building, 12th Floor
100 Penn Square East
Philadelphia, PA 19107-3380
Phone: 215-861-7670
Fax: 215-656-3442
Cell: 267-235-8695
edward_a._thomas@hud.gov
Copies:
(Block 8 Address of 1044)
Attn: GTR in Block 9 of 1044
HUD will not make additional payments from the amount awarded to a grantee until the grantee's
contractors and workers are qualified for the activities according to 24 CFR Part 35 (possessing
certification as abatement contractors, risk assessors, inspectors, abatement workers, or sampling
technicians, or others having been trained in a HUD-approved course in lead-safe work
practices). Any additional funds requested by the grantee shall be requested in accordance with
Clause 13, "Estimated Cost And Payment-Line Of Credit Control System(LOCCS)"
Should the grantee demonstrate an unwillingness or inability to establish procedures that will
minimize the time elapsing between advances and disbursements, or fail to provide any required
progress report in a timely manner,the authorization for advance payments may be revoked. The
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grantee may then be required to finance the project with its own working capital and payment to
the grantee may be made by Treasury check to reimburse it for actual cash disbursements."
13. ESTIMATED COST AND PAYMENT - LINE OF CREDIT CONTROL SYSTEM
(LOCCS)
The grantee shall be reimbursed for costs incurred in the performance of work under this grant in
an amount not-to-exceed "Total HUD Amount"in Block 14 of the HUD 1044. In the event the
grantee incurs cost in excess of this amount, the excess shall be borne entirely by the grantee.
Incurred costs shall be reimbursed through HUD's Line of Credit Control System (LOCCS) using
the electronic Voice Response System (VRS). LOCCS uses a computer software program, which
ensures that requested payments do not exceed the amount authorized to the grantee. Each day
LOCCS generates a payment tape for the Department of the Treasury, which disburses the
payments via the Automated Clearinghouse(ACH)Payment System and a Voucher and Schedule
of Payments. All payments are certified by HUD and forwarded to Treasury for processing.
Before receiving funds from the VRS, the grantee must designate a financial institution in order
for HUD to make direct deposit payments through the ACH system. In the event the grantee,
during the performance of this grant, elects to designate a different financial institution for the
receipt of any payments, notification of such change and the related information must be received
by the Grant Officer 30 days prior to the date such change is to become effective.
In order to have access to LOCCS and the VRS, the grantee shall obtain a Security ID and
Password from HUD's LOCCS Security Officer, using the form HUD-27054, LOCCS Voice
Response Access Authorization Form.
The grantee shall submit the original vouchers for work performed to the GTR identified in
Block 9 of the form HUD-1044. The voucher shall be supported by a detailed breakdown of
the cost(s) claimed (Grantees are to use the Part 3 Financial Reporting Attachment included in
Policy Guidance 2001-03). In order to assure proper payment, it is important that the voucher is
in accordance with the payment amount requested through the VRS. Payment requires the
authorized grantee to telephone the VRS and provide the Security ID number and requested
information.
Detailed instructions for using the LOCCS-VRS were provided in your transmittal letter.
Funds advanced to the grantee shall be maintained in an interest bearing account. Any interest
earned by the grantee as a result of the advanced funds shall be promptly returned to HUD. All
check remittances should be sent to the new Miscellaneous Lockbox as follows:
NationsBank—Bank of America
DHUD P.O. Box 277303
Atlanta, GA 30384-7303
If the grantee is a State or local government, the grantee may retain up to $100.00 of interest
earned per grantee's fiscal year for administrative expenses. (24 CFR 85.21).
If the grantee is a University, non-profit or for profit organization, the grantee may retain up to
$250.00 of interest earned per grantee's fiscal year for administrative expenses. (24 CFR 84.22).
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State universities and hospitals shall comply with CMIA, as it pertains to interest.
Other funds due to HUD after the end date of the grant or close-out, as a result of internal audit or
other reasons, will be returned to the GTR identified in Block 9 of the form HUD-1044 of this
grant."
14. CERTIFICATION REGARDING PARTIES EXCLUDED FROM PROCUREMENTS
By signing this agreement,the grantee also certifies that before awarding any subcontracts or sub-
awards, it will ensure that the subcontractor or subrecipient is not included on the General
Services Administration's (GSA) "List of Parties Excluded From Federal Procurement or Non-
procurement programs". If a subcontractor or subrecipient is on the GSA's published list, they
are ineligible for assistance and the grantee is restricted from awarding them a contract or
subgrant. Copies of the GSA published list can be obtained from the Superintendent of
Documents, U.S. Government Printing Office, Washington, DC 20402 or by email at the
following site: http://epls.arnet.gov.
15. REVIEW OF DELIVERABLES
a) Definition-For the purpose of this clause, "Deliverables" include:
1) All interim and final reports,
2) Survey instruments required by Statement of Work/Work Plan, if applicable, and
3) Other physical materials and products produced directly under the Statement of
Work/Work Plan of this grant, if applicable.
4) Match, in-kind and leverage commitments, if applicable.
b) General
1) The GTR shall have the sole responsibility for HUD review, correction, and
acceptance of the deliverables of this grant. Such review(s) shall be carried out
promptly by the GTR, so as not to impede the work of the grantee. The Products
of Work shall be deemed as accepted as submitted if the GTR has not issued
written comments and/or required corrections within thirty (30) days of the date
of the GTR's receipt of such product from the grantee.
2) The grantee shall carry out the required corrections, if any, provided by the GTR
and shall promptly return a revised copy of the product to the GTR.
3) The basis for acceptance shall be the grantee's good faith efforts to complete the
deliverables of this grant.
4) The GTR's review, correction, and acceptance of deliverables shall be limited to:
(1) corrections of omissions or errors of fact, methodology, or analysis; (2)
deletion of irrelevant materials; and(3) improvements in style readability.
5) In the review and acceptance of deliverables, the GTR may not require any
change in the grantee's stated views, opinions, or conclusions.
6) Should there be any disagreement between the grantee and the GTR as to any
correction, or the methodology or analysis on which any conclusion is based, the
GTR may require the grantee to insert a Government dissent(s)in the appropriate
place(s). The inclusion of such dissent(s) in an Official Product of Work,
otherwise found acceptable by GTR, and the return to the GTR of a revised copy
containing the dissent(s), shall satisfy the requirements for acceptance of the
Official Product of Work under this clause.
11
7) Such dissent(s) shall not apply to any independent publication by the grantee of
Independent Products that may arise from the work or findings of this grant.
16. COLLECTION OF DATA
Collection of data from ten or more respondents and sponsored by HUD shall be subject to the
Paperwork Reduction Act(44 U.S.C. 3501 - 3520). If a survey instrument for a collection of data
sponsored by HUD is proposed, it will be subject to review and approval by the Office of
Management and Budget(OMB). Such review and approval must be obtained prior to the use of
the survey instrument. Also, a time element is involved here, which may considerably lengthen
the time required for completion of the project proposed. Careful consideration should be given
to any proposal, which requires the use of a survey or other information collection sponsored by
HUD. The collection of data is deemed to be sponsored by HUD only under the following
conditions(5 CFR 1320.3):
a) The grantee is conducting the collection of information at the specific request of HUD;
or
b) The terms and conditions of the grant require specific approval by HUD of the
collection of information or collection procedures. Note that if the grantee decides on its own to
collect information and it does not need HUD approval to do so, then HUD is not the "sponsor"
of the information collection.
17. LIMITATION ON CONSULTANT PAYMENTS
As required by HUD's Appropriations Act, salary payments to consultants under this instrument
shall not exceed the equivalent of the maximum daily rate paid to level IV of the Executive
Schedule for Federal Employees. This limitation refers to consultants hired through the grantee's
personnel system, but not to consultants who perform as independent contractors.
18. PUBLICATIONS AND NEWS RELEASES
The results of work conducted under the award may be made available to the public
through dedication, assignment by HUD, or other means, as HUD shall determine.
All interim and final reports and any other specified deliverables shall be owned by the
government and held for the benefit of the public which shall include Grantee and Grantees
subrecipients.
Interim and final reports (need to confirm that this includes the required scientific
manuscript) may not be published by the awardee or any subrecipients participating in the work
for a period of sixty days after acceptance of the deliverables by the GTR.
All deliverables, or any part thereof, and any independent products and special products
arising from this award, when published by the awardee or other participants in the work shall
contain the following acknowledgment and disclaimer:
"The work that provided the basis for this publication was supported by funding under an
award with the U.S. Department of Housing and Urban Development. The substance and
findings of the work are dedicated to the public. The author and publisher are solely responsible
for the accuracy of the statements and interpretations contained in this publication. Such
12
interpretations do not necessarily reflect the views of the Government."
Copies of all press releases, formal announcements, and other planned, written issuances
containing news or information concerning work products or activities of this award that may be
made by the awardee or its staff, or any sub-awardee or other person or organization participating
in the work of the award, shall, whenever possible, be provided to the GTR for review and
comment at least two weeks before the planned release but in no event later than coincidental
with release.
Copies of all press releases or public issuances made during the term of the award must
submitted to the GTR for review and comment before release.
19. REPRODUCTION OF REPORTS
BRANCH PROCUREMENT OF CERTAIN KINDS OF PRINTING; "PRINTING"DEFINED
Pub. L. 102-392, title II, Sec. 207(a), Oct. 6, 1992, 106 Stat. 1719, as amended by Pub. L.
103-283, title II, Sec. 207, July 22, 1994, 108 Stat. 1440; Pub. L. 104-201, div. A, title XI,
Sec. 1112(e)(1), Sept. 23, 1996, 110 Stat. 2683, provided that:
(1) None of the funds appropriated for any fiscal year may be obligated or expended by
any entity of the executive branch for the procurement of any printing related to the
production of Government publications (including printed forms), unless such
procurement is by or through the Government Printing Office.
(2) Paragraph (1) does not apply to (A) individual printing orders costing not more than
$1,000, if the work is not of a continuing or repetitive nature, and, as certified by the
Public Printer, if the work is included in a class of work which cannot be provided
more economically through the Government Printing Office, (B) printing for the
Central Intelligence Agency, the Defense Intelligence Agency, National Imagery and
Mapping Agency, or the National Security Agency, or (C) printing from other
sources that is specifically authorized by law.
(3) As used in this section, the term 'printing' includes the processes of composition,
platemaking, presswork, duplicating, silkscreen processes, binding, microform, and
the end items of such processes.
20. PATENT RIGHTS (SMALL BUSINESS FIRMS AND NONPROFIT ORGANIZATIONS)
Patent rights are as specified in 37 CFR Part 401, entitled "Rights to Inventions made by
Nonprofit Organizations and Small Business Firms under Government Grants, Contracts and
Cooperative Agreements".
Inquiries regarding this Patent Rights clause should be in writing and directed to:
Grant Officer
Office of Healthy Homes and Lead Hazard Control
U.S. Department of Housing and Urban Development
451 Seventh Street SW
Washington, DC 20410-3000
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,
21. LIMITATION ON PAYMENTS TO INFLUENCE CERTAIN FEDERAL
TRANSACTIONS (OVER$100,000)
Section 1352 of Title 31, U.S.C. provides in part that no appropriated funds may be expended by
the recipient of a Federal contract, grant, loan, or cooperative agreement to pay any person for
influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with any of the following covered Federal actions: the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan, the entering into of
any cooperative agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract,grant, loan,or cooperative agreement.
22. PROJECT MANAGEMENT SYSTEM
DELIVERABLES
The grantee shall include a schedule listing all significant project milestones, and dates
for submission of all project deliverables including quarterly project reports, interim
reports where appropriate, the final report, and financial reports utilizing HUD form 269.
Upon approval of the work plan, the grantee should ensure all deliverables identified in
the Work Plan and Benchmark schedule are delivered on time.
QUARTERLY PROJECT REPORTS
Quarterly reports will be due no later than January 30th, April 30th, July 30`h and October
30th, for the preceding quarter following the initiation of the grant through project
closeout. If a due date falls on a weekend, holiday, or otherwise-closed Federal
workday in Washington, DC, it shall be extended to the next Federal workday in
Washington, DC, without affecting subsequent due dates. A template to be used in
the preparation of each quarterly report will be provided by HUD after grant award.
Quarterly reports must reflect activities undertaken, obstacles encountered and solutions
achieved, and accomplishments in each calendar quarter. Contracts, training materials
and protocols, rosters of persons trained, outreach and educational materials prepared,
and other significant products developed to implement, analyze or control the project or
disseminate information are to be submitted with the quarterly reports as attachments.
FINAL REPORT
A final report shall be submitted. The final report shall summarize the applicant's plans,
execution of the plans, achievements noted, and lessons learned. The report need not be
lengthy, but should be of a quality and detail to provide freestanding description to any
outside reader of all of the applicant's work and achievement under the grant.
Specific and detailed guidance on preparing the forms and the narratives may be obtained
from the GTR.
Grantees under the Lead Hazard Control Grant Program, and the Lead Hazard Reduction
Demonstration Grant Program shall use the HUD Office of Healthy Homes and Lead Hazard
14
Control (OHHLHC) Project Management System specified in this clause. The HUD OHHLHC
system requires the submission of a work plan with specific, time phased, and realistic goals,
objectives, and benchmark milestones established. Quarterly status reports that show progress and
measure performance of the program in meeting approved work plan goals, objectives and
benchmark milestones are to be submitted. The Project Management System utilizes quantifiable
data and a narrative description of progress. For more specific details and guidance, please refer
to the OHHLHC's Lead Hazard Control Grant Program Policy Guidance Number 2001-03
Revised Quarterly Progress Reporting Requirements for the Lead Hazard Control Grant
Program dated October 1, 2001, as amended.
For all grantees quarterly Progress Reports are to be submitted according to the requirements of
the Lead Hazard Control Grant Program Policy Guidance Number 2001-03. The quarterly
progress reporting system is web-based and requires an Internet connection. Grantees are to
complete the quarterly progress report(Form-HUD-96006)by accessing
http://www.leadgrantonline.net via the Internet.
or other Internet address or other method, as advised by the GTR. In the event that a grantee
cannot access the Internet, a"Word template"version is available. Completed quarterly reports in
this format should be submitted to:
grantee_quarterly@hud.gov (use underscore)
or other Internet address or other method, as advised by the GTR.
NOTE: Grantees are required to have approval from their Government Technical
Representative(GTR)prior to submitting the report using the Word template format.
Grantees are to submit quarterly progress reports as soon as possible, but no later than 30 days
after the end of each calendar year quarter.
Grantees, for all programs, are advised that failure to submit timely quarterly progress
reports will result in not having their "LOCCS VRS Request Voucher for Grant Payment"
processed and/or approved for payment until such time as the quarterly progress report is
submitted to HUD.
23. EQUIPMENT
The following equipment is allowable, in accordance with the OHHLHC NOFA for the
applicable grant program,to be acquired for the performance of this grant is identified as follows:
XRF Instruments
X-ray fluorescence (XRF) instruments purchased with Federal funds for use in the OHHLHC
Grant programs will remain the property of the grantee under the conditions cited in 24 CFR
84.34 or 85.32,as applicable.
24. AMENDMENTS
This grant may be modified at any time by a written amendment. Amendments, which reflect the
rights and obligations of either party, shall be executed by both HUD (the Grant Officer) and the
grantee. Administrative amendments, such as changes in appropriation data, may be issued
15
unilaterally by the Grant Officer.
25. CHANGES:
In accordance with 24 CFR 85.30 or 84.25, as applicable, Grantees or subgrantees must obtain
the prior approval of the awarding agency whenever any programmatic changes are anticipated to
include the following:
(1) Any revision of the scope or objectives of the project (regardless of whether there is
an associated budget revision requiring prior approval).
(2) Need to extend the period of availability of funds.
(3) Budget revisions that are 10% or more of the cumulative transfers among direct cost
categories, or, if applicable, among separately budgeted programs, projects,
functions, or activities which exceed or are expected to exceed ten percent of the
current total approved budget, whenever the awarding agency's share exceeds
$100,000.
(4) Changes in key persons in cases where specified in an application or a grant award.
In research projects, a change in the project director or principal investigator shall
always require approval unless waived by the awarding agency.
(5) Under non-construction projects, contracting out, subgranting (if authorized by law)
or otherwise obtaining the services of a third party to perform activities, which are
central to the purposes of the award.
26. DISPUTES
During performance of the grant, disagreements may arise between the grantee and the Grant
Officer on various issues. If a dispute concerning a question of fact arises, the Grant Officer shall
prepare a final decision, taking into account all facts and documentation presented. The decision
shall be mailed to the grantee. The grantee may appeal the decision within thirty (30) days to the
Deputy Secretary of HUD, or his or her designated representative.
27. ORDER OF PRECEDENCE
In the event of any inconsistency among any provisions of this grant, the following order of
precedence shall apply:
a. NOFA
b. Management and Work Plan
c. Grantee Certification Program Requirement
d. Statement of Work/Work Plan(excluding the grantee's proposal, if incorporated).
e. Special Conditions
f. Schedule of Articles.
g. Uniform Administrative Requirements.
h. Grantee's Proposal (if incorporated).
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28. OTHER ADMINISTRATIVE PROVISIONS
The grantee shall comply with all standard assurances, which were executed as part of the
application process.
29. UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE
AGREEMENTS
All provisions of 24 CFR Part 84, "Grants and Agreements with Institutions of Higher Education,
Hospitals and other Non-Profit Organizations" apply to these grantees. The grantee shall comply
with all standard assurances, which were executed as part of the application process.
All provisions of 24 CFR Part 85, "Administrative Requirements for Grants and Cooperative
Agreements to State, Local and Federally Recognized Indian Tribal Governments" apply to these
grantees. The grantee shall comply with all standard assurances, which were executed as part of
the application process.
For the full text follow these instructions (which were valid at the time of grant award; alternative
methods may be required as determined by the Government Printing Office):
1. Go to the following web site: http://www.gpoaccess.gov/cfr/
2. Under Most Current Data, in the Quick Search block, for 24 CFR 84, enter "24CFR84" with
quotation marks and without spaces; similarly, for 24 CFR 85, enter "24CFR85".
3. For 24 CFR 84, scroll down to (24CFR84—Part 84— Uniform Administrative
Requirements For Grants And Agreements With Institutions of Higher Education,
Hospitals, and Other Non-Profit Organizations). Click the word "text"to view the text file.
For 24 CFR 85, scroll down to (24CFR85—Part 85 Administrative Requirements for
State, Local and Federally Recognized Indian Tribal Governments). Click the word "text"
to view the text file.
30. CERTIFICATION PROHIBITING EXCESSIVE FORCE AGAINST NON-VIOLENT
CIVIL RIGHTS DEMONSTRATORS
This certification applies to any grant or cooperative agreement using funds appropriated under
section 103 of the Housing and Community Development Act of 1974(42 U.S.C. 5304).
The applicant certifies that it has adopted and is enforcing:
a) A policy prohibiting the use of excessive force by law enforcement agencies within
its jurisdiction against any individuals engaged in non-violent civil rights
demonstrations; and
b) A policy of enforcing applicable State and local laws against physically barring
entrance to or exit from a facility or location which is the subject of such non-violent
civil rights demonstrations within its jurisdiction.
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31. SPECIAL CONDITIONS CLAUSE FOR HEALTHY HOMES
DEMONSTRATION PROGRAMS
a. Institutional Review Board(IRB)Approval. Grantee is required to conform with
the Common Rule(Federal Policy for the Protection of Human Subjects,45 CFR
46, codified by HUD at 24 CFR 60.101)., For grant activities that include
research involving human subjects your organization must provide an assurance
(e.g., a letter signed by an appropriate official)that the research has been
reviewed and approved by an IRB before you can initiate activities that require
IRB approval. The grantee must also provide the number for your
organization's assurance(institutional assurance)that has been approved by the
Department of Health and Human Service's Office of Human Research
Protections(OHRP). For additional information on elements of human subject
research or obtaining an institutional assurance, see the OHRP website at:
http://www.hhs.gov/ohrp_
b. HIPAA Authorization. The Privacy Rule of the Health Insurance Portability and
Accountability Act of 1996 requires covered entities that transmit health
information electronically(health care providers,health plans, etc.)to protect
that information. In collecting,maintaining and utilizing such covered health
information the grantee(if a `covered entity' as defined in the act) is required to
obtain authorization from the patient or parent,a waiver of authorization from
an IRB or HIPAA Privacy Board,or de-identify the data in a manner prescribed
by the IRB or HIPAA Privacy Board. Grants subject to requirements of the
HIPAA Privacy Rule must address these requirements.Additional information on
HIPAA and the Privacy Rule can be found at http://www.hhs.gov/ocr/hipaa and
http://privacyruleandresearch.nih.gov/authorization.asp.
c. Lead Hazard Control Activities. The grantee must conduct all lead hazard
control activities in compliance with HUD's Lead-Safe Housing Rule, 24 CFR
Part 35. Grantees must also comply with any additional requirements in effect
under a state or Native American Tribal Lead-Based Paint Training and
Certification Program that has been authorized by the EPA pursuant to 40 CFR
745.320. See Section III.C.2.c. regarding lead activity limitations.
d. Compliance with Lead Disclosure Rule. The grantee must provide all lead-based
paint and lead-based paint hazard test and hazard reduction results to the owner
of the unit,with a statement describing the owner's legal duty to disclose the
results to tenants(before initial leasing, or before lease renewal with changes)
and buyers(before sale) if the housing was constructed before 1978 (24 CFR Part
35, subpart A). This information may only be used for purposes of remediation
of hazards in the unit and not for retribution/eviction. Disclosure of other
identified housing-related environmental health and safety hazards to the owner
of the unit, for purposes of remediation, is encouraged but not required unless
disclosure is required by Federal, state or local regulations.
e. Integrated Pest Management. Unless otherwise authorized in writing by HUD,
all pest control activities under this grant shall incorporate the principles and
methods of integrated pest management(IPM). In technical terms, IPM is the
coordinated use of pest and environmental information with available pest
18
control methods to prevent unacceptable levels of pest damage by the most
economical means and with the least possible hazard to people, property, and the
environment.
f. Hazardous Waste Disposal. The grantee must follow procedures for hazardous
waste disposal as required by the EPA(e.g., 40 CFR parts 61, 260-282, 300-374,
and/or 700-799, as applicable),the Department of Transportation(e.g., 49 CFR
parts 171-177), and/or appropriate state or local regulatory agencies.
g. Worker Protection Procedures. The grantee must comply with the procedures
for worker protection established in the HUD Guidelines as well as the
requirements of OHSA, e.g., 29 CFR part 1910 and/or 1926, as applicable, or the
state or local occupational safety and health regulations,whichever are more
stringent.
h. Written Policies and Procedures. The grantee must have written policies and
procedures for all phases of interventions, including recruitment, enrollment,
participant prioritization, unit assessment, development of specifications,
remediations,training, financing, occupant relocation, independent project
inspection,and clearance testing(e.g., for mold, lead,carbon monoxide or other
hazards,as applicable). The grantee and all subcontractors, sub-recipients, and
their contractors,must comply with these policies and procedures. For Lead and
Healthy Homes Technical Study grantees, completion of a work plan and a
quality assurance plan are sufficient to fulfill this requirement.
i. Data Collection and Provision. The grantee must collect, maintain,and provide
to HUD the data necessary to document the various approaches used to evaluate
and control housing-related environmental health and safety hazards, including
evaluation and remediation methods, building conditions,medical and familial
information(with confidentiality of individually-identifiable information
ensured)in order to determine the effectiveness and relative cost of these
methods. Technical studies grantees shall provide HUD with a copy of their final
data set in electronic format with an accompanying data dictionary.
j. Section 3 Employment Opportunities. Recipients of assistance in the Healthy
Homes Demonstration Program must comply with Section 3 of the Housing and
Urban Development Act of 1968, 12 U.S.C. 1701u(Economic Opportunities for
Low-and Very Low-Income Persons in Connection with Assisted Projects)and
the HUD regulations at 24 CFR part 135, including the reporting requirements of
subpart E.
k. Blood Lead Testing. Any blood lead testing, blood lead level test results,
medical referral, or follow-up for children under 6 years of age will be conducted
according to the recommendations of the Centers for Disease Control and
Prevention(CDC),Preventing Lead Poisoning in Young Children.
1. Laboratory Analysis for Lead. Laboratory analysis covered by the NLLAP will
be conducted by a laboratory recognized under the program.
19
m. Laboratory Analysis for Mold. Samples to be analyzed for mold(fungi)must be
submitted to a laboratory accredited through the Environmental Microbiological
Laboratory Accreditation Program(EMLAP), administered by the American
Industrial Hygiene Association(AIHA).
n. Civil Rights. The institution administering the grant must meet the civil rights
threshold set forth in the General Section.
o. Privacy. Submission of any information on the properties to databases(whether
web site,computer, paper,or other format)of addresses of identified,treated or
cleared housing units is subject to the protections of the Privacy Act of 1974, and
shall not include any personal information that could identify any child affected.
You should also check to ensure you meet state privacy regulations
32. ENVIRONMENTAL POLICY**. See the General Section for information about
conducting business in accordance
a) The grantee [called a "recipient" in 24 CFR 58.2(a)(5)] under the Lead Elimination
Action Program or Healthy Homes Demonstration Program shall comply with 24 CFR
part 58, "Environmental Review Procedures for Entities Assuming HUD Environmental
Responsibilities," in accordance with the provisions of section 305(c) of the Multifamily
Housing Property Disposition Reform Act of 1994. Under part 58, a responsible entity
[see 24 CFR 58.2(a)(7)], typically the unit of general local government, on behalf of the
grantee, must assume the environmental review responsibilities for activities funded
under this Program. Under 24 CFR 58.11, if a responsible entity or the recipient objects
to the responsible entity performing the environmental review, HUD may designate
another responsible entity to perform the review or may perform the environmental
review itself under the provisions of 24 CFR part 50. If HUD carries out this
responsibility,the grantee agrees to assist and shall:
(1) Supply HUD with all available, relevant information necessary for HUD to perform
environmental reviews on program and project requests under 24 CFR part 50;
(2) Carry out mitigation measures required by HUD as a result of the environmental
review or select an alternate eligible property; and
(3) Not acquire, rehabilitate, convert, lease, repair or carry out construction, nor commit
or expend HUD or non-HUD funds for these program activities with respect to any
eligible project until HUD approval of the project is received.
b) If the grantee [called a "recipient" in 24 CFR 58.2(a)(5)], or a responsible entity [see 24
CFR 58.2(a)(7)] on behalf of the grantee, under the Lead-Based Paint Hazard Control
Grant Program(including a new grant or a Lead-Based Paint Hazard Control Competitive
Performance-Based Renewal category grant), or Lead Hazard Reduction Demonstration
Grant Program, carries out the environmental review requirements under 24 CFR part 58,
the grantee shall:
(1) Submit the Certification / Request for Release of Funds (form HUD 7015.15),
including the public Notice of Intent / Request for Release of Funds and related
environmental review prepared by the responsible entity; or
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(2) Submit the relevant environmental review documentation by the responsible entity
for HUD approval when the project is either Categorically Excluded, not subject to
the related Federal laws and authorities pursuant to 24 CFR 58.35(b), or exempt
pursuant to 24 CFR 58.34; and
(3) Not acquire, rehabilitate, convert, lease, repair or carry out construction, nor commit
or expend HUD or non-HUD funds for these program activities until HUD has either
approved the Request for Release of Funds or other applicable environmental
review.
c) A grantee under the Healthy Homes Technical Studies, Lead Technical Studies, or Lead
Outreach Grant Program is categorically excluded from the requirements of the National
Environmental Policy Act of 1969 [see 24 CFR 58.35] and is not subject to
environmental review under the related laws and authorities. Peter will re-word this
adding Environmental Review,Environmental Officer and reference to the NOFA.
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V