HUD Lead Based Paint AwardMEMORANDUM
September 24, 2003
TO:
The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: HUD Lead-Based Paint Award
The City has received word of award of $2.4 million from the Department of Housing and
Urban Development (HUD) in response to an application for Round 11 funding. This will
enable the City to continue and expand the current program of lead paint removal from lower-
income homes and rentals, and to maintain existing programs of contractor training and public
education.
The 42-month program will provide administrative funds sufficient to employ a three person
staff. These positions include a program assistant, inspector and program manager.
The application approved for submission last June included obligation of a three-year, $180
000 match, using CDBG funds. The Community Development Commission will consider an
amendment to the FY04 ClP budget for recommendation to the Council for reallocation of
these funds.
This year HUD has taken the unusual step of requiring execution of award agreements by the
end of their fiscal year, or by September 30. Housing and Community Development Director
David Harris is recommending execution of the agreement.
I concur with the recommendation and respectfully request Mayor and City Council approval.
Michael C. Van Milligen
MCVM/cs
Attachment
cc: Barry Lindahl, Corporation Counsel
Cindy Steinhauser, Assistant City Manager
David Harris, Housing and Community Development Dir.
Mary Rose Corrigan, Public Health Specialist
CITY OF DUBUQUE, IOWA
MEMORANDUM
23 September 03
To: Mike Van Milligen, City Manager
From: Dav rris, Housing and Community Development Department
Re: HUD Lead-Based Paint Program Award
We have received word of award of $2.4 million from the Department of Housing
and Urban Development (HUD) in response to our application for Round 1 t
funding. This will enable us to continue and expand our current program of lead
paint removal from lower-income homes and rentals, and to maintain our
programs of contractor training and public education.
The 42-month program will provide administrative funds sufficient to employ a
three person staff. These positions include a program assistant, inspector and
program manager.
The application approved for submission last June included obligation of a three-
year, $180 000 match, using CDBG funds. The Community Development
Commission will consider an amendment to the FY04 ClP budget for
recommendation to the Council for reallocation of these funds.
This year HUD has taken the unusual step of requiring execution of award
agreements by the end of their fiscal year, or by 30 September. For this reason,
the Council is requested k) authorize the Mayor's signature on the attached
contract document.
Action Step
The action requested of the City Council is to authorize the Mayor's signature on
the attached Award Agreement.
Cc:
Kathy Lamb, Senior Housing Inspector, Project Co-Director
Mary Rose Corrigan, Public Health Specialist, Project Co-Director
U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
WASHINGTON, D.C. 20410-3000
September 22, 2003
Terramce M. Duggan
Mayor
City of Dubuque
Health and Housing and Community Development Dept.
1805 Central Avenue
Dubuque, IA 52001-3656
Dear Lead Hazard Control Grant Program Recipient:
The Office of Healthy Homes and Lead Hazard Control is pleased to armounce
that your application submitted in response to the 2003 Notice of Funding Availability
(NOFA) entitled "(Lead-Based Paint Hazard Reduction Grant Program)," has been
selected for a grant award. The amount you are eligible to receive is $2,417,399.00.
Enclosed are three (3) copies of your HUD Grant Agreement. Your grant number is
IALHB0243-03. Please execute all three copies of the grant agreement and remm them
to this office as soon as possible, but no later than September 25, 2003. Your start date
will be October 1, 2003. Please use overnight delivery to ensure that the grant can be
fully executed before the effective date of the grant. Please overnight your signed copies
to:
Michael D. Rose
Grant Officer
U.S. Department of Housing and Urban Development
Office of Healthy Homes and Lead Hazard Control
490 East L'Enfant Plaza, Suite P3206
Washington, DC 20024
By December 1, 2003, you are to submit a revised budget and management and work
plan that includes appropriate benchmark standards and deliverables, as well as any
revisions to the plan as required by the Office of Healthy Homes and Lead Hazard
Control. These revisions shall update the general plan submitted with your proposal and
include any applicable negotiation changes. Your Government Technical Representative
(GTR), Zuleika Morales, 202-755-1785 ext. 140, will contact you shortly after you
receive this letter to answer any technical questions you may have and also will provide
additional guidance related to developing your revised budget, work plan, benchmark
standards and deliverables.
The GTR will refer you to an Environmental Review- Officer who will provide you
information on the environmental review requirements applicable to the Lead Hazard
Control Grant program and the process to be followed in obtaining HUD approval for the
Release of Funds. Prior approval of your Request for Release of Funds is required before
you can commit Lead Hazard Control Grant funds for lead hazard control intervention
work.
You will be contacted to finalize the negotiation of the terms of this grant. The
following items, if not already included in your application, will be needed to support
your proposal package:
· A completed "Minimum Benchmark Standard Work Sheet applicable to your
period of performance- HUDForm 96007 ??"
· A revised 2 page abstract that reflects the changes made in your revised Work
Plan and Budget
· Resumes or position descriptions for up to three Key Personnel and their
percentages of time dedicated to the Lead Hazard Control Grant Program
· Verification of pay, fringe benefits, indirect cost rates
· Audit information (letter of compliance or latest audit if there were findings)
· Amount of Matching and Leveraged Contributions
· Number of Units to Receive Lead Hazard Control Interventions
· Period of Grant
· Code of Conduct (See Section II (B)(2) - Requirements and Procedures
Applicable to All Programs of the General Section of the SuperNOFA) ?? (Verify
SuperNOFA requirement Sections that pertain to Code of Conduct
After negotiations are completed pertaining to your revised budget and
management and work plan (including benchmark standards and deliverables), the Office
of Healthy Homes a~d Lead Hazard Control will forward your negotiated grant
agreement modification. Additional instructions on how to have your grant account
entered into HUD's Line of Credit Control System (LOCCS) payment system,
establishing security passwords and gaining access to the Voice Response system in order
to request payment will be provided under separate cover. Other forms and program
requirements that you wilt be required to complete or follow during the course of the
grant will also be provided.
You must return your signed agreement no later than September 25, 2003 in
order to receive a fully executed agreement prior to the start date of your grant program.
In accordance with OMB Circular A-t33, (Audits o£ States, Local Governments
and Non-Profit Organizations) grantees must submit their completed audit-reporting
package along with the Data Collection Form (SF-SAC) to the Single Audit
Clearinghouse, the address can be obtained from their website. The SF-SAC can be
downloaded at http://harvester, census.gov/sac/. If you have amy administrative questions
that cannot be answered by your GTR, please contact me at 202~755-1785 extension 162.
We congratulate you on your submission of a successful proposal and we look
forward to assisting you in implementing the program on October 1, 2003. Best wishes
for a productive and rewarding effort to protect children from exposure to lead-based
paint hazards.
Sincerely yours,
Grant Officer
Enclosure(s)
HUD 1044 Assistance Award/Amendment
Grant Agreement Provisions
Assistance Award/
Amendment
U.S. Department of Housing
and Urban Development
Office of Administration
1. Assistance InstnUnent
[]Cooperative Agreement
3. Insmtment Number
131 J-m0243-03
7. Name and Address of Recipient
City of Dubuque
[]Grant
4. Amendment Number
2. Type of Action
[] Award [5]Amendment
5. Effective Date of this Action I 6. Control Number
I
t0/01/2003
8. HUD Administering Office
HUD, Office of Healthy Homes and Lead Hazard Control
Health & Housing & Community Development Dept
1805 Central Avenue
Dubuque, IA 52001-3656
10. Recipient Project Manager
Kathaleen Lamb, (563) 5894231
11. Assistance Arrangement
[]Cost Reimbursement
[] Cost Sharing
[] Fixed Price
12. Payment Method
[] Treasury Check Reimbursemant
[] Advance Check
[] Automated Clearing House
14. Assistance Amount
Previous HUD Amount
$0.00
HUD Amount this action
2,417,399.00
451 Seventh Street, SW
Room P3206
Washington, DC 20410
8a. Name of Administrator
Michael D. Rose
8b. Telephone Number
(202) 755-1785 x162
9. HUD Govenmrent Technical Representative
Zaleika Morales-Romaro, GTR, (202) 755-1785 x. 140
Karen Choi, (213) 894-8000 x. 3015
13. HUD Payment Office
CFO Accounting Center
Administrative Accounting Division, 6AFF
P.O. Box 901013
Fort Worth, TX 76101
15. HUD Accounimg and Appropriation Data
15a. Appropriation Number 15b. ReserVatinnNumber
863/40174 Lt-IB03-26(FY03)
Total HUD Amount $2,417,399.00 Amount Previously Obligated $0.0u
Reeipient Amount 608,145.00 Obligated by this action 2,417,399.0o
Total Instrument Amount $3,025,544.00 Total Obligated $2,417,399.0o
16. Description
Employer Identification Number: 42-6004596
Program: LHB
This inslmment sets forth the agreement between the parties as to all terms and conditions, amounts, tasks, and period of performance. By
signing this award document, the Grantee certifies that it is in compliance with all administrative and financial provisions of this award. This
instrument wilt be amended to reflect negotiations. This grant instrument consist of the following, some of which are incmporated by
reference:
1. HUD-1044 and 1IUD-1044 Continuation Sheet
2. Grant Agreement Provisions
3. ItlID 424-CBW, Total Budget Summary
4. Grant Deliverables (See HUD 1044 Continuation Sheet, Item #3)
5. Work Plan/Performance Benchmark Standards
6. OMB Circulars A-87, A-133 and A-102, which is incorporated at 24 CFR part 85
7. Notice of Funding Availability (Federal Register April 25, 2003)
Period of Performance is from October 1, 2003 to March 31, 2007 (42 months).
t7.
Recipient is required to sign and renan three (3) copies of
this document to the HUD Adminis.tering Office.
Date:
09/26/,£
18.
Recipient is not required to sign this document.
20. ~ (By Name):
Michael D. Rose,
Grant Officer
Signatare & Title
Date:
fom~ HUD 1044 (8/90)
ref. Handbook 2210.17
INSTRUMENT NO. IALHB0243-03
ItUD 1044 CONTINUATION SHEET - Page 1
1. BUDGET
BUDGET HUD Amount Match Amount
Direct Labor
Fringe Benefits
Travel
Supplies
Contractual
Other Direct Costs
Indirect Costs
Total $2,417,399 $608,145
* Final detailed budget along with identified deliverables must be submitted 60 days after execution
If the grantee's matching contribution is less than $608,145 the Gov~:nment reserves the right to negotiate new line items and/or
amounts to satisfy the grantee's requirement, or to reduce the Government's share proportionally. The grantee shall notify HUD
at any t/me it believes it will not meet its match by the completion of the grant. If the grantee exceeds the dollar amount shown
above, thee will be no impact on the Federal share.
2. AMOUNT OF COST SHARE
The grantee shall be reimbursed for costs incurred in the p~formance of work under this grant in the amount
not-to-exceed $2,417,399. In the event that the grantee incurs cost in excess ofth/s amount, the excess shall
be borne entirely by the grantee.
3. DELIVERABLES IN ACCORDANCE WITH APPROVED WORK PLAN AND BENCHMARK STANDARDS
1). Number of Units to receive lead hazard control:
2). Number of combined risk assessments/paint inspections:
3). Number of Training sessions:
4). Number of Informatiun, education, and outreach events:
5). As submitted in the grant application, partn~stfips/commitments from the following organizations:
* See provision under budget
PERIOD OF PERFORMANCE
42 months from the effective date of this instrument
It-UD 1044 COI'qTINUATION SItEET - Page 2
INSTRUMENT NO. IAi,HB0243-03
SPECIAL CONDITIONS
A.) As a condition of accepting the grant award, the grantee and sub-grantees agree to the following:
1.)The Grantee shall complete and submit a revised management and work plan (wittr Benchmark
Standards), Deliverables, and Budget within 60 calendar days after the effective date of the grant. These
revisions shall update the general plan submitted with the proposal and include any negotiation changes to
the work plan or budget if applicable. These revisions should also be developed according to the
instructions included in the Lead Hazard Control Grant Program Policy Guidance Number 2001-03
"Revised Quarterly Progress Reporting Requirements" dated October 1,2001 and guidance from the GTR.
B.) The Grantee may draw lands up to t0% of the award mount prior to completion of negotiatiuns with
the grant administrator. Any unallowable costs incurred by the grantee prior to completion of
negotiations will be borne by the grantee. HUD grant funds may not be drawn down for lead hazard control
work in units (combined risk assessments/paint inspections, and interim control and hazard abatement)
activities prior to the completion ora satisfactory environmental review by the appropriate
HUD Environmental Officer.
Up to 10 percent of HUD funds may be used for administrat/on. Such costs would include the cost
associated with completing HUD reports, management and work plan, accounting and booking
exp~ases, costs associated with obtaining audits, and other direct grant administration and
management expenses.
LEAD ~ CONTROL GRANT PROGRAM
GRANT AGRIEEMENT PROVISIONS
1. DEFLNITIONS
a) The term "grant" as used herein refers to either a grant or a cooperative agreement instrument.
b) The term "grantee" as nsed herein also refers to recipients of cooperative agreements.
The term "Grant Officer" means the official authorized by HUD to execute and/or admiuister th/s
grant. This term also refers to a Cooperative Agreement Officer when the instrument is a cooperative
agTeement.
The term "Government Techuical Representative (GTR)" means the HUD incl/vidual who is
responsible for the teclmical administration of the grant, the evaluation of performance under the grant,
the acceptance of teclmical reports or projects, and other such specific responsibilities as may be
stipulated in the grarr~.
c)
The term "Head of the Awarding Activity (HAA)" means a HUD official, at the Assistant Secretary
level or equivalent, with authority for pohcy, award, and administration of ddscretionary grants with/n
one or more HUD org~ni?ational elements. For this grant, the HAA is the Director of the Office of
Healthy Homes Lead Hazard Control.
The term Guidelines refers to the definitions, standards and information contained in the guide entitled
"Guidelines for the Evaluation and Control of Lead-Based Paint in Housing" HUD, June 1995 and
includes a revised Chapter 7, dated September 1997. The guidelines are incorporated by reference.
2. SCOPE OF WORK (COST-REIMBURSEMENT)
The grantee shall famish the necessary personnel, materials, services, equipment, facilities (except as otherwise
specified herein) and otherwise do all Ihings necessary for or ianidental to the performance of the work set forth in
the Statement of Work/Mam~gement and Work Plan.
Management and Work Plan ('with Benchmark Standards), Deliverables, and Budget,
The Grantee shall complete and submit a revised management and work plan (with Benchmark Standards),
Deliverables, and Budget within 60 calendar days after the effective date of the grant. These revisions shall update
the general plan submitted with the proposal and include any negotiation changes to the work plan or budget if
applicable. These revisions should also be developed acenrddmg to the instructions included in the Lead Hazard
Control Crrant Program Policy Guidance Number 2001-03 "Revised Quarterly Progress Reporting Requirements"
dated October 1,2001 and guidance from the GTR.
The m~n~gement 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-effechve rnavzaer. A revised budget, in accordance
with the final negotiation, shall be submitted (if necessary). The work plan shall also include a detailed na~ative
description of how assistance and landing will flow from the grantee to the actual performers of the approved work
activities; hazard reduction work; the selection process for subgrantees and subcontractors; the selection process for
the particular properties to be enrolled and abated, the lead hazard control activities to be rmdertaken, and the
screening, liealth, and other nreasnres to be taken to protect children and other occupants. Where there is
interdependence among the tasks, the work plan shall iadicate how- each imerdepender~ task w/il provide needed
inputs to the others. (Also, see Article 20, Project Management System - Work Plan).
2
The revisions to the management and work plan, dehverables and budget shall be submitted by December 1, 2003
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 o£ a grant agreement modification.
PERIOD OF PERFORMANCE
The grantee shall provide ali servSces stipulated in tiffs award agreement for the period of months specified in the
form HUD-I044, "Assistance Award/Amendment" Continuation Sheet. The period of performance begins on the
date stipulated in block #5 of the HUD-1044. Grantees are to comply with the requirements of 24 CFR 85.23
(Period of availability of fimds) in charging costs to 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-day closeout period. Any requests for no-cost time extensions
must be submitted for review at least 60 days prior to the end date of the grant.
4. ** GRANTEE CERTIFICATION PROGRAM REQUIREMENT
The Grantee agrees that funds under this grant shall be available only for Lead Hazard Control projects that are
conducted by persons qualified for the activities according to 24 CFR Part 35 (possessing certification as
abatement contractors, risk assessors, inspectors, abatement workers, or sampling technicians, or others
having been trained in a HUD-approved course in lead-safe work practices).
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 momXor~ng the tectmicul 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 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 on the HUD-1044 Continuation Sheet 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 gra~ee shall
notify the Grant Officer and GTR reasonably in advance and shall submit justification (including proposed
substitutions) in sn~cient detail to permit evaluation of the impact on the work effort. The GTR and Grant Officer
are to be immediately informed in writing of any changes in Key Personnel listed. No divers/on 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 insmrment, HUD shall reimburse the grantee for costs incurred
(hereafter referred to as "allowable costs") which are determined by the Grant Officer to be allowable, allocable;
and reasonable in accordance with the following cost principles*:
a. For other nonprofit organizations: OMB Circular A-122.
b. Handbook 2210.18 Cost Principles for For-Profit Organizations
c. For ail other grantees, Federal Acquisition Regulation, Subpart 31.2.
3
*The Revised Version of these documents m effect on the date of award shall govern.
The government reserves the right to seek recovery of any expenditures found unallowable under government cost
principle applicable to the award or conditions of the grant agreement, based upon the final audit or any other
special audits undertaken. Where exceptions are found, the Department of Housing and Urban Development has
the right to order special audit, even/fthe grantee's auditor or a cognizant agency has already conducted one
8. PROGP,-&M INCOME
Any' program income derived as a result of this award shall be added to funds committed under your award to '
farther activities elig/ble for assistance under this award. I/not contained m 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 farther the objectives of the lead hazard control grant
program.
9. INDIRECT COSTS
If the Grantee has received a provisional rate, pending establishment of a final ram, reknbursement 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 a~eement. At completion of the grant,
adjustments may be made from the provisional rate to the final rate. However, such adjustments must be within the
total amount of the award as stated in block # 15 of the HUD-1044.
10. A_MOUNT OF COST SHARE PROVISIONS
(a)
HUD reserves the right to withhold one-percent (1%) of the Federal grant amount pending the receipt and
approval of a ~nsl progress report prepared in accordance with Policy Guidance 2000-02 and any
(b) If the grantee has been contacted to subrrfit documents to suppor~ 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 mount, until such time that the requirements have been met.
11. BUDGET
The Grantee shall incur costs in conformance with the approved budget. This budget does not include any
additioual funds winch the Grantee may have agreed to provide. HUD's obligation will not exceed the TOTAL
OBLIGATION AMOUNT specified in block number 15 of the grant face page, HUD-1044, Assistanee
Award]Amendment.
Standard Form 269, Financial Status Report, detailing matc~ or in-kind contributions shall be submitted on a
quarterly basis. A final narrative and Standard Form 269 report detailing the progress made in achieving
the purpose of the grant and adequate documentation of the total funds exp~nded in support of the activities
to achieve this purpose (both Federal and in-kind) 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 TP~ASURY CHECK OR ELECTRONIC FU~qDS TRANSFER
Advance payxnents by Treasury check or electronic fends 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. HUD may provide to the grantee a one time cash advance that shall not exceed 10 percent of the grant
amount and shall be 1/m/ted to the mum 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 housing inspections or lead hazard control work in homes until HUD has approved the
Grantee's Request For Release of Funds and Certification (Form HUD 7015.15 and OHttLHC Policy G2id~nce
Issuance 2000-01 dated 02/24/2000). Contact the OI-IHLHC Environmental Officer, Karen Choi at (213) 894-
8000 x3015 for questions and ma/1 the original and copies to the following addresses:
Original:
U.S. Department of Hous/ng & Urban Development
Attn: Environmental Officer, Karen Choi
AT&T Building - Suite 1145
611 West 6~ Street
Los Angeles, CA 90017
Copies:
(Block 8 Address of 1044)
Arm: GTR in Block 9 of 1044
tt-UD will not make additional payments from the mount awarded to a grantee until the grantee's contractors and
workers are qualified for the activities according to 24 CFI[Part 35 (possessing certification as abatement
contractors, risk assessors, inspectors, abatement workers, or sampling techn/cians, 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 the Estimated Cost and Payment clause in this agreament.
Should the grantee demonstrate an unwillingness or inability to establish procedures that will minimize the time
elaps/fig 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 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.
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 lands shall be promptly returned to HUD. If the grantee is a State or local
government~ the grantee may retain up to $I00~00 of interest earned per grantee's fiscal year for administrative
expenses.
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 $(award amount). In the e/zent the grantee incurs cost in excess ofth/s 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 soiSware 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
5
System and a Voucher and Schedule of Payments. Ail payments are certified by HUD and forwarded to Treasury
for processing.
Before receiv/ng funds from the VRS, the grantee must designate a financial institution m order for HUD to make
direct deposk 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 MITS, the grantee sh~ll 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
touse 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 w/th 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 instruciJons 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 lands shall be promptly returned to HUD. All check remittances should be sent
to the new Miscellaneous Lockbox as follows:
NatlonsBank - 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 (CFR 24 85.21(i)).
14. CERrli~fCATION REGARDING PARTIES EXCLUDED FROM PROCUREMENTS
By SiLJning this agreement, the grantee also certifies that before award/ng any subcontracts or sub-awards, it
will ensure that the subcontractor or subrecipient is not included on the General Services Administration's
(GSA) ~%ist of Parties Excluded From Federal Procurement or Non-procurement programs". Ifa
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 subgumt. Copies of the GSA published 1/st can be obtained from
the Superintendent of Documents, U.S. Government Printing Office, Wastington, D.C. 20402.
15. REYLbW 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, and
3) Other physical materials and products produced directly under the Statement of Work/Work Plan
of this grant.
b)¸
General
1)
· 2)
4)
6)
The GTR shall have the sole responsibility for PIUD review, correct/on, and acceptance of the
deliverables of this grant. Such review(s) shall be carried out promptly by the GTR, so as not m
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.
The grantee shall carry out the required corrections, if any, provided by the GTR and shall
promptly remm a revised copy of the product to the GTR.
The GTR's review, correction, and acceptance of deliverables shall be limited to: (1) corrections
omissions or errors of fact, methodology, or analysis; (2) deletion of irrelevant materials; and (3)
improvements in style roadability.
In the review and acceptance of deliverables, the GTR may not require any chsnge in the grantee's
stated views, opinions, or conclusions.
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
hiser~ a Govermnent 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 retuin to the GTR of a
revised copy containing the dissent(s), shall satisfy the requirements for acceptance of the Official
Product of Work tinder this clause.
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 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 clement 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. The collection of dam is deemed to be sponsored by HUD only under the following
conditions:
a) The grantee represents to respondents that the information is being collected for or in association with
HUD (however, this condition is not intended to preclude mention of Federal support in response to an
inquiry, or an acknowledgment of Federal assistance in any publlcati6n or report on the data); or
b) The grantee uses the data collection activities to collect information that HUD has requested for the
planning, operation, or eva~uation of its program; or
c) The terms and conditions of this grant provide for approval by HUD of the survey design questionnaire
content, or data collection procedure; or
7
d) The terms and conditions of this grant provide for either submission to HUD of the data for individual
respondents or the preparation and submission of tabulations requested by }iUD.
e) Collection of data under circumstances other than the four conditions given above is not a sponsored
collection and is not subject to the Papem-ork Reduction Act.
17. LIMITATION ON CONSULTANT PAYMENTS
As required by HUD's Appropriations Act, salary payments to consultants under this insmmxent shall not exceed
the 'equivalent o£the max/mm daily rate paid to level 1V 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 cuntmctors.
18. PUBLICATIONS AND NEWS RELEASES
a) Defmitinn. For the purpose ofthis clause, "publication" includes:
1) Aay document containing information for public consumption; or,
2) The act of, or any act, which may result in, disclosing information to the public.
b)
c)
The results of this program are pIauned te be made available to the public through dedication,
assignment by HUD, or such other means as the Secretary shall determine.
Government Ownership of Official Products of Work
All interim and final reports and information, data analyses, special methodology, findings, and their
related documents and work products, including reports, work slieets, survey instruments, computer
tapes, and any other physical materials and products produced directly under the Statement of
Work/Work Plan of this gram are considered Official Products of Work, ovmed by the Goverrwnent
and held for the benefit of the public.
d) Publication of Official Products of Work
Official Products of Work, quotations therein, paraphrasing, or disclosures of interim findings may not
be published without the approval of the GTR for a petiod of s/xty (60) days after acceptance of the
product by the GTiC Thereafter, the grantee shall be free to publish without HUD approval.
e) Acknowledgment and Disclaimer
All Official Products of Work, or any part thereof, and any I~dependent Products and Special Products
mSs/ng out of this instrument, when published by the gramee or other participants in the work, sliall
contain the following aclmowledgment and disclaimer:
"The work that provided the basis for this publication was supported by ftmding under a grant 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 publisker are solely responsible for the accuracy of the
statements and interpretations contakaed m this publication. Such interpretations do not necessarily
reflect the views of the Government.'!
8
Notice of News Release and Public .~mnouncements
Two copies of all press releases, formal announcements, and other planned, written issuances
containing news or information concerning this grant that may be made by the grantee or its staff, or
any subcontractor or other person or organization participating in the work of this grant shall be
provided to the GTR at the earliest possible time. News releases and other public ~nnouncements may
not disclose any inierkn finding or quote or paraphrase any part of any Official Product of Work
without complying with paragraph (e) above.
19. REPRODUCTION OF REPORTS
In accordance with Government Printing and Binding Regulations, reproduction of reports, data or other
written materials intended for submission to HUD for Government use, if required herein, is authorized
provided that the materials produced do not exceed 5,000 production units of any page and the items consisting
of multiple pages do not exceed 25,000 production units in the aggregate.
The above limitations do not apply to the reproduction of materials intended for distribution by the grantee to
non-Federal Government sources in accordance with the terms oft[tis grant.
20. PATENT RIGHTS (SMALL BUSINESS FIRMS AND NONPROFIT ORGANIZATIONS)
Patent tights are as specified in 37 CFR Part 401 entitled "Rights to Inventions made by Nonprofit Orgadizations
and Small Business F/rms 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, Room P3206
Washington, DC 20410-3000
21. LIMITATION ON PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (OVER
$100c000)
Section 1352 of Title 31, U.S.C. provides/n part that no appropriated funds may be expended by the recipient of a
Federal contract, grunt, 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 malting of any Federal grant, the maldng of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renews/, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.
22. PROJECT MANAGEMENT SYSTEM
The grantee shall use the HUD Office of Healthy Homes and Lead Hazard Control (OHI-1LHC) Project
Management System specified in this clause. The HUD OHI-iLHC 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 descr/pfion of progress. For more specific details and guidance, please refer to the 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.
Quarterly Progress Reports are to be submitted according to the requirements of the Lead Hazard ConSol
Grant Program Policy Guidance Number 2001-03. The quarterly progress reporting system is web-based and
requires an rntemet connection. Grantees are to complete the quarterly progress report (Form-HUD-96006) by
ancessi~g
http://www.leadgranton][ine.net via the Intemet
In the event that a grantee cannot access the Intemet, a word template vets o is available. Completed
quarterly repons/n this format should be submitted to:
grantee_quarterly~hud.gov (use underscore)
3[OTE: 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 are advised that failure to submit timely quarterly progress reports will result in not having their %OCCS
~ Request Voucher for GrantPayment"proeessed and/or approvedforpayment until such time as the quarterly
progress report is submitted to HUD.
Specific and detailed guidance on preparing the work plan and completing progress reports may be
obtained from the GTR.
23. GOVERNMENT PROPERTY
The following Government equipment acquired for the performance of tiffs.grant is identified as follows:
XRF Instruments
The government will not seek rehnhitrsement of its fair market share (where the fair market share at the end of the
grant is greater Oran $5,000 per un/t). XRF instruments purchased with Federal funds for use in the Lead Hazard
Control Grant Program will remaiu the property of the grantee.
24. AMEND~MENTS
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. Adrn~strative
amendments, such as changes in appropriation data, may be issued unilaterally by the Grant Officer.
25. CHANGES:
a) Programmatic changes. Grantees or subgrantees must obtain the prior approval of the awarding agency
whenever any of the followiug actions is anticipated:
10
O)
Any revision of the scope or objectives of the project (regardless of whether there is an associated
budget revision requiring prior approval).
(2)
(3)
(4)
Need to extend the period of availability of funds.
Changes in key persons in cases where specified in an application or a grant award. In research
projects, a change in the project d/rector or principal investigator shall always require approval unless
waived by the awarding agency.
Under non-construction projects, contracting out, sub-granting. (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 does not apply to the procurement of equlpmm~t, supphes, and general support services..."
26. DISPUTES
Dur/ng performance of the grant, disagreements may arise between the grantee and the Grant Officer on various
issues. Ifa dispute concerning a question off'act arises, the Grant Officer shall prepare a final decision, taking into
account ali 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 Secr~ary 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,/f incorporated).
e. Special Conditions
f. Schedule of Articles.
g. Uniform Administrative Requirements.
h. Grantee's Proposal (if incorporated).
28. OTHER ADMINISTRATIVE PROVISIONS
The grantee shall comply with all standard assurances, which were executed as part of the application process.
29. UNIFOt~¥[ ADMIiNISTRATIVE REQUIREIVIENTS FOR GR.&NTS AaND COOPERATIVE
AGREEMENTs WITH INSTITUTIONS OF HIGHER EDUCATION. HOSPITALS. AND OTHER NON-
PROFIT ORGANIZATIONS
30.CERTIFICATION PROHIBITING EXCESSIVE FORCE AGAINST NoN-VIOLENT CIVIL RIGHTS
DEMONSTRATORS
Tins 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).
1I
The applicant cerlifies 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.
31. SPECIAL CONDITIONS CLAUSE
The grantee agrees to comply with the following special requirements particular to the Lead Hazard Control Grant
Program. The Grantee shall, for each special condition that is applicable to their program:
Comply with Section 1101 of Title X, Grants for Lead-Based Paint Hazard Reduction as mended by
section 217 of Public Law 104-134: Grantees shall provide assistance for housing which meets the
following criteria--
1)
For grants made to assist rental housing, at least 50 percent of the maim must be occupied by
or made available to lam/lies with incomes at or below 50 percent of the area median income
level and the remaining units shall be occupied or made available to families with incomes at or
below 80 percent of the area median income level, and in all cases the landlord Chsll g/ye
priority in renting units assisted under this section, for not less than 3 years following the
completion of the lead abatement activities, to families with a child unde[ the age of six years,
except that building with five or more units may have 20 percent of the units occupied by
families with incomes above 80 percent of area median income level:
2)
For grants made to assist housing owned by owner-occupants, all units assisted with grants
under this section shall be the principal residence of families with income at or below 80
percent of the area median income level, and not less than 90 percent of the units assisted with
grants under this section shall be occupied by a child under the age of six years or shall be
urfits where a ch/ld under the age of six years spends a significant amount of time visiting.
b)
Develop written procedures for all phases of testing and abatement, which are consistent with the HUD
Guidelines for the Evaluation and Control of Lend-Based Paint hazards in Housing (hereafter known as the
Guidelines). The Guidelines are dated June 1995 and include a revised Chapter 7, dated September 1997.
Request and receive formal concurrence from HUD for deviations from the procedures described in the
Guidelines. Such deviations may include thresholds for abatement hazard control or post abatement hazard
control clean-up procedures, which differ from the HUD Guidelines.
d) Comply with appropriate HUD and EPA regulations regarding lead-hased paint notification, disclosure, or
work practices during lead hazard control activities:
Prohibit the use of open-flame burning, chemical strippers containing methylene chloride, dw scraping,
uncontalned hydroblasting or hydrowashing, unconmined abrasive blasting, machine sanding without
HEPA attachments or heat stripping above 1100°F as work practices at anytime.
f) Observe the procedures for worker protection established by the Federal Occupational Safety and Health
Admirdstration (29 CFR 1910.1025).
12
Dispose of waste resulting from lead hazard control activities in accordance with the requirements of the
appropriate local, State, and Federal regulatory agencies. You must handle disposal of wastes from hazard
control activities that contain lead-based paint, but are not classified as hazardous, in accordance with State
or local law or the HUD Cmidelines for the Evaluation and Control of Lead-Based Paint Hazards in
Housing.
Conduct lead-based paint inspections, r/sk assessments, and clearance dust testing, according to the HUD
Guidelines and the EPA lead hazards standards rule at 40 CFR 745.227(e) (8) (viii). Wipe tests shall be
conducted by an appropriately certified or licensed individual who is independent of the lead hazard control
contractor. Dust-wipe samples, soil samples and any paint samples to be analyzed by a laboratory must be
analyzed by a laboratory recognized by the EPA National Lead Laboratory Accreditation Program
(NLAPP). umts or areas treated shall not be moccupied until clearance is achieved. The dust lead
standards are:
40 micrograms of lead per square foot on an interior hard-surfaced floor or carpet
250 micrograms of lead per square foot on a window sill
400 micrograms of lead per square foot on a window well (clearance only).
i)
Test and record blood-lead levels of ali children under the age of six occupying affected un/ts within 6
months prior to the abatement or hazard control. Cerrters for Disease Control and Prevention (CDC)
recommendations for blood lead testing are to be followed. Children with elevated blood levels (EBL'S)
shall be referred for appropriate treatment and follow-up medical care.
J)
Cooperate with any federally sponsored or endorsed monitoring or evaluation efforts done in conjunction
w/th the Grantee's lead hazard control activities under this program. This includes collecting data on the
relative cost and effectiveness of hazard control methods and providing documentation of ail testing,
inspection, and hazard control actions.
If a grantee operates a loan program with the funds provided under this grant, any revenue recaptured from
the loan repayments may be retained by the grantee, and can only be used for lead-based paint abatement or
hazard control activities.
As requested by our Office Policy Guidance Issuance dated April 14, 1995, the HUD Form 60002,
Economic Oppommities for Low- and Very Low-Income Persons (Section 3) must be submitted by
January 10 yearly.
m) The deliverables and benchmark standards negotiated as part of the approved work plan will be used for all
grant and evaluation efforts. Revisions to these deliverables and benchmark standards w/ii require a grant
amendment.
n) Comply with the Office of Healthy Homes and Lead Hazard Control Policy Cmidance Issuances that
pertain to specific work practice, management, or reporting requirements.
o)
Provide a copy of ali lead-based paint inspection, risk assessment, and clearance test reports to the property
owner hi order for the property owner to comply with disclosure requirements required under 24 CFR part
35, Subpart A. The letter transmitting these reports must include the statement sliown below:
:~lTne Federal Residential Lead-Based Paint Hazard Reduction Act, 42 U.S.C. 4852d, requires sellers and
landlords of most residential housing built before 1978 to disclose ali available records and reports
concerning lead-based paint and/or lead-based paint hazards, including the test results contained in this
notice, to purchasers and tenants at the lime of sale or lease or upon lease renewal. Tiffs disclosure must
13
occur even if hazard reduction or abatement has been completed. Failure to disclose these test results is a
violation of the U.S. Department of Housing and Urban Development and the U.S. En,iroamental
Protection Agency regulations at 24 CFR Part 35 and 40 CFR Part 745 and can msult in a fine of up to
$11,000 per violation. To find out more information about your obligations under federal lead-based paint
requirements, call 1-800-424-LEAD."
p)
PARTNERSHIP RELATIONSHIPS WITH FAITH-BASED AND CO_MMIYNITY BASED
ORGANTZATIONS: No Federal funds shall be disbursed by HUD under this grant agreement
until the grantee provides the HUD Off[ce of Healthy Homes and Lead Hazard Control with
acceptable documentation, such as a Memorandum of Understanding, subcontract agreement or
Letter of Commitment, that indicates that a formal parmership exists between the grantee and one
or more Faith-Based or Community-Based Organizations (CEO) which meet the definition set
forth in the NOFA published in conjunction with this award. Any changes that occur with these
agreements after the first submission must be addressed in the quarterly reports.
In accordance with HUD regulations in 24 CFR part 50, HUD is responsible for any Federal
environmental review responsibilities for the LEAP grants. However, in order for HUD to
carryout this responsibility, the applicant agrees to assist HUD to comply with this part and that
the applicant shall:
(1) Supply HUD with all available, relevant information necessary for HUD to perform for
each property any environmental review required by this part;
(2) Carry out mitigating measures requked by HUD or select alternate eligible property; and
(3) Not acquire, rehabilitate, convert, lease, repair or construct property, nor commit or
expend HUD or local funds for these program activities with respect to any eligible
property, until HUD approval of the property is received.