24408 Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices

DEPARTMENT OF HOUSING AND

URBAN DEVELOPMENT

Office of the Secretary

[Docket No. FR–4049–N–01]

Office of Lead-Based Paint Abatement

and Poisoning Prevention; NOFA for

Lead-Based Paint Hazard Control in

Housing, Fiscal Year 1996 and

Proposed Collection of Information;

Comment Request

AGENCY: Office of the Secretary—Office

of Lead-Based Paint Abatement and

Poisoning Prevention, HUD.

ACTION: Notice of funding availability

and request for comments on

information collection requirements.

SUMMARY: This notice announces the

competition for two categories of grant

funding: Category A for approximately

$50 million for a grant program for State

and local governments to undertake

lead-based paint hazard control in

eligible housing units; and Category B

for approximately $4 million for grants

to State and local governments for

assistance in undertaking lead-based

paint hazard control in eligible housing

units on Superfund sites. The NOFA

includes statutory changes made to the

grant program, including in the

definition of the housing for which the

Secretary is authorized to provide

grants, by the Omnibus Consolidated

Rescissions and Appropriations Act of

1996.

Approximately 10–12 grants of $1

million-$6 million each will be awarded

under Category A and a maximum of 8

grants of $500,000 to $2 million each

will be awarded under Category B. The

grant sum requested by applicants

under either category must constitute

the total request for the maximum thirty

six (36) months for the expected

duration of the proposed project.

Proposals can be submitted by

jurisdictions for both categories of

assistance. As part of HUD’s reinvention

initiative, this Notice of Funding

Availability (NOFA) includes changes

that HUD believes will make the

application for lead-based paint hazard

control grant funds simpler and less

time-consuming than in past

competitions. This NOFA limits a

Category A applicant’s response to the

Rating Factors to a maximum of 25

pages, has specific format instructions,

and reduces the number of budget forms

required. (There are no page limitations

for Category B applicant’s responses to

the Rating Factors.) The application kit

developed for this NOFA provide

additional details to further guide and

assist those eligible to apply.

This document includes information

concerning the following:

(1) The purpose of the NOFA,

eligibility, available amounts, and

selection criteria;

(2) Application processing, including

how to apply and how selections will be

made; and

(3) A checklist of steps and exhibits

involved in the application process.

Appendices to the NOFA identify

relevant regulations and guidelines

referenced throughout the NOFA, define

‘‘administrative costs’’, list HUD

housing programs eligible to receive

assistance under the program, and

provide a relevant statutory provision.

DATES: An original and two copies of the

completed application must be received

by HUD no later than 3:00 p.m. (Eastern

Time) on July 30, 1996. The application

deadline is firm as to date and hour. In

the interest of fairness to all competing

applicants, the Department will treat as

ineligible for consideration any

application that is received after its

deadline. Applicants should take this

factor into account and make early

submission of their materials to avoid

loss of eligibility brought about by

unanticipated delays or other deliveryrelated problems. Sections 5 and 7 of

this NOFA provide further information

on what constitutes proper submission

of an application for Category A and B

respectively.

The deadline for comments on the

information collection requirements is

July 15, 1996.

ADDRESSES: Application kits may be

obtained from the Office of Lead-Based

Paint Abatement and Poisoning

Prevention, Department of Housing and

Urban Development, Room B–133, 451

Seventh Street, S.W., Washington, D.C.

20410, or by calling Ms. Phyllis Horace

at (202) 755–1785, extension 120 (this is

not a toll-free number), or by making an

e-mail request to:

phyllisld.lhorace@hud.gov (use

underscore characters). The Department

is also planning to make the NOFA and

application kit accessible via the

Internet World Wide Web. Completed

applications should be submitted to the

mailing address, and may not be faxed

or electronically transmitted.

Comments on the proposed

information collection requirements

must refer to the NOFA for Lead-Based

Paint Hazard Control in Priority

Housing, Fiscal Year 1996 (FR–4049),

and must be sent to: Reports Liaison

Officer, Office of Lead-Based Paint

Abatement and Poisoning Prevention,

Department of Housing & Urban

Development, 451 7th Street, SW, Room

B–133, Washington, DC 20410

FOR FURTHER INFORMATION CONTACT: For

Category A applicants: Ellis G.

Goldman, Director, Program

Management Division, Office of LeadBased Paint Abatement and Poisoning

Prevention, Room B–133, 451 Seventh

Street, S.W., Washington, D.C. 20410,

telephone (202) 755–1822, extension

112 (this is not a toll-free number). For

Category B applicants: Melissa F.

Shapiro, telephone (202) 755–1785,

extension 153 (this is not a toll-free

number). For hearing- and speechimpaired persons, the telephone number

may be accessed via TTY (text

telephone) by calling the Federal

Information Relay Service at 1–800–

877–8339.

SUPPLEMENTARY INFORMATION:

Table of Contents:

Section 1. Paperwork Reduction Act

Statement

Section 2. Definitions.

Section 3. Purpose and Description

3.1 Purpose and Authority

3.2 Background

3.2.1 Previous Awards

3.3 Allocation Amounts

3.4 Eligibility

3.5 Limitations on the Use of Assistance

3.6 Environmental Review

3.7 Objectives and Requirements

Section 4. Application Process for Category A

4.1 Submitting Applications

4.2 Threshold Requirements

4.3 Rating Factors

Section 5. Checklist of Application

Submission Requirements for Category A

5.1 Applicant Data

5.2 Proposed Activities

5.3 Certifications and Assurances

Section 6. Purpose and Description for

Category B

6.1 Purpose and Authority

6.2 Background

6.3 Allocation Amounts

6.4 Eligibility

6.5 Limitations on the Use of Assistance

6.6 Environmental Review

6.7 Objectives and Requirements

Section 7. Application Process for Category B

7.1 Submitting Applications for Grants

7.2 Threshold Requirements

7.3 Rating Factors

7.4 Checklist of Application Submission

Requirements

7.4.1 Applicant Data

7.4.2 Proposed Activities

7.4.3 Certifications and Assurances

Section 8. Corrections to Deficient

Applications

Section 9. Administrative Provisions

9.1 Obligation of Funds

9.2 Increases of Awards

9.3 Deobligation

9.4 Reports

Section 10. Other Matters

Appendix A. Relevant Federal Regulations

and Guidelines

Appendix B. Explanation of ‘‘Administrative

Costs’’

Appendix C. Section 1011(a) of Title X, as

amended by Pub.L. 104–134
Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices 24409

Appendix D. Eligibility of HUD-Associated

Housing Units

Appendix E. Elements of a State Certification

Program

Section 1. Paperwork Reduction Act

Statement

The information collection

requirements contained in this notice

have been submitted to the Office of

Management and Budget (OMB) for a

temporary extension of the control

number, in accordance with the

Paperwork Reduction Act of 1995 (44

U.S.C. 3501–3520) and 5 CFR 1320.13.

A notice requesting public comment on

this extension was published in the

Federal Register on April 23, 1996 (61

FR 17906). When assigned, the OMB

control number will be published by a

separate notice in the Federal Register.

An agency may not conduct or sponsor,

and a person is not required to respond

to, a collection of information unless the

collection displays a valid control

number.

In addition, in today’s notice the

Department is soliciting comments, as

required under 5 CFR 1320.8(d), before

submitting the information collection

requirements contained in this NOFA to

OMB for regular review in accordance

with 5 CFR 1320.10. The Department is

seeking comments from members of the

public and affected agencies concerning

the proposed collection of information

to:

(1) Evaluate whether the proposed

collection of information is necessary

for the proper performance of the

functions of the agency, including

whether the information will have

practical utility;

(2) Evaluate the accuracy of the

agency’s estimate of the burden of the

proposed collection of information;

(3) Enhance the quality, utility, and

clarity of the information to be

collected; and

(4) Minimize the burden of the

collection of information on those who

are to respond; including through the

use of appropriate automated collection

techniques or other forms of information

technology, e.g., permitting electronic

submission of responses.

Interested persons are invited to

submit comments regarding the

information collection requirements in

this proposal. Comments must be

received within 60 days from the date

of this proposal. Comments must refer

to the proposal by name and docket

number (FR–4049) and must be sent to:

Reports Liaison Officer, Office of LeadBased Paint Abatement and Poisoning

Prevention, Department of Housing &

Urban Development, 451 7th Street SW,

Room 4244, Washington, DC 20410.

This Notice also lists the following

information:

Title of Proposal: NOFA for LeadBased Paint Hazard Control in Priority

Housing, Fiscal Year 1996 (FR–4049)

Description of the Need for the

Information and Proposed Use: This

information collection is required in

connection with the issuance of this

NOFA, announcing the availability of

$50 million for grants for lead-based

paint hazard reduction in private

priority housing.

Form Number: None

Members of Affected Public: State and

local governments.

Estimation of the Total Number of

Hours Needed to Prepare the

Information Collection including

Number of Respondents, Frequency of

Response, and Hours of Response:

Number of

respondents

Frequency

of

responses

Hours per

response

Burden

hours

Application Development .................................................................................................. 75 1 120 9,000

Total Estimated Burden Hours: 9,000.

Status of the Proposed Information

Collection: Emergency processing

request pending.

Section 2. Definitions

The following definitions apply to

this grant program:

Abatement—Any set of measures

designed to permanently eliminate leadbased paint or lead-based paint hazards.

For the purposes of this definition,

permanent means at least 20 years

effective life. Abatement includes:

(a) The removal of lead-based paint

and lead-contaminated dust, the

permanent enclosure or encapsulation

of lead-based paint, the replacement of

components or fixtures painted with

lead-based paint, and the removal or

permanent covering of soil; and

(b) All preparation, cleanup, disposal,

and post-abatement clearance testing

activities associated with such

measures.

Accredited Laboratory—A laboratory

that is accredited by an EPA-approved

lead laboratory accrediting organization

and recognized by the National Lead

Laboratory Accreditation Program

(NLLAP), as being capable of performing

lead analyses of samples of paint, dust

wipes, and/or soil. (A list of recognized

laboratories and EPA-approved lead

laboratory accrediting organizations is

available from the National Lead

Information Center at (800–424–LEAD

[5323]).

Administrative Costs—(See Appendix

B of this NOFA for a detailed

definition.)

Applicant—A State or a unit of

general local government with a

currently approved Comprehensive

Housing Affordability Strategy (CHAS)

or Consolidated Plan that applies for

funding under this NOFA.

Certified Contractor—A contractor,

inspector, risk assessor, supervisor or

others required to have successfully

completed a training program approved

by the appropriate Federal agency and

who has met any other requirements for

certification or licensure established by

such agency or who has been certified

by any State through a program which

has been found by such Federal agency

to be at least as rigorous as the training

and certification standards and

requirements found in Appendix E of

this NOFA. All lead-hazard

identification or control work shall be

performed by workers and supervisors

who have passed a Federal training

program or a State training program

found by such Federal agency to be at

least as rigorous as the Federal program.

Certified Inspector and Certified Risk

Assessor—Included in the definition of

‘‘certified contractor,’’ above.

Clearance Testing and Examination—

A HUD-required visual examination and

collection of environmental samples by

a certified inspector or certified risk

assessor, and laboratory analysis by an

accredited laboratory upon completion

of lead-hazard control work. The unit

must undergo wipe testing showing that

it has lead dust levels below HUD’s

interim standards. Current standards

are: for bare and carpeted floors (100 μg/

ft 2 [micrograms/square foot]); interior

window sills (500 μg/ft 2); and window

troughs (wells), exterior concrete or

other rough surfaces (800 μg/ft 2). (These

interim standards may be revised

subject to EPA’s issuance of

regulations.)

Eligible Housing—Target housing that

qualifies as eligible housing under

section 1011(a) of the Residential Lead-
24410 Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices

Based Paint Hazard Reduction Act of

1992, as amended by section 217 of the

Omnibus Consolidated Rescissions and

Appropriations Act of 1996 (Pub. L.

104–134; 110 Stat. 1321, approved April

26, 1996) (See Appendix C of this NOFA

for criteria for eligible housing units and

Appendix D for a list of HUD’s programs

and their eligibility or ineligibility for

receiving assistance under this grant

program.) The term does not include

any public housing (whether Federal or

locally supported), any federally owned

housing, or any federally assisted

housing.

Encapsulation—The application of

any covering or coating that acts as a

barrier between the lead-based paint

and the environment and that relies, for

its durability, on adhesion between the

encapsulant and the painted surface,

and on the integrity of the existing

bonds between paint layers, and

between the paint and the substrate.

Enclosure—The use of rigid, durable

construction materials that are

mechanically fastened to the substrate

to act as a barrier between the leadbased paint and the environment.

Federally Assisted Housing—

Residential dwellings receiving projectbased assistance under programs

including:

(1) Section 221(d)(3) or section 236 of

the National Housing Act;

(2) Section 1 of the Housing and

Urban Development Act of 1965;

(3) Section 8 of the United States

Housing Act of 1937; or

(4) Sections 502(a), 504, 514, 515, 516,

and 533 of the Housing Act of 1949.

‘‘Federally Assisted Housing’’ is not

eligible for assistance under the HUD

Lead-Based Paint Hazard Control Grant

Program. (See Appendix D of this

NOFA.)

Guidelines for the Evaluation and

Control of Lead-Based Paint Hazards in

Housing (June 1995)—HUD’s manual of

lead hazard control practices

(commonly referred to as the

Guidelines) which provide detailed,

comprehensive, technical information

on how to identify lead-based paint

hazards in housing and how to control

such hazards safely and efficiently. (The

Guidelines replace the HUD ‘‘LeadBased Paint: Interim Guidelines for

Hazard Identification and Abatement in

Public and Indian Housing.’’)

Hazardous Waste—As defined in EPA

regulations (40 CFR 261.3). Solid waste,

or a combination of solid wastes, that

because of its quantity; concentration; or

physical, chemical, or infectious

characteristics may:

(1) Cause, or significantly contribute

to increases in mortality, serious and

irreversible, or incapacitating but

reversible illness; or

(2) Pose a substantial present or

potential hazard to human health or the

environment when improperly treated,

stored, transported, or disposed.

HEPA Vacuum—(High Efficiency

Particulate Air)—A vacuum cleaner

fitted with a filter capable of removing

particles of 0.3 microns or larger at

99.97 percent or greater efficiency from

the exhaust air stream.

Interim Controls—A set of measures

designed to temporarily reduce human

exposure or possible exposure to leadbased paint hazards. Such measures

include specialized cleaning, repairs,

maintenance, painting, temporary

containment, and management and

resident education programs. Interim

controls include dust removal; paint

film stabilization; treatment of friction

and impact surfaces; installation of soil

coverings, such as grass or sod; and

land-use controls.

Laboratory Analysis—As used for

paint, dust-wipes or soil, analysis for

lead by an accredited laboratory in

accordance with the requirements and

limitations of its accreditation.

Lead-Based Paint—Any paint,

varnish, shellac, or other coating that

contains lead equal to or greater than 1.0

mg/cm2 as measured by XRF or

laboratory analysis, or 0.5 percent by

weight (5,000 μg/g, 5,000 ppm, or 5,000

mg/kg) as measured by laboratory

analysis. (Local definitions may vary.)

Lead-Based Paint Hazard—A

condition in which exposure to lead

from lead-contaminated dust, leadcontaminated soil, or deteriorated leadbased paint would have an adverse

effect on human health (as established

by the EPA Administrator under Title IV

of the Toxic Substances Control Act).

Lead-based paint hazards include for

example, deteriorated lead-based paint,

dust levels above applicable standards,

and bare leaded soil above applicable

standards.

Lead-Based Paint Hazard Control—

Activities to control and eliminate leadbased hazards, including interim

controls, abatement and complete

abatement.

Lead-Contaminated Dust—Surface

dust in residences that contains an area

or mass concentration of lead in excess

of the standard established by the EPA

Administrator, pursuant to Title IV of

the Toxic Substances Control Act. Until

the EPA standards are established, the

HUD-recommended clearance and risk

assessment standards for leaded dust are

100 μg/ft2 on floors, 500 μg/ft 2 on

interior window sills, and 800 μg/ft2 on

window troughs (wells), exterior

concrete or other rough surfaces; criteria

for work under this grant shall be at

least as stringent as these standards.

Lead-Contaminated Soil—Bare soil on

residential property that contains lead

in excess of the standard established by

the EPA Administrator, pursuant to

Title IV of the Toxic Substances Control

Act. The HUD-recommended standard

and interim EPA guidance is 400 μg/g

for high-contact play areas and 2,000

μg/g in other bare areas of the yard;

criteria for work under this grant shall

be at least as stringent as these

standards. Soil contaminated with lead

at levels greater than or equal to 5,000

μg/g should be abated by removal or

paving.

mg—milligram; 1/1,000 of a gram;

equal to about 35/1,000,000 (35

millionths) of an ounce (an ounce is

equal to about 28,400 mg).

Potentially Responsible Party (PRP)—

Any individual or entity including

owners, operators, transporters, or

generators who may be liable under

CERCLA section 107(a).

Replacement—A strategy of

abatement that entails the removal of

building components coated with leadbased paint (such as windows, doors,

and trim) and the installation of new

components free of lead-based paint.

Residential Dwelling—This term

means either:

(1) A single-family dwelling,

including attached structures, such as

porches and stoops; or

(2) A single-family dwelling unit in a

structure that contains more than one

separate residential dwelling unit and in

which each unit is, or is intended to be

used or occupied, in whole or in part,

as the home or residence of one or more

persons.

Risk Assessment—An on-site

investigation of a residential dwelling to

discover any lead-based paint hazards.

Risk assessments include an

investigation of the age, history,

management, maintenance of the

dwelling, and the number of children

under age 6 and women of child-bearing

age who are residents; a visual

assessment; limited environmental

sampling (i.e., collection of dust wipe

samples, soil samples, and deteriorated

paint samples); and preparation of a

report identifying acceptable abatement

and interim control strategies based on

specific conditions.

State Certification Program—(see

Appendix E of this NOFA—Elements of

a State Certification Program)

Substrate—A surface on which paint,

varnish, or other coating has been

applied or may be applied. Examples of

substrates include wood, plaster, metal,

and drywall.
Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices 24411

Target Housing—Any residential unit

constructed before 1978, except

dwellings for the elderly or persons

with disabilities (unless any child who

is less than 6 years of age resides or is

expected to reside in such housing for

the elderly or persons with disabilities)

or any 0-bedroom dwelling.

Testing—The measurement of lead in

painted surfaces by Federal- or Statecertified personnel using a portable Xray fluorescence analyzer (XRF)

operated in accordance with its

manufacturer’s operating instructions

and its Performance Characteristics

Sheet (PCS), laboratory analysis by an

accredited laboratory of paint samples,

or other method(s) approved by HUD.

Title X—The Residential Lead-Based

Hazard Reduction Act of 1992 (Title X

of the Housing and Community

Development Act of 1992, Pub. L. 102–

550, approved October 28, 1992).

Trained Worker—For lead hazard

control work, a worker who has

successfully met all the requirements of

a Federal or State-accredited lead-based

paint training course in a particular

discipline which meets, at a minimum,

the requirements found in Appendix E

of this NOFA.

μg (or ug)—Micrograms. The prefix

micro means 1/1,000,000 (or onemillionth); a microgram is 1/1,000,000

of a gram and 1/1,000 of a milligram;

equal to about 35/1,000,000,000 (35

billionths) of an ounce (an ounce is

equal to 28,400,000 μg).

Wipe Sampling for Settled LeadContaminated Dust—The collection of

settled dust samples from surfaces to

measure for the presence of lead.

Samples must be analyzed by an

accredited laboratory. For clearance

purposes, settled dust sampling shall be

performed in accordance with the HUD

Guidelines. Surfaces sampled must meet

the current HUD standards for

clearance. All surfaces shall have no

more than the maximum allowable

standards. (See ‘‘Clearance Testing and

Examination’’.)

XRF Analyzer—An instrument that

determines lead area concentration in

painted surfaces in units of milligrams

per square centimeter (mg/cm2) using

the principle of x-ray fluorescence

(XRF). For purposes of the grant

program, and as used in the Guidelines,

the term XRF analyzer only refers to

portable instruments manufactured to

analyze paint, and does not refer to

laboratory-grade units or portable

instruments designed to analyze soil or

dust. XRF analyzers are to be operated

in accordance with their manufacturer’s

operating instructions and their

Performance Characteristics Sheet

(PCS).

Section 3. Purpose and Description

Section 3.1 Purpose and Authority

Hazard-control grants are to assist

State and local governments in

undertaking programs for the

identification and control of lead-based

paint hazards in eligible housing units

for rental occupants and owner

occupants. (Appendix D of this NOFA

lists HUD-associated housing programs

that may have dwellings that meet the

definition of eligible housing.)

Approximately fifty million dollars ($50

million) is being made available to fund

approximately 10–12 Category A grants

of $1 million to $6 million each to assist

State and local governments in

undertaking lead-based paint hazard

control in eligible housing. A maximum

of 20 percent of the funds under

Category A of this NOFA shall be

available to previous Lead-Based Paint

Hazard Control grantees. This limitation

is imposed to build capacity in those

areas where no previous grant

supported work has been done, but still

retain the Department’s ability to target

some funds to areas of greatest need.

Approximately four million dollars ($4

million) will be available to fund a

maximum of eight (8) Category B grants

of $500,000 to $2 million each. Funds

available under Category B are intended

to promote coordination between

Superfund and the HUD Lead-Based

Paint Hazard Control Grant Program, to

maximize the benefits provided under

each program, and to involve the private

sector. These funds are to be used to

control lead-based paint hazards at

Superfund sites where Superfund

dollars will be spent to control leadcontaminated soil, and probably

housing exteriors, and HUD grant

dollars will be used to control leadbased paint hazards in eligible housing

units.

Proposals may be submitted under

both categories of assistance. The

amounts constitute the total request for

the duration of the project. Grants are

authorized under section 1011 (a)–(f) of

Title X.

The purposes of this program include:

(a) Implementation of a national

strategy, as defined in Title X, to build

the infrastructure necessary to eliminate

lead-based paint hazards in all housing,

as widely and expeditiously as possible;

(b) Encouragement of effective action

to prevent childhood lead poisoning by

establishing a workable framework for

lead-based paint hazard identification

and control;

(c) Mobilization of public and private

resources, involving cooperation among

all levels of government and the private

sector, to develop the most promising,

cost-effective methods for identifying

and controlling lead-based paint

hazards; and

(d) To the greatest extent feasible,

promoting job training, employment,

and other economic lift opportunities

for low-income residents and businesses

which are owned by and/or employ

low-income residents as defined in 24

CFR 135.5 (See 59 FR 33881, June 30,

1994).

Section 3.2 Background

Lead is a powerful toxicant that

attacks the central nervous system and

is particularly damaging to the

neurological development of young

children. Pregnant women can transfer

lead through the placenta to the fetus.

Lead-based paint (LBP) is one of the

major sources of lead in the

environment. In addition to paint, lead

may be found in dust, soil, drinking

water, food, emissions from leaded

gasoline combustion, and industrial

emissions. Human exposure to lead is

found by measuring blood samples for

the presence of lead.

Based upon additional analysis in

1995 of the data generated from the

national housing survey conducted for

HUD (Report on the National Survey of

Lead-Based Paint in Housing, June

1995.), of all occupied housing units

built before Congress banned the use of

lead-based paint in 1978, approximately

83 percent or 64.4 million housing units

are estimated to have lead-based paint

somewhere on the exterior or interior of

the building. Approximately 90 percent

of the dwellings built prior to 1960 have

lead-based paint. Older dwellings are

more likely to have higher

concentrations of lead on painted

surfaces and greater surface area

coverage. Although intact lead-based

paint poses little immediate risk to

occupants, non-intact paint which is

chipping, peeling, or otherwise

deteriorating may present an immediate

risk to occupants. Therefore, of

particular concern are the 14.4 million

housing units that contain deteriorated

lead-based paint and/or leadcontaminated dust and the 3.3 million

units that are occupied by young

children. Approximately half of these

units are occupied by families with

incomes lower than the national

median.

HUD has been actively engaged in a

number of activities relating to leadbased paint as a result of the Lead-Based

Paint Poisoning Prevention Act

(LBPPPA), 1971, as amended, 42 U.S.C.

4801–4846. Title X provides major

initiatives and more detailed

requirements for this NOFA. (Appendix

A of this NOFA identifies relevant
24412 Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices

Federal regulations and guidelines

referred to in this NOFA.)

In June 1995, HUD published

Guidelines for the Evaluation and

Control of Lead-Based Paint in Housing

(Guidelines) (See Appendix A of this

NOFA). These Guidelines provide

detailed, comprehensive, technical

information on how to identify leadbased paint hazards in housing and how

to control such hazards safely and

efficiently. These Guidelines replace the

Interim Guidelines developed in 1990.

In July 1995, the Task Force on LeadBased Paint Hazard Reduction and

Financing, which was established

pursuant to Section 1015 of Title X,

presented its final report to HUD and

the Environmental Protection Agency

(EPA). The Task Force Report, entitled

Putting the Pieces Together: Controlling

Lead Hazards in the Nation’s Housing,

(See Appendix A of this NOFA)

recommended a number of actions

which are needed to develop

comprehensive, health-protective, costeffective, and feasible approaches to

solving the most significant

environmental health hazard facing

America’s children. In dealing with the

estimated 64.4 million housing units

with lead-based paint, the Task Force,

using the Title X framework for

redefining the problem, moved beyond

the mere presence of lead-based paint

and focused on the conditions that can

expose a child to lead hazards—

deteriorating lead-based paint, leadcontaminated dust and bare leadcontaminated soil. The Task Force

recommendations therefore focus on

addressing lead hazards in the

approximately 15 million housing units

estimated to contain lead hazards, and

preventing new lead hazards in the

balance of the housing stock. This

NOFA incorporates many of the

recommendations outlined in the Task

Force Report.

The Environmental Protection Agency

(EPA), with assistance from HUD and

the Centers for Disease Control and

Prevention (CDC), operates the National

Lead Information Center which includes

an automated consumer information

Hotline 1–800–LEADFYI (1–800–532–

3394) and a Clearinghouse for leadbased paint resources and assistance 1–

800–424–LEAD (1–800–424–5323).

In the Federal Register of September

2, 1994, the EPA published the

proposed rule pursuant to sections 402

and 404 of the Toxic Substances Control

Act (TSCA), as amended by Title X (see

40 CFR Part 745 Lead; Requirements for

Lead-Based Paint Activities) for training

and certification requirements for leadbased paint contractors, inspectors, risk

assessors, designers and workers; and its

requirements for a model state program.

Until the proposed rule is final, and

State Lead-Based Paint Contractor

Certification and Accreditation

Programs are authorized by EPA, State

programs should be at least as protective

as outlined in Appendix E of this

NOFA. State Lead-Based Paint

Contractor Certification and

Accreditation Programs meeting the

requirements under Appendix E of this

NOFA are considered acceptable to

HUD and EPA for purposes of the grant

programs announced in this NOFA.

Section 3.2.1 Previous Lead-Based

Paint Hazard Control Grant Awards

This NOFA is for a fourth round of

grants. In Fiscal Years 1992, 1993, and

1994, HUD conducted competitions and

approved a total of 64 Lead-Based Paint

Hazard Control grants to 56 grantees for

approximately $279 million dollars.

There was no competition in FY 1995.

Section 3.3 Allocation Amounts

(a) Amounts. Approximately $50

million will be made available for the

Category A grant program from the

appropriations made for the lead-based

paint hazard reduction program in the

Omnibus Consolidated Rescissions and

Appropriations Act of 1996 (Pub. L.

104–134, 110 Stat. 1321, approved April

26, 1996).

(b) Residual Funds. In the selection

process, once available funds have been

allocated to meet the full requested and/

or negotiated amounts of the top eligible

applicants, HUD reserves the right, in

successive order, to offer any residual

amount as partial funding to the next

eligible applicant. Such applicant(s)

shall have not more than 7 calendar

days to accept, or to decline and reapply

in a future round, provided HUD, in its

sole judgment, is satisfied that the

residual amount is sufficient to support

a viable, though reduced effort, by such

applicant(s).

(c) Goals. Because lead-based paint is

a national problem, these funds are

awarded in a manner that:

• Maximizes the number of housing

units in which lead-hazard control

occurs;

• Stimulates cost-effective State and

local approaches that can be replicated

in as many settings as possible;

• Disperses the grants as widely as

possible across the nation; and

• Builds local capacity.

HUD expects to award approximately

10–12 Category A grants of $1 million

to $6 million each on a costreimbursable basis.

Section 3.4 Eligibility

Title X specifies the following

eligibility requirements for grants to

identify and control lead-based paint

hazards in housing:

(a) Eligible Applicants. A State or unit

of local government that has a currently

approved Comprehensive Housing

Affordability Strategy (CHAS) under

section 105 (42 U.S.C. 12705) of the

Cranston-Gonzalez National Affordable

Housing Act (NAHA) or a currently

approved Consolidated Plan is eligible

to apply for a grant. However,

applicants are advised that in selecting

grantees under this NOFA, the Secretary

or his designee is unlikely to select

applicants that were previously funded

under the FY 1994 NOFA (Round

Three), issued April 21, 1994 (59 FR

19080). A maximum of 20 percent of the

funds under Category A of this NOFA

shall be available to previous LeadBased Paint Hazard Control grantees.

This selection decision will be pursuant

to the Secretary’s authority to ensure

geographic distribution and to ensure

that available funds are used effectively

to promote the purposes of Title X. (See

Section 4.3, Rating Factors, for

additional discussion of this

consideration for selection.)

(b) Certified Performers. Funds shall

be available only for projects conducted

by contractors, risk assessors,

inspectors, workers and others engaged

in lead-based paint activities who meet

the requirements of a State Lead-Based

Paint Contractor Certification and

Accreditation Program that is at least as

protective as the Federal certification

program standards outlined in

Appendix E to this NOFA or which

meets the requirements of a State

program authorized by EPA under the

requirements of Section 404 of the Toxic

Substances Control Act (TSCA).

(c) Eligible Activities. The following

direct and support activities are eligible

under this grant program:

(1) Direct Project Elements (whether

activities of the grantee or sub-grantees

or other sub-recipients):

• Performing risk assessments,

inspections and testing of eligible

housing constructed prior to 1978 to

determine the presence of lead-based

paint, lead dust, or leaded soil through

the use of acceptable testing procedures.

• Conducting Lead Hazard Control

which may include any combination of

the following:

• Interim control of lead-based paint

hazards in housing;

• Hazard abatement for programs that

apply a differentiated set of resources to

each unit, dependent upon conditions

of the unit and the extent of hazards;

and
Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices 24413

• Complete abatement of lead-based

paint and lead-based paint hazards,

including soil and dust, by means of

removal, enclosure, encapsulation, or

replacement methods.

(HUD encourages local innovation in

performing work under this grant.)

• Carrying out temporary relocation

of families and individuals during the

period in which hazard control is

conducted and until the time the

affected unit receives clearance for

reoccupancy.

• Conducting pre-hazard control

blood lead testing of children under the

age of six residing in units undergoing

risk assessment, inspection or hazard

control.

• Performing blood lead testing and

air sampling to protect the health of the

hazard-control workers, supervisors,

and contractors.

• Undertaking other housing

rehabilitation activities under this

program that are specifically required to

carry out effective hazard control, and

without which, the hazard control could

not be effected. Grant funds from this

program may also be used for the leadbased paint hazard-control component

in conjunction with other housing

rehabilitation programs.

• Conducting pre- and post-hazard

control dust-wipe testing and analysis.

• Carrying out engineering and

architectural costs that are necessary to,

and in direct support of, lead hazard

control.

• Conducting general or targeted

community awareness or education

programs on lead hazard control and

lead poisoning prevention.

• Securing liability insurance for

lead-hazard control activities.

• Supporting data collection,

analysis, and evaluation of grant

program activities. This direct project

activity includes compiling and

delivering such data as may be required

by HUD. For estimating purposes, an

applicant should consider devoting 3

percent of the total grant sum for this

purpose (This 3 percent does not

include the blood lead and

environmental testing costs.) Note that

this activity is not included in

administrative costs, for which there is

a separate 10 percent limit.

• Preparing a final report at the

conclusion of grant activities.

(2) Support Elements:

• Administrative costs of the grantee

(maximum of 10 percent; (see Appendix

B of this NOFA for definition).

• Program planning and management

costs of sub-grantees and other subrecipients.

(d) Ineligible Activities. Grant funds

shall not be used:

(1) To purchase real property.

(2) To purchase capital equipment

having a per unit cost in excess of

$5,000, except for XRF analyzers. If

purchased, capital equipment and the

XRF analyzers shall remain the property

of the grantee at the conclusion of the

project. Funds may be used, however, to

lease equipment specifically for the

Lead-Based Paint Hazard Control Grant

Program. If leased equipment, other

than XRF analyzers, becomes the

property of the grantee as the result of

a lease arrangement, the leased

equipment becomes the property of the

grantee at the end of the grant period;

and

(3) For chelation or other medical

treatment costs related to children with

elevated blood lead levels. Non-Federal

funds used to cover these costs may be

counted as part of the required matching

contribution.

Section 3.5 Limitations on the use of

Assistance.

(a) Pursuant to the Coastal Barrier

Resources Act (16 U.S.C. 3501), grant

funds may not be used for properties

located in the Coastal Barrier Resources

System.

(b) Under the Flood Disaster

Protection Act of 1973 (42 U.S.C. 4001–

4128), grant funds may not be used for

construction, reconstruction, repair or

improvement or lead-based paint hazard

control of a building or mobile home

which is located in an area identified by

the Federal Emergency Management

Agency (FEMA) as having special flood

hazards unless:

(1) The community in which the area

is situated is participating in the

National Flood Insurance Program in

accordance with the applicable

regulations (44 CFR parts 59–79), or less

than a year has passed since FEMA

notification regarding these hazards;

and

(2) Flood insurance on the property is

obtained in accordance with section

102(a) of the Flood Disaster Protection

Act (42 U.S.C. 4012a(a)). Applicants are

responsible for assuring that flood

insurance is obtained and maintained

for the appropriate amount and term.

(c) The National Historic Preservation

Act of 1966 (16 U.S.C. 470) (NHPA) and

the regulations at 36 CFR part 800 apply

to the lead-based paint hazard control

activities that are undertaken pursuant

to this NOFA. HUD and the Advisory

Council for Historic Preservation have

developed an optional Model

Agreement for use by grantees and State

Historic Preservation Officers in

carrying out activities under this NOFA.

(See Section 3.6, Environmental Review

and Section 8, Other Matters, in this

NOFA.)

(d) The applicant shall comply with

the requirements of the Uniform

Relocation Assistance and Real Property

Acquisition Policies Act of 1970 (URA)

(42 U.S.C. 4201–4655). These policies

are described in HUD Handbook 1378,

Tenant Assistance, Relocation and Real

Property Acquisition. No displacement

(a permanent, involuntary move) is

anticipated. However, to preclude

avoidable claims for relocation

assistance, all occupants (owner and

tenants) shall, as soon as feasible, be

notified in writing that they will not be

displaced by the lead-based paint

hazard-control program. In most cases,

tenants and owner-occupants will be

required to relocate temporarily to

permit lead-based paint hazard-control

activities to be carried out. All

conditions of the temporary relocation

must be reasonable. The policy

regarding temporary relocation costs for

owner-occupants who elect to

participate in hazard-control is a matter

of grantee discretion. With respect to

tenants who will be required to relocate

temporarily, at a minimum the tenant

shall be provided:

(1) Reimbursement for all reasonable

out-of-pocket expenses incurred in

connection with the temporary

relocation, including the cost of moving

to and from the temporarily occupied

housing and any increase in monthly

rent/utility costs at that housing; and

(2) Appropriate advisory services,

including reasonable advance written

notice of the date and approximate

duration of the temporary relocation;

the address of the suitable, decent, safe,

and sanitary dwelling to be made

available for the temporary period; the

reimbursement provisions of paragraph

(e) of this section; and information on a

resident’s rights under the Fair Housing

Act.

(e) Abatement waste disposal will be

handled according to the requirements

of the appropriate State or Federal

regulatory agency. (See HUD Guidelines

for the disposal of hazard control waste

that contains lead-based paint but is not

classified as hazardous.)

(f) The applicant shall observe the

procedures for worker protection

established in the HUD Guidelines, as

well as the requirements of the

Occupational Safety and Health

Administration (OSHA) (29 CFR

1926.62—Lead Exposure in

Construction) (See Appendix A of this

NOFA). If other OSHA requirements

published prior to the start of actual

abatement included as part of lead

hazard control work at any individual

project site are more stringent than the
24414 Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices

Guidelines, those more stringent OSHA

standards shall govern.

(g) Lead hazard control methods that

will not be allowed are: open-flame

burning, dry scraping (except

immediately around electrical circuits

and plumbing fixtures), uncontrolled

abrasive blasting, machine sanding

without HEPA attachments or use of

chemicals containing methylene

chloride. The applicant is cautioned

that methods that generate high levels of

lead dust, such as abrasive sanding,

shall be undertaken only with requisite

worker protection, containment of dust

and debris, suitable clean-up, and

clearance.

Section 3.6 Environmental Review

In accordance with the Multifamily

Housing Property Disposition Reform

Act of 1994, HUD regulations in 24 CFR

Part 58 provide that recipients of leadbased paint hazard control grants will

assume Federal environmental review

responsibilities. Recipients of a grant

under this NOFA will be given guidance

in carrying out these responsibilities.

Section 3.7 Objectives and

Requirements

(a) Generally. Grantees will be

afforded considerable latitude in

designing and implementing the

methods of lead-based paint hazard

control to be employed in their

jurisdictions. HUD is interested in

promoting lead hazard control

approaches that result in the reduction

of this health threat for the maximum

number of low-income residents, and

that demonstrate replicable techniques

that are cost-effective and efficient.

Flexibility will be allowed within the

parameters established below. It is

critical that written policies and

procedures for all phases of lead hazard

control, including risk assessment,

inspection, pre-hazard control blood

lead testing, financing, relocation and

clearance testing be clearly established

in writing and adhered to by all

applicants, subcontractors, subgrantees, sub-recipients, and their

contractors. The Department has found

that the establishment of written

procedures clearly assigning duties to

participating agencies and individuals

helps to protect children, families, and

workers during lead hazard control

work.

Proposed methods requiring a

variance from the standards or

procedures cited below will be

considered on their merits in a separate

HUD review and approval process after

the grant award is made and a specific

justification has been presented. If a

grant application is dependent on a

variation from the procedures cited

below, but otherwise is of award

quality, it will be made as a conditional

grant, subject to approval of the request

for variation. When such a request is

made, either in the application or

during the planning phase, HUD intends

to consult with experts from both the

public and private sector as part of its

final determinations and will document

its findings in an environmental impact

assessment. Approval of any proposed

modifications will not involve a

lowering of standards that would have

a potential to adversely affect the health

of residents, contractors or workers.

(b) Data collection. Grantees will be

required to collect the data necessary to

document the various lead hazard

control methods employed in order to

determine the relative cost and

effectiveness of these methods in

reducing or eliminating lead-based paint

hazards. Pre- and post-lead hazard

control environmental dust-wipe

sampling is a requirement.

(c) Lead Hazard Control Testing—

Schedule. In developing the application

cost proposal, applicants shall include

costs for the pre- and post-hazard

control testing for each dwelling that

will undergo either a lead-based paint

risk assessment and/or inspection and

hazard control according to HUD

Guidelines, as follows:

(1) XRF on-site (or supplementary

laboratory) testing: Conducted

according to HUD Guidelines. Pretest

every room or area in each dwelling unit

planned for hazard control, using each

XRF analyzer in accordance with its

manufacturer’s operating instructions

and its Performance Characteristics

Sheet (PCS);

(2) Blood lead testing: Before lead

hazard control work begins, the testing

of each occupant who is a child under

six years old according to the

recommendations contained in

Preventing Lead Poisoning in Young

Children, 1991 Centers for Disease

Control and Prevention (CDC). (See

Appendix A of this NOFA.)

(3) Dust testing: Conducted according

to the HUD Guidelines.

(A) Pretest before lead hazard control

work begins;

(B) Clearance testing before

reoccupying a unit or area; and

(C) Test at 12-months after the unit is

reoccupied.

(d) Testing—guidance. (1) Generally.

All testing and sampling shall conform

to the HUD Guidelines. Note that it is

particularly important to provide this

full cycle of testing for hazard control,

including interim controls, even though

the testing itself may become a

substantial part of the cost per unit.

(2) Required Thresholds for Hazard

control. While the Department’s

Guidelines (see Appendix A of this

NOFA) employ two hazard-control

thresholds, one milligram per square

centimeter (1.0 mg/cm2) or 0.5 percent

by weight, applicants may utilize other

thresholds, provided that the alternative

threshold is justified adequately and is

accepted by HUD. The justification must

state why the applicant believes the

proposed threshold will provide

satisfactory health protection for

occupants, and must discuss cost

savings and benefits expected to result

from using the proposed approach.

(3) Surfaces which require lead

hazard control. HUD’s Guidelines

identify hazards considered to be of

greatest immediate concern to young

children and which require hazard

control to be undertaken. Children are

most frequently exposed to the

following hazards: Lead-contaminated

dust, deteriorated lead-based paint; and

bare, accessible lead contaminated soil.

Friction, chewable, and impact surfaces

with intact lead-based paint are also of

concern, but do not necessarily need to

be treated, depending on dust testing

results. Friction surfaces are subject to

abrasion and may generate leadcontaminated dust in the dwelling;

chewable surfaces are protruding

surfaces that are easily chewed on by

young children; and impact surfaces

may become deteriorated through

forceful contact. The applicant may

choose to treat fewer surfaces or apply

other hazard control techniques,

provided that an adequate rationale,

including periodic monitoring, is

presented to and accepted by HUD. The

rationale must state why the applicant

believes the proposed approach will

provide satisfactory health protection

for occupants and at the same time,

provide cost savings or other benefits.

(4) Grantees shall be required to meet

the post-hazard control wipe-test

clearance thresholds contained in the

HUD Guidelines (See Appendix A of

this NOFA). Wipe tests shall be

conducted by a certified inspector who

is independent of the lead hazard

control contractor. Dust-wipe samples

must be analyzed by an accredited

laboratory (see Definitions). Units shall

not be reoccupied until clearance levels

are achieved.

Section 4. Grant Application Process for

Category A

Section 4.1 Submitting Applications

for Grants

To be considered for Category A

funding, an original and two copies of

the application must be physically
Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices 24415

received in the Office of Lead-Based

Paint Abatement and Poisoning

Prevention (OLBPAPP), Department of

Housing and Urban Development, Room

B–133, 451 Seventh Street SW.,

Washington, D.C. 20410, no later than

3:00 P.M. (Eastern Time) on July 30,

1996. Electronic (FAX or equivalent)

transmittal of the application is not an

acceptable transmittal mode.

Separate proposals may be submitted

by a jurisdiction for each category of

assistance.

For Category A, the application must

have clearly numbered pages, a

complete table of contents and

appendices. The applicant narrative

response to the Rating Factors is limited

to a maximum of 25 pages. Responses

must be typewritten on one (1) side only

on 81⁄2′′ x 11′′ paper using a 12-point

font.

The above-stated application deadline

is firm as to date and hour. In the

interest of fairness to all competing

applicants, the Department will treat as

ineligible for consideration any

application that is received after the

deadline. Applicants should take this

factor into account and make early

submission of their materials to avoid

any risk of loss of eligibility brought

about by unanticipated delays,

equipment breakdown, or deliveryrelated problems.

HUD will review each application to

determine whether it meets all of the

threshold criteria established for

Category A under Section 4.2 of this

NOFA. Nonresponsive applications will

be declared ineligible for further

consideration. Applications that meet

all of the threshold criteria will be

eligible to be scored and ranked, based

on the total number of points allocated

for each of the rating factors for Category

A in Section 4.3 of this NOFA.

HUD intends to fund the highest

ranked applications within the limits of

funding availability, but reserves the

right to advance other eligible

applicants in funding rank, if necessary,

to assure geographic diversity, to

promote the purposes of Title X, to

broaden the range of hazard control

alternatives to be tested, or to enhance

data reliability.

Section 4.2 Threshold Requirements

for Category A Grants

(a) Purpose. The application must be

for funds to identify and control lead

hazards in eligible housing (see

Appendix D of this NOFA for programby-program listing of eligible HUDassociated housing programs).

(b) Eligible Applicants. An applicant

must be a State or unit of local

government that has a currently

approved Comprehensive Housing

Affordability Strategy (CHAS) or a

currently approved Consolidated Plan.

Applicants under this NOFA are

permitted to submit documentation that

HUD approved their current program

year CHAS or Consolidated Plan.

Applicants are to submit, as an

appendix, a copy of the lead-based paint

element included in the approved

CHAS or Consolidated Plan. Applicants

that do not have a currently approved

CHAS or Consolidated Plan, but are

otherwise eligible for this grant

program, must include their abbreviated

Consolidated Plan which includes a

lead-based paint hazard control strategy

developed and submitted in accordance

with 24 CFR 91.235.

(c) Matching Contribution. Each

applicant shall provide a matching

contribution of at least 10 percent of the

requested grant sum. This may be in the

form of a cash or in-kind contribution or

a combination of both.

(d) Contractor Certification Program

Requirement. Each applicant must carry

out its hazard control program under an

operational State program that is at least

as protective as the training and

certification program requirements cited

in Appendix E of this NOFA.

Applicants should indicate which of the

following situations, (1) or (2) applies

with respect to contractor certification.

(1) A State applicant shall furnish

copies of the existing statutes,

regulations or other appropriate

documentation regarding the State’s

Lead-Based Paint Contractor

Certification and Accreditation Program

which meet the standards set forth in (d)

above.

(2) Other applicants may be approved

for a conditional grant with funding

subject to the following provisions:

(A) A State applicant which has

existing legislation acceptable to HUD,

but which has not implemented an

acceptable lead-based paint contractor

certification program, shall furnish at

the time of the application, written

assurances from the Governor that an

acceptable certification program will be

implemented within 1 year from the

date of the application deadline date

and that the designated agency

implementing the certification program

shall offer training sessions leading to

certification within six (6) months of the

effective date of implementing

regulations. If legislative approval of

proposed regulations is also required, a

similar written assurance must be

provided by the chairs of committees

having jurisdiction.

With the exception of costs incurred

for planning purposes, HUD will not

release any funds for the lead hazard

control phase of the grant program until

the State has implemented an

acceptable lead-based paint contractor

certification and accreditation program

and has submitted and secured HUD

approval of the grantee Request for

Release of Funds (HUD Form 7015.15)

which certifies that the grantee has

fulfilled the environmental review

requirements of the grant.

(B) Local government applicants in

States which have not implemented an

acceptable contractor certification

program must provide assurances that

only certified contractors and trained

workers from other State certification

programs acceptable to HUD will be

used in conducting lead hazard control

work.

Applicants are advised that if the

commitment to implement a

certification/training program or use

certified contractors is not fulfilled

within the stated time, the conditional

grant agreement may be immediately

terminated.

(e) Continued Availability of Lead

Safe Housing to Low-Income Families.

Units in which lead hazards have been

controlled under this program shall be

occupied by and/or continue to be

available to low-income residents as

required by the statute (see Appendix C

of this NOFA). Grantees are encouraged

to maintain a listing of units in which

lead hazards have been controlled for

distribution and marketing to agencies

and families as suitable housing for

children under six.

(f) Cooperation With Related Research

and Evaluation. Applicants shall

cooperate fully with any research or

evaluation sponsored by HUD and

associated with this grant program,

including preservation of the data and

records of the project and compiling

requested information in formats

provided by the researchers, evaluators

or HUD. This cooperation may also

include the compiling of certain

relevant local demographic, dwelling

unit, and participant data not

contemplated in the applicant’s original

proposal. Participant data shall be

subject to Privacy Act protection. For

estimating purposes, an applicant shall

devote three percent of the total grant

sum for data collection and evaluation

purposes, as discussed in Section 3.4,

Eligibility, of this NOFA.

Section 4.3 Rating Factors

HUD will use the following technical

and financial criteria to rate and rank

applications received in response to

Category A of this NOFA. The Request

for Grant Applications (RFGA) will

provide guidance in responding to all

the Rating Factors. The technical quality
24416 Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices

of an application will be rated, and then

the strength, quality, and completeness

of the financial and resources plan will

be used to assess the likelihood that the

technical plan can be carried out using

the available resources. The maximum

score possible under the rating factors is

100 points.

Applicants are advised, however, that

in selecting grantees under this NOFA,

the Secretary or his designee is unlikely

to select applicants who were

previously funded under the FY 1994

NOFA (Round Three), issued April 21,

1994 (59 FR 19080). A maximum of 20

percent of the funds under Category A

of this NOFA shall be available to

previous Lead-Based Paint Hazard

Control grantees. This selection

prerogative will be exercised under the

Secretary’s authority to ensure that

available funds are used effectively and

to promote the purposes of Title X. See

section 1011(d)(5) of Title X (42 U.S.C.

4852(d)(5)).

(a) Need. (10 Points)— The scope and

magnitude of the applicant’s current

lead-based paint problem for which

grant program funds can be expected to

have an impact. The applicant should

document its unmet need for assistance.

Examples should be the number and

proportion of children with elevated

blood lead levels; the number and

proportion of housing units with

deteriorating interior or exterior leadbased paint, lead-contaminated dust or

bare lead-contaminated soil. The

applicant should include:

(1) A description of the applicant’s

current level of effort to deal with lead

hazards in housing and lead-related

health problems; and

(2) Provide and/or summarize any

available data from these previous

efforts.

It is desirable to include:

(1) The age and condition of housing;

(2) The number and percentage of low

income families whose incomes do not

exceed 80 percent of the median income

for the area as determined by HUD, with

adjustments for smaller and larger

families;

(3) The number and proportion of

children at risk of lead poisoning; and

(4) Other socioeconomic or

environmental factors that document a

need to establish or continue lead

hazard control work in the applicant’s

jurisdiction.

(These data may be available in the

applicant jurisdiction’s currently

approved CHAS or Consolidated Plan,

or derived from 1990 Census Data)

(b) Work Plan and Budget (50

points)—The quality and costeffectiveness of the applicant’s proposed

lead-based paint hazard control

program. The work plan and budget

should include the following elements:

(1) Program Management (10

points)—A description of the way in

which the project will be carried out

during the period of performance (up to

36 months), including the participation

of sub-grantees, contractors, subrecipients, and others assisting in

implementing the project. Specific, time

phased and measurable objectives

should be identified and described for

carrying out the program plan.

(2) Lead Hazard Control Strategy (35

Points)—

• The total number of owner

occupied and rental units in which lead

hazard control interventions will be

undertaken.

• The degree to which the work plan

focuses on eligible housing units with

children under the age of 6 years.

Description of the planned approach to

control lead hazards before children are

poisoned and/or to control lead hazards

in units where children have already

been identified with an elevated blood

lead level, including the referral of

children with elevated blood lead levels

for medical case management.

• The degree to which lead hazard

control work will be done in

conjunction with other housing

rehabilitation, weatherization, code

violation or other work.

• The process for the selection,

prioritization, risk assessment and/or

inspection, and enrollment of units of

eligible housing in which lead hazard

control will be undertaken. (Housing

having a risk assessment or inspection

performed in accordance with the HUD

Guidelines within 12 months of a grant

award and identified with lead-based

paint may be included in the already

inspected inventory.)

• The testing methods, schedule, and

costs for performing blood lead testing,

risk assessments and/or inspections.

(Identify the lead-based paint threshold

for undertaking lead hazard control—

e.g. 0.5 percent, 1.0 mg/cm2 or other

threshold established by statute,

regulation or local ordinance.)

• The lead hazard control methods to

be undertaken and the number of units

for each method (Interim Controls,

hazard abatement, and complete

abatement). Provide an estimate of the

per unit costs for lead hazard control

and the time frames to initiate and

complete lead hazard control work in

units selected. Efforts to incorporate

cost-effective recommendations of the

HUD Task Force Report: Putting the

Pieces Together: Controlling Lead

Hazards in the Nation’s Housing (see

Appendix A of this NOFA) should be

included.

• A description of the financing

mechanism to be employed in carrying

out lead hazard control activities and

the way in which these funds will be

administered (e.g. use of grants, deferred

loans, forgivable loans, other resources,

private sector financing, etc.).

• The applicant’s plan for temporary

relocation of occupants of units selected

for lead hazard control work. (Use of

safe houses and other housing

arrangements, storage of household

goods, stipends, incentives, etc.)

• Proposed community awareness,

education and outreach programs in

support of the applicant’s work plan

and objectives. General and/or targeted

efforts undertaken to assist the program

in reducing lead poisoning. To the

extent possible, programs should be

culturally sensitive, developmentally

appropriate, and linguistically specific.

(3) Program Evaluation and Data

Collection (5 points)—The applicant

must identify the specific methods to be

used to measure progress and evaluate

the program’s effectiveness. The

applicant should describe how the

information will be obtained,

documented and reported.

(4) Budget (Not Scored)—The

applicant’s proposed budget (for the

maximum 36-month period of

performance) will be evaluated for the

extent to which it is reasonable, clearly

justified, and consistent with the

intended use of grant funds. HUD is not

required to approve or fund all

proposed activities. Applicants may

devote up to 24 months for the planning

and completion of lead hazard control

activities and up to an additional 12

months for post-hazard control testing.

• All budget categories and costs (Part

B of Standard Form 424A) and major

tasks should be thoroughly documented

and justified. Describe in detail the

budgeted costs for each program

element included in the overall plan

(administrative costs, program

management, lead hazard control

strategy, community awareness,

education and outreach, and program

evaluation and data collection).

(c) Community and Private Sector

Participation (20 points)—The extent to

which the applicant has enlisted the

broad participation of neighborhood,

community, governmental and

nongovernmental organizations and the

private sector in the hazard control

program through specific commitments

of time, effort, and resources. In

implementing a lead-based paint hazard

control program, substantial efforts must

be made to collaborate and coordinate

activities with other housing, health and

environmental agencies and

organizations in the applicant’s
Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices 24417

jurisdiction. Efforts to promote the

formation of broad-based lead task

forces, to expand public and private

cooperation and coordination in the

provision of lead hazard control

program services, and to address

environmental justice issues should be

described. (10 points)

To the greatest extent feasible, the

applicant should promote job training,

employment, and other economic lift

opportunities for target area low-income

residents and businesses in the hazard

control program. (10 points)

Evidence of commitments should

include organization names, their

proposed levels of effort, resources and

responsibilities of these participants,

including clearly proposed plans for the

employment of low-income residents.

The absence of commitments,

memoranda of understanding or

agreements, and letters of participation

or discussion of levels of effort and

responsibility will result in a reduced

rating under this factor.

(d) Applicant Capacity and

Commitment to Hazard Control (15

points)—The capacity of the applicant

to initiate and carry out the lead-based

paint testing and hazard-control

program successfully within the period

of performance established.

• Describe the applicant’s

administrative organization, including

staff who will be responsible for

carrying out the responsibilities of the

program. (As an appendix, the applicant

should include a clearly identified

organizational chart, as well as resumes,

position descriptions, and vacancy

announcements, including salaries of

key personnel identified to carry out the

requirements of this grant program.)

Indicate for key personnel, the

percentage of time to be devoted to the

project and any portion of salary to be

paid by the grant. A full-time day-to-day

program manager is recommended.

Describe how other principal

components of the applicant agency or

other organizations will participate in or

otherwise support the grant program. (5

points)

• Describe the knowledge and

experience of the overall proposed

project director and day-to-day program

manager in planning and managing

large and complex interdisciplinary

programs, especially involving housing

rehabilitation, public health, or

environmental programs. The

percentage of time devoted to the

project as well as the knowledge and

experience of the project director and

day-to-day program manager are

significant factors to be considered. (5

points)

• The institutional capacity of the

applicant, as demonstrated by prior

experience in initiating and

implementing lead hazard control

efforts and/or related environmental,

health, or housing projects should be

thoroughly described. The applicant

should indicate how this prior

experience will be used in carrying out

its planned comprehensive Lead-Based

Paint Hazard Control Grant Program. (2

points)

• At a minimum, the applicant shall

provide a matching contribution of at

least 10 percent of the requested grant

sum. That contribution may be in cash,

in-kind or a combination of both. Inkind contributions shall be given a

monetary value. Community

Development Block Grant funds are the

only Federal funds which may be

considered part of the 10 percent

matching contribution and only when

they are specifically dedicated as an

integral part of the project (e.g., CDBG

rehabilitation funds used in conjunction

with lead hazard control work in units).

Other resources committed to the

program that exceed the minimum

required 10 percent match will provide

points for this rating factor. Each source

of contributions, cash or in-kind, both

for the required minimum and

additional amounts, shall be supported

by a letter of commitment from the

contributing entity, whether a public or

private source, which shall describe the

contributed resources that will be used

in the program. Staff in-kind

contributions should be given a

monetary value as discussed above. The

absence of letters providing specific

details and amount of the actual

contributions will result in those

contributions not being counted. (3

points)

(e) Lead-Hazard Control Integration (5

Points)—A description and/or specific

plan of how the applicant will integrate

lead hazard control activities with other

housing, health, and environmental

programs beyond the duration of the

grant shall be included in the

application. The applicant plans may

include:

(1) Adopting cost-effective

recommendations contained in the HUD

Task Force Report: Putting the Pieces

Together: Controlling Lead Hazards in

the Nation’s Housing;

(2) Incorporating lead hazard control

with other housing rehabilitation, code

violation or other work; and

(3) Other efforts designed to address

lead hazards in the community,

including identifying other local, State,

and private sources of support for

conducting lead hazard control work.

Section 5. Checklist of Application

Submission Requirements—Category A

Section 5.1 Applicant Data

Applicants must complete and submit

applications in accordance with the

format and instructions contained in the

application kit. The following is a

checklist of the application contents

that will be specified in the application

kit:

(a) The name, mailing address,

telephone number, and principal

contact person of the applicant. If the

applicant has consortium associates,

subgrantees, partners, major

subcontractors, joint venture

participants, or others contributing

resources to the project, similar

information shall also be provided for

each of them.

(b) For State applicants, copies of

existing statutes, regulations or other

appropriate documentation regarding

the State’s Lead-Based Paint Contractor

Certification and Accreditation Program.

A State applicant which has existing

legislation acceptable to HUD, but

which has not implemented an

acceptable lead-based paint contractor

certification program, shall furnish

assurances from the Governor that an

acceptable certification program will be

implemented within 1 year from the

date of the application deadline date

and that the designated agency

implementing the certification program

shall offer training sessions leading to

certification within 6 months of the

effective date of implementing

regulations. If legislative approval of

proposed regulations is also required, a

similar assurance must be provided by

the chairs of committees having

jurisdiction. Local government

applicants in States which have not

implemented an acceptable contractor

certification program must provide

assurances that only certified

contractors and trained workers from

State certification programs acceptable

to HUD will be used in conducting lead

hazard control work. (See Section 4.2(d)

of this NOFA regarding this

requirement).

(c) Evidence of the applicant’s

commitment to eliminating or reducing

significant lead-based paint hazards in

privately-owned eligible housing as

detailed in the applicant’s work plan for

lead-based paint hazard control (See

Rating Factor, Work Plan and Budget, in

Section 4.3 of this NOFA).

(d) A detailed description of the

funding mechanism, selection process,

and other proposed activities that the

applicant plans to use to assist any subgrantees or sub-recipients under this

grant.
24418 Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices

(e) A detailed total budget with

supporting cost justification for all

budget categories of the Federal grant

request. There shall be a separate

estimate for the overall grant

management element, ‘‘Administrative

Costs,’’ which are more fully defined in

Appendix B of this NOFA. The budget

shall include not more than 10 percent

for administrative costs and not less

than 90 percent for direct project

elements (See Section 3.4(c) Eligible

Activities of this NOFA).

(f) Certification assuring that the

applicant will conduct lead hazard

control activities safely and effectively.

(g) An itemized breakout of the

applicant’s required matching

contribution, including values placed

on donated in-kind services; letters or

other evidence of commitment from

donors; and the amounts and sources of

contributed resources.

(h) Memoranda of Understanding or

Agreement, letters of commitment or

other documentation describing the

proposed roles of agencies, local broadbased task forces, participating

community or neighborhood-based

groups or organizations, local

businesses, and others working with the

program.

(i) Completed Forms HUD–2880,

Applicant/Recipient Disclosure/Update

Report, and SF–LLL, Disclosure of

Lobbying Activities, where applicable

(See Section 10. Other Matters in this

NOFA).

(j) Standard Forms SF–424, 424A,

424B, and other certifications and

assurances listed in section 5.3 of this

NOFA.

(k) A copy of the applicant’s approval

notification for the current program year

for its Comprehensive Housing

Affordability Strategy (CHAS) or

Consolidated Plan. A copy of the

applicant’s lead hazard control element

included in the current program year

CHAS or Consolidated Plan.

Section 5.2 Proposed Activities

(a) Affected housing and population

to be served. The applicant shall

describe the size and general

characteristics of the target housing

within its jurisdiction, including a

description of the housing’s location,

condition, and occupants, and a current

estimate of the number of children

under the age of six in these units. Other

characteristics described in Section 4.3

Rating Factor (a)—‘‘Need’’ should be

provided. If specific area(s)

(neighborhoods, census tracts, etc.)

within an applicant’s jurisdiction are

specifically targeted for lead hazard

control activities, the applicant shall

describe these same characteristics for

the area. Maps may be included as an

appendix. To the extent practical,

preference shall be given to occupied

eligible housing units with children

under the age of 6. Vacant housing that

subsequently will be occupied by lowincome renters or owners should also be

included in this description. In

addition, as a measure of its ongoing

commitment to lead-based paint

programs, the applicant shall provide

information on the magnitude and

extent of the childhood lead poisoning

problem within its jurisdiction and for

any area(s) to be included in the lead

hazard control program. Current efforts

undertaken to provide health care

services for children with elevated

blood lead levels and efforts to address

lead-based paint hazards shall be

described.

(b) Discussion of program activities.

(See Section 4.3 Rating Factors) The

applicant shall provide a discussion of

the overall proposed hazard control

program, including, but not limited to,

information on the following:

• Needs Assessment

• Program Work Plan and Budget to

include:

—Program Management;

—Lead Hazard Control Strategy:

—Number of eligible housing units,

hazard control methods, blood lead

and environmental testing methods,

costs, financing mechanisms,

relocation plans, and community

awareness and education;

• Program Evaluation and Data

Collection;

• Budget Request;

• Community and Private Sector

Participation;

• Ability to Implement the Lead

Hazard Control Grant Program; and

• Future Integration and Coordination

of Lead Hazard Control Activities With

Other Programs.

Section 5.3 Certifications and

Assurances

The following certifications and

assurances are to be included in all

Category A applications:

(a) Compliance with environmental

laws and authorities (24 CFR Part 58).

(b) Compliance with the Uniform

Relocation Assistance and Real Property

Acquisition Policies Act of 1970.

(Implementing Regulations at 49 CFR

Part 24; and HUD Handbook 1378,

Tenant Assistance, Relocation and Real

Property Acquisition.)

(c) Compliance with Federal civil

rights laws and requirements.

(d) Compliance with the requirements

of the Fair Housing Act (42 U.S.C. 3601–

19); Executive Order 11063; Title VI of

the Civil Rights Act of 1964, pertaining

to equal opportunity and

nondiscrimination in housing).

(e) Compliance with the Age

Discrimination Act of 1975 and Section

504 of the Rehabilitation Act of 1973.

(f) Compliance with Section 3 of the

Housing and Urban Development Act of

1968. (Implementing regulations at 24

CFR Part 135.)

(g) Assurance that financial

management system meets the standards

for fund control and accountability (24

CFR 85.20).

(h) Assurance that pre-hazard control,

clearance, and 12 month post-hazard

control testing will be conducted by

certified performers.

(i) Assurance, to the extent possible,

that blood lead testing, blood lead level

test results, and medical referral and

followup are conducted for children

under six years of age occupying

affected units according to the

recommendations of the Centers for

Disease Control and Prevention (CDC).

(See Appendix A of this NOFAPreventing Lead Poisoning in Young

Children, October, 1991.)

(j) Assurance that Lead-Based Paint

Hazard Control Grant Program funds

will not replace existing resources

dedicated to any ongoing project.

(k) The application shall contain any

other assurances that HUD includes in

the application kit under this NOFA,

including certification of compliance

with the Drug-Free Workplace Act of

1988 in accordance with the

requirements set forth at 24 CFR part 24,

subpart F.

Section 6. Application Process for

Category B

Section 6 Purpose and Description

Section 6.1 Purpose and Authority

Category B provides funds for two

Federal government agencies to work

cooperatively to reduce lead hazards to

children. This category provides funds

to control lead-based paint hazards at

Superfund sites where Superfund

dollars will be spent to control lead in

soil hazards and HUD dollars will be

spent to control lead-based paint

hazards in residences.

Approximately 4 million dollars will

be available in awards ranging from

five-hundred thousand dollars ($500

thousand) to 2 million dollars ($2

million) available to each grantee. The

amounts are for the total, multiyear

work of a proposed project. Grants are

authorized under section 1011(a)–(f) of

Title X.

The purposes of this program include:

(a) To demonstrate that Potentially

Responsible Parties (PRPs), State and
Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices 24419

local governments, and other affected

parties such as low-income residents

can work together to maximize benefits

both from Superfund actions and other

lead-based paint hazard control

activities. (A Potentially Responsible

Party (PRP) is defined by Superfund as

any individual or entity including

owners, operators, transporters or

generators who may be liable under

section 107(a) of the Comprehensive

Environmental Response Compensation

and Liability Act (CERCLA)).

(b) To the greatest extent feasible,

promoting job training, employment,

and other economic lift opportunities

for low-income residents and businesses

as defined in 24 CFR 135.5 (see 59 FR

33881, June 30, 1994, and Category A

Section 3.1(d) of this NOFA).

Section 6.2 Background

This category brings together two

Federal agencies, HUD and the

Environmental Protection Agency

(EPA), to address housing and

environmental issues. These funds will

be targeted to communities that have,

within 18 months of the application

submission deadline date undergone

EPA Superfund cleanup activity. These

funds will be used primarily for interior

lead-based paint hazard control. Under

this Category, HUD funds may not be

used for soil cleanup.

A multiagency approach is needed to

address deteriorating interior paint,

exterior paint, and contaminated soil

and dust simultaneously. HUD’s leadbased paint hazard control grant

program has typically been used to

control primarily lead-based paint and

dust both inside and outside homes.

The HUD lead-based paint hazard

control grant program may also be used

to deal with lead in soil on an optional

basis as determined by grantees. EPA

Superfund normally cleans up

residential soils that are contaminated

with hazardous substances from local

Superfund sites. EPA Superfund does

not generally address the problem of

deteriorating interior lead-based paint

because exposures from interior paint

are generally not within the jurisdiction

of the Superfund program. Exterior leadbased paint hazard control may be

considered an eligible activity by the

Superfund program.

Category B targets communities with

Superfund sites that may or may not

have participated in previous HUD leadbased paint hazard control grant

programs. This Category will create a

means for communities with a

Superfund site(s) to address both leadbased paint inside and outside houses

as well as soil cleanup. HUD is

developing a place-based strategy that

empowers local communities to

combine government programs to

remedy specific problems, cutting

across traditional program boundaries.

This NOFA is an example of how HUD

and EPA are working together to enable

communities to determine how best to

solve specific problems in their local

area.

An important product of this grant

program will be to demonstrate how to

address lead-based paint abatement

issues at sites with multiple sources of

lead, thereby addressing housing and

environmental problems

simultaneously. HUD expects that

additional experience in this area will

reduce abatement costs and offer

creative strategies for overall lead risk

reduction.

Section 6.3 Allocation Amounts

(a) Amounts. Approximately $4

million will be available for the

Category B grant program from the

appropriations made for the lead-based

paint hazard reduction program in the

Omnibus Consolidated Rescissions and

Appropriations Act of 1996 (Pub. L.

104–134, 110 Stat. 1321, approved April

26, 1996).

(b) Residual Funds. In the selection

process, once available funds have been

allocated to meet the full requested

amounts of the top eligible applicants,

HUD reserves the right to offer any

residual amount as partial funding to

the next eligible applicant in successive

order. Any such applicant shall have

not more than 7 calendar days to accept

or decline the grant. In addition, HUD

reserves the right to award only one

grant, should only one applicant be able

to support a credible effort. Also,

because this is the initial notice of

funding availability under this Category,

it is possible that no applicant will be

able to demonstrate support of a

program in which case all funds would

revert to Category A.

Section 6.4 Eligibility

Title X specifies the following

eligibility requirements for grants to

identify and control lead-based paint

hazards in housing:

(a) Eligible Applicants. A State or unit

of local government that has a current

year approved Comprehensive Housing

Affordability Strategy (CHAS) under

Section 105 (42 U.S.C. 12705) of the

Cranston-Gonzalez National Affordable

Housing Act (NAHA) or a current year

approved consolidated plan is eligible

to apply for a grant. Applicants that do

not have a currently approved CHAS or

Consolidated Plan, but are otherwise

eligible for this grant program, must

include their abbreviated Consolidated

Plan which includes a lead-based paint

hazard control strategy developed and

submitted in accordance with 24 CFR

91.235.

Under Category B, all eligible

applicants compete equally, regardless

of previous awards under the HUD

Lead-Based Paint Hazard Control grant

program.

(b) Certified Performers—See Category

A, Section 3.4(b).

(c) Eligible Activities—See Category

A, Section 3.4(c).

(d) Ineligible Activities—See Category

A, Section 3.4(d).

Section 6.5 Limitations on the Use of

Assistance

See Category A, Section 3.5.

Section 6.6 Environmental Review

See Category A, Section 3.6.

Section 6.7 Objectives and

Requirements

See Category A, Section 3.7.

Section 7 Grant Application Process

Section 7.1 Submitting Applications

for Grants

See Category A, Section 4.1.

(There are no page restrictions or

format requirements for Category B

applications.)

Section 7.2 Threshold Requirements

for Category B

(a) Purpose. The application must be

for funds to identify and control lead

hazards in housing at Superfund sites

where lead has been identified as a

major contaminant. (See Appendix D of

this NOFA for program-by-program

listing of eligible HUD-associated

housing programs.)

See Category A (Section 4.2(b)–(f) for

eligible applicants, matching

contribution, contractor certification

program requirement, and other

threshold requirements.

(b) Status of Superfund remediation.

Jurisdictions are eligible only if

remediation activity was completed

within 18 months of the application

submission deadline date, or the

jurisdiction has a Record of Decision

with a completion date for the

remediation work of no more than three

years from the date of application

submission deadline date, or the site is

undergoing remedial action or will

undergo removal action within 18

months after the application submission

deadline date.

Section 7.3 Rating Factors

HUD will use the following technical

and financial criteria to rate and rank

applications received in response to this
24420 Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices

NOFA. The Request for Grant

Application (RFGA) kit will provide

guidance in responding to all the Rating

Factors. The technical quality of an

application will be rated, and then the

strength, quality, and completeness of

the financial and resources plan will be

used to assess the likelihood that the

technical plan can be carried out using

the available resources.

While HUD is very interested in

applicants who have managed to

involve PRPs, HUD explicitly recognizes

that there are a number of sites where

there is no PRP and it is unlikely one

will ever be found. These sites often

have environmental justice issues which

reflect the cumulative effects from

multiple sources of lead exposure.

Under this Category, HUD seeks a

balance between those sites who have

active and willing PRPs and those that

have no other means to accomplish

lead-based paint hazard control. HUD

believes that the best way to achieve

this balance is to recognize PRP

involvement and provide points for this

involvement in one of the factors. PRP

involvement is not a prerequisite

threshold requirement for eligibility or

selection of an award.

The maximum score possible under

the rating factors is 100 points.

(a) Coordination (35 points).

(1) Describe the history of the working

relationship of the applicant, EPA

Superfund authorities, the residents,

and each Potentially Responsible Party

(PRP), if any. Describe Superfund’s sitespecific community relations plan

including public meetings and other

outreach activities that present a

complete picture of the community’s

involvement in site cleanup and any

likely issues that may be encountered

during site remediation. (25 points)

(2) Discuss the financial, technical,

and other resources contributed by the

PRP. (10 points)

(b) Activities (25 points).

(1) Describe the extent of the

remediation work on the soil; provide a

comprehensive picture of cleanup

activities, both planned and undertaken,

including any relevant site information

that demonstrates the applicant’s need,

and describe how coordinated efforts of

the applicant, PRPs, residents, and

Superfund activities will reduce overall

lead risk. (15 points)

(2) Describe which non-HUD funding

sources have been secured to abate

exterior lead-based paint hazards. (10

points)

(c) Strategy (20 points).

(1) Discuss the quality and costeffectiveness of the proposed lead-based

paint hazard control strategy, especially

as it relates to Superfund cleanup

activities, HUD lead-based paint hazard

control, and how they fit into an overall

environmental lead risk reduction

scenario. The overall plan must include:

the selection of sub-grantees and other

sub-recipients to assist in implementing

the project; the total number of units to

be tested and treated and the rationale

for this total; the abatement/hazard

control methods and levels of treatment

proposed, and number of units by type

of treatment; the amount of prior hazard

control experience; financing

mechanisms for hazard control activities

and the process for recruiting property

owners; temporary relocation plans, if

needed; and the degree to which the

strategy focuses on households in

eligible housing with children under the

age of 6 years; (8 points)

(2) The level of coordination between

the applicant, HUD, and the Superfund

program; the experience of the applicant

with environmental issues; the

experience of the applicant with

environmental justice issues; the

experience of the applicant in dealing

with the private sector, especially with

PRPs; (7 points)

(3) A program for education and

outreach to the people residing on the

Superfund site on the hazards of lead in

paint, soil, and dust, including blood

lead screening of young children and, if

necessary, referral for medical

treatment. Include roles and

responsibilities and approaches

undertaken by the groups and

organizations involved in both

education and outreach, and blood lead

testing and medical follow-up. (5

points)

(d) Management and Budget Plan. (20

points)

The Management and Budget Plan

shall include:

(1) A narrative describing how the

process and tasks of the grant program

will be coordinated and managed by the

personnel discussed in the strategy

rating factor. Provide a brief narrative

for each major budget subtask and

justification for each functional cost

element, explaining its planned use. (8

points)

(2) A budget proposal for each major

cost element of the HUD grant, a task by

task spreadsheet for the HUD grant and

Part B of Standard Form 424A, for the

match and other resources contributed

by the applicant and the budget for the

Superfund part of the project. Describe

specifically how Superfund dollars and

HUD dollars will be allocated and

tracked and whether or not Superfund

dollars will be used to control exterior

lead-based paint hazards as part of the

soil remediation plan. (8 points)

(3) At a minimum, the applicant shall

provide a 10 percent matching

contribution of the requested grant sum.

Points for this factor will be awarded

only for the amount of the net

contributions that exceed the 10 percent

statutory minimum. Contributions may

be cash or in-kind, or a combination of

both. In-kind contributions must be

given a monetary value. PRPs may

contribute cash to meet this 10 percent

matching contribution requirement.

Community Development Block Grant

funds are the only Federal funds which

may be considered part of the 10

percent matching contribution, when

they are specifically dedicated to this

project. Additional resources committed

to the program that exceed the

minimum required 10 percent match

will provide points for this rating factor.

Each source of contributions, cash or inkind, both for the required minimum

and additional amounts, shall be made

in a letter of commitment from the

contributing entity, whether a public or

private source, and shall describe the

contributed resources that will be used

in the program. The absence of letters

providing specific details and amount of

the actual contributions will result in

that contribution not being counted. (4

points)

Section 7.4 Checklist of Application

Submission Requirements

7.4.1 Applicant Data

See Category A, Section 5.1(a)–(k).

7.4.2 Proposed Activities

See Category A, Section 5.2(a)–(d).

7.4.3 Certifications and Assurances

See Category A, Section 5.3(a)-(k).

Section 8. Corrections to Deficient

Applications

Shortly after the expiration of the

NOFA submission deadline date, HUD

will notify applicants in writing of any

minor deficiencies in the applications

that are not of a substantive nature, such

as an omitted certification or illegible

signature. The applicant shall submit

corrections, which must be received at

the Office of Lead-Based Paint

Abatement and Poisoning Prevention

within 21 calendar days from the date

of HUD’s letter notifying the applicant

of any minor deficiencies. Electronic or

FAX transmittal is not an acceptable

transmittal mode. Corrections to minor

deficiencies will be accepted within the

21-day time limit. Applicants that do

not make timely response to requests for

deficiency corrections shall be removed

from further consideration for an award.

Applicants shall only be permitted to

correct those deficiencies determined by
Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices 24421

HUD to be minor. Deficiencies

determined by HUD to be substantive

may not be corrected.

Section 9. Administrative Provisions

Section 9.1 Obligation of Funds

(a) Provision of funds. Funding shall

be provided on a cost-reimbursable

basis not to exceed the amount of the

grant, except as otherwise provided in

Sections 9.2 and 9.3 of this NOFA.

(b) Availability of funds. All payments

will be made on a cost-reimbursable

basis, except that a one (1) percent final

payment shall be made upon

completion of all tasks and delivery of

an acceptable final report.

HUD will release funds for the

inspection of units and for conducting

the lead hazard control phase (interim

controls, hazard abatement, or complete

abatement) of the program after the

grantee has submitted and secured HUD

approval of HUD Form 7015.15 (Request

for Release of Funds) which certifies

that the grantee has fulfilled the

environmental review requirements of

the grant.

Section 9.2 Increases of Awards

After executing the grant agreement

and initial obligation of funds, HUD will

not increase the grant sum or the total

amount to be obligated based upon the

original scope of work. Amounts

awarded may only be increased as

provided in Section 9.3, Deobligation, of

this NOFA.

Section 9.3 Deobligation

(a) Reasons for deobligation. HUD

may deobligate amounts for the grant if

proposed activities are not initiated or

completed within the required time

after the award effective date. The grant

agreement will set forth in detail other

circumstances under which funds may

be deobligated and other sanctions

imposed.

(b) Treatment of deobligated funds.

HUD may undertake any combination of

the following actions:

(1) Readvertise the availability of

funds that have been deobligated under

this section in a new NOFA;

(2) Reconsider applications that were

submitted in response to the most

recently published NOFA, and select

additional applications for funding with

deobligated funds. These selections will

be made in accordance with the

selection process described in the

applicable NOFA;

(3) Fund supplemental requests from

existing grantees for the performance of

expanded scopes of work that may be of

benefit to the overall program; and

(4) For deobligated funds that total

less than a minimum grant amount ($1

million), issue a solicitation to provide

technical assistance or other program

support services to Lead-Based Paint

Hazard Control grantees from previous

rounds.

Section 9.4 Reports

The grantee shall submit the

following types of reports:

(a) Progress Reports. The grantee shall

submit quarterly progress reports in

accordance with HUD requirements.

These progress reports shall include

expenditure reports and a narrative

describing important events, milestones,

work plan progress, and problems

encountered during the period covered.

(b) Final Report. The grantee shall

submit a final report in accordance with

the procedures of HUD’s Management

Reporting System. The report shall

summarize the applicant’s plans,

execution of the plans, achievements

noted, and lessons learned. The report

need not be lengthy, but should be of a

quality and detail to provide a freestanding description to any outside

reader of all of the applicant’s work and

achievements under the grant.

Section 10. Other Matters

Environmental Review

A Finding of No Significant Impact

with respect to the environment has

been made in accordance with HUD

regulations in 24 CFR part 50, which

implements Section 102(2)(C) of the

National Environmental Policy Act of

1969, 42 U.S.C. 4332. The Finding of No

Significant Impact is available for public

inspection during regular business

hours in the Office of the General

Counsel, Rules Docket Clerk,

Department of Housing and Urban

Development, 451 Seventh Street, S.W.,

Room 10276, Washington, D.C. 20410.

Federalism Executive Order

The General Counsel, as the

Designated Official under section 8(a) of

Executive Order 12612, Federalism, has

determined that the policies and

procedures contained in this NOFA will

not have substantial direct effects on

States or their political subdivisions, or

the relationship between the federal

government and the States, or the

distribution of power and

responsibilities among the various

levels of government. Under this NOFA,

grants will be made for the control of

lead-based paint and lead-dust hazards

in low-income owner-occupied units

and privately owned low-income rental

units. Although the Department

encourages States and local

governments to initiate or expand leadbased paint certification, testing,

abatement, and financing programs, any

action by a State or local government in

these areas is voluntary. Because action

is not mandatory, the NOFA does not

impinge upon the relationships between

the Federal government and State and

local governments, and the notice is not

subject to review under the Order.

Family Executive Order

The General Counsel, as the

Designated Official under Executive

Order 12606, The Family, has

determined that this document will

likely have a beneficial impact on

family formation, maintenance and

general well-being. This NOFA, insofar

as it funds repairs to privately owned

housing, will assist in preserving decent

housing stock for low-income resident

families. Accordingly, since the impact

on the family is beneficial, no further

review is considered necessary.

Section 102 of the HUD Reform Act—

Documentation and Public Access

Requirements—Applicant/Recipient

Disclosures:

Documentation and public access

requirements. HUD will ensure that

documentation and other information

regarding each application submitted

pursuant to this NOFA are sufficient to

indicate the basis upon which

assistance was provided or denied. This

material, including any letters of

support, will be made available for

public inspection for a five-year period

beginning not less than 30 days after the

award of the assistance. Material will be

made available in accordance with the

Freedom of Information Act (5 U.S.C.

552) and HUD’s implementing

regulations at 24 CFR part 15. In

addition, HUD will include the

recipients of assistance pursuant to this

NOFA in its Federal Register notice of

all recipients of HUD assistance

awarded on a competitive basis. (See 24

CFR 12.14(a) and 12.16(b), and the

notice published in the Federal Register

on January 16, 1992 (57 FR 1942), for

further information on these

documentation and public access

requirements.)

Disclosures. HUD will make available

to the public for five years all applicant

disclosure reports (HUD Form 2880)

submitted in connection with this

NOFA. Update reports (also Form 2880)

will be made available along with the

applicant disclosure reports, but in no

case for a period less than three years.

All reports—both applicant disclosures

and updates—will be made available in

accordance with the Freedom of

Information Act (5 U.S.C. 552) and

HUD’s implementing regulations at 24

CFR part 15. (See 24 CFR part 12,

Subpart C, and the notice published in
24422 Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices

the Federal Register on January 16,

1992 (57 FR 1942), for further

information on these disclosure

requirements.)

Prohibition Against Lobbying Activities

Applicants for funding under this

NOFA are subject to the provisions of

Section 319 of the Department of

Interior and Related Agencies

Appropriation Act for Fiscal Year 1991,

31 U.S.C. Section 1352 (the Byrd

Amendment) and to the provisions of

the Lobbying Disclosure Act of 1995,

P.L. 104–65 (December 19, 1995).

The Byrd Amendment, which is

implemented in regulations at 24 CFR

Part 87, prohibits applicants for and

recipients and sub-recipients of Federal

contracts, grants, loans, cooperative

agreements, and loan insurance or

guarantees from using appropriated

funds to attempt to influence Federal

Executive or Legislative officers or

employees in connection with obtaining

such assistance, or with its extension,

continuation, renewal, amendment or

modification. In addition, applicants for

and recipients and sub-recipients or

Federal contracts, grants, loans,

cooperative agreements, and loan

insurance or guarantees above certain

monetary amounts must file either a

certification stating that they have not

made and will not make any prohibited

payments or a statement disclosing any

prohibited payments or agreements to

make such payments.

The Lobbying Disclosure Act of 1995,

Pub. L. 104–65 (approved December 19,

1995), which repealed Section 112 of

the HUD Reform Act and resulted in the

elimination of the regulations at 24 CFR

Part 86, requires all persons and entities

who lobby covered Executive or

Legislative Branch officials to register

with the Secretary of the Senate and the

Clerk of the House of Representatives

and file reports concerning their

lobbying activities.

Procurement Standards

All grantees are governed by and

should consult 24 CFR parts 85.36 and

85.37, which implement OMB Circular

A–102 and detail the procedures for

subcontracts and sub-grants by States

and local governments. Under § 85.36,

which pertains to subcontracts, small

purchase procedures can be used for

contracts up to $100,000, and require

price or rate quotations from several

sources (three is acceptable); above that

threshold, more formal procedures are

required (note that § 85.36 treats States

differently than local governments).

Section 85.37 procedures apply to subgrants, and are not as restrictive. If

States have more restrictive standards

for contracts and grants, the State

standards can be applied. All grantees

should consult and become familiar

with §§ 85.36 and 85.37 before issuing

subcontracts or sub-grants.

Davis-Bacon Act

The Davis-Bacon Act does not apply

to this program. However, if grant funds

are used in conjunction with other

Federal programs in which Davis-Bacon

prevailing wage rates apply, then DavisBacon provisions would apply to the

extent required under the other Federal

programs.

Prohibition Against Advance

Information on Funding Decisions—

Section 103 of the Reform Act

HUD’s regulation implementing

Section 103 of the Department of

Housing and Urban Development

Reform Act of 1989 (42 U.S.C. 3537a)

(Reform Act), codified as 24 CFR part 4,

applies to the funding competition

announced today. The requirements of

the rule continue to apply until the

announcement of the selection of

successful applicants.

HUD employees involved in the

review of applications and in making of

funding decisions are restrained by part

4 from providing advance information

to any person (other than an authorized

employee of HUD) concerning funding

decisions, or from otherwise giving any

applicant an unfair competitive

advantage. Persons who apply for

assistance in this competition should

confine their inquiries to the subject

areas permitted under 24 CFR part 4.

Applicants or employees who have

ethics-related questions should contact

the HUD Office of Ethics (202) 708–3815

(this is not a toll-free number). Any

HUD employee who has specific

program questions, such as whether

particular subject matter can be

discussed with persons outside the

Department, should contact the

appropriate Field Office Counsel or

Headquarters Counsel for the program to

which the question pertains.

Authority: 42 U.S.C. 4821–4846; 42 U.S.C.

3535(d).

Dated: April 15, 1996.

Ronald J. Morony

Deputy Director, Office of Lead-Based Paint

Abatement and Poisoning Prevention.

Appendix A—Relevant Federal

Regulations and Guidelines

To Secure Any Of The Documents

Listed, Call The Listed Telephone

Number (generally not toll-free).

Regulations

1. Worker Protection: OSHA

publication—Telephone: 202–219–4667

OSHA Regulations (available for a

charge)—Government Printing Office—

Telephone: 202–512–1800

—General Industry Lead Standard, 29

CFR 1910.1025; (Document Number

869022001124)

—Lead Exposure in Construction, 29

CFR 1926.62, and appendices A, B, C,

and D; published 58 FR 26590 (May

4, 1993). (Document Number

869022001141)

2. Waste Disposal: 40 CFR parts 260–

268 (EPA regulations)—Telephone 1–

800–424–9346.

3. Lead; Requirements for Lead-Based

Paint Activities; Proposed Rule: 40 CFR

Part 745 (EPA) (State Certification and

Accreditation Program for those engaged

in lead-based paint activities)—

Telephone: 202–554–1404 (Toxic

Substances Control Act Hotline)

Guidelines

1. Lead-Based Paint: Guidelines for

the Evaluation and Control of LeadBased Paint Hazards in Housing; HUD,

June 1995 (available for a charge)—

Telephone: 800–245–2691:

Post-Lead Hazard Control Clearance,

No More Than:

100 Micrograms/Sq.Ft. (Bare and

Carpeted Floors)

500 Micrograms/Sq.Ft. (Window Sills)

800 Micrograms/Sq.Ft. (Window

Troughs (Wells), exterior concrete and

other rough surfaces)

2. HUD Handbook 1378, Tenant

Assistance, Relocation and Real

Property Acquisition; Telephone: 202–

708–0336.

3. Preventing Lead Poisoning In

Young Children; Centers for Disease

Control, October 1991: Telephone: 770–

488–7330.

Reports

1. Putting the Pieces Together:

Controlling Lead Hazards in the

Nation’s Housing, HUD, (Summary and

Full Report), July 1995, (available for a

charge)—Telephone 800–245–2691:

2. Comprehensive and Workable Plan

for the Abatement of Lead-Based Paint

in Privately Owned Housing: Report to

Congress (HUD, December 7, 1990)

(available for a charge)—Telephone

800–245–2691.
Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices 24423

CDC CLASSES OF BLOOD LEAD LEVELS IN CHILDREN

Class Concentration (μq/dL) Comment

I ............... <9 Child is not considered to be lead-poisoned.

IIA ........... 10–14 Large number or proportion of children with blood lead levels in this range should trigger community-wide childhood

lead poisoning prevention activities. Children in this range may need to be rescreened more frequently.

IIB ........... 15–19 Child should receive nutritional and educational interventions and more frequent screening. If the blood lead level

persists, environmental investigation and intervention should be done.

III ............. 20–44 Child should receive environmental evaluation and remediation and a medical evaluation; may need pharmacologic

treatment of lead poisoning.

IV ............ 45–69 Child will need both medical and environmental interventions, including chelation therapy.

V ............. >70 Child is a medical emergency. Medical and environmental management must begin immediately.

Appendix B—‘‘Administrative Costs’’

I. Purpose

The intent of this HUD grant program

is to allow the Grantee to be reimbursed

for the reasonable direct and indirect

costs, subject to a top limit, for overall

management of the grant. In most

circumstances the Grantee, whether a

state or a local government, is expected

to serve principally as a conduit to pass

funding to sub-grantees, which are to be

responsible for performance of the leadhazard reduction work. Congress set a

top limit of ten (10) percent of the total

grant sum for the Grantee to perform the

function of overall management of the

grant program, including passing on

funding to sub-grantees. The cost of that

function, for the purpose of this grant,

is defined as the ‘‘administrative cost’’

of the grant, and is limited to ten (10)

percent of the total grant amount. The

balance of ninety (90) percent or more

of the total grant sum is reserved for the

sub-grantee/direct-performers of the

lead-hazard reduction work.

II. Administrative Costs: What They Are

Not

For the purposes of this HUD grant

program for States and local

governments to provide support for the

evaluation and reduction of leadhazards in low and moderate-income,

private target housing: the term

‘‘administrative costs’’ should not be

confused with the terms ‘‘general and

administrative cost’’, ‘‘indirect costs’’,

‘‘overhead’’, and ‘‘burden rate’’. These

are accounting terms, usually

represented by a government-accepted

standard percentage rate. The

percentage rate allocates a fair share of

an organization’s costs that cannot be

attributed to a particular project or

department (such as the chief

executive’s salary or the costs of the

organization’s headquarters building) to

all projects and operating departments

(such as the Fire Department; the Police

Department; the Community

Development Department, the Health

Department or this program). Such

allocated costs are added to those

projects’ or departments’ direct costs to

determine their total costs to the

organization.

III. Administrative Costs: What They

Are

For the purposes of this HUD grant

program, ‘‘Administrative Costs’’ are the

Grantee’s allowable direct costs for the

overall management of the grant

program plus the allocable indirect

costs. The allowable limit of such costs

that can be reimbursed under this

program is ten (10) percent of the total

grant sum. Should the Grantee’s actual

costs for overall management of the

grant program exceed ten (10) percent of

the total grant sum, those excess costs

shall be paid for by the Grantee.

However, excess costs paid for by the

Grantee may be shown as part of the

requirement for cost-sharing funds to

support the grant.

IV. Administrative Costs: Definition

A. General

Administrative costs, are the

allowable, reasonable, and allocable

direct and indirect costs related to the

overall management of the HUD grant

for lead-hazard reduction activities.

Those costs shall be segregated in a

separate cost center within the Grantee’s

accounting system, and they are eligible

costs for reimbursement as part of the

grant, subject to the ten (10) percent

limit. Such administrative costs do not

include any of the staff and overhead

costs directly arising from specific subgrantee program activities eligible under

FY 1992 NOFA Section II.e.(5) (a) and

(b) (ii) through (vi), because those costs

are eligible for reimbursement under a

separate cost center as a direct part of

project activities.

The Grantee may elect to serve solely

as a conduit to sub-grantees, who will

in turn perform the direct program

activities eligible under NOFA Section

II.E.(5) (a) and (b) (ii) through (vi), or the

grantee may elect to perform all or a part

of the direct program activities in other

parts of its own organization, which

shall have their own segregated, cost

centers for those direct program

activities. In either case, not more than

10 percent of the total HUD grant sum

may be devoted to administrative costs,

and not less than 90% of the total grant

sum shall be devoted to direct program

activities. Grantee shall take care not to

mix or attribute administrative costs to

the direct project cost centers.

B. Specific

Reasonable costs for the Grantee’s

overall grant management, coordination,

monitoring, and evaluation are eligible

administrative costs. Subject to the (10)

percent limit, such costs include, but

are not limited to, necessary

expenditures for the following, goods,

activities and services:

(1) Salaries, wages, and related costs

of the Grantee’s staff, the staff of

affiliated public agencies, or other staff

engaged in Grantee’s overall grant

management activities. In charging costs

to this category the recipient may either

include the entire salary, wages, and

related costs allocable to the program for

each person whose primary

responsibilities ( more than 65% of their

time) with regard to the grant program

involve direct overall grant management

assignments, or the pro rata share of the

salary, wages, and related costs of each

person whose job includes any overall

grant management assignments. The

Grantee may use only one of these two

methods during this program. Overall

grant management includes the

following types of activities:

(a) Preparing grantee program budgets

and schedules, and amendments

thereto;

(b) Developing systems for the

selection and award of funding to subgrantees and other sub-recipients;

(c) Developing suitable agreements for

use with sub-grantees and other subrecipients to carry out grant activities;

(d) Developing systems for assuring

compliance with program requirements;
24424 Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices

(e) Monitoring sub-grantee and subrecipient activities for progress and

compliance with program requirements;

(f) Preparing presentations, reports,

and other documents related to the

program for submission to HUD;

(g) Evaluating program results against

stated objectives; and

(h) Providing local officials and

citizens with information about the

overall grant program. (However, a more

general education program, helping the

public understand the nature of lead

hazards, lead hazard reduction, bloodlead screening, and the health

consequences of lead poisoning is a

direct project support activity, under

NOFA Section II.E. (5) (b), and should

not be attributed to administrative costs,

but to its own cost center.)

(i) Coordinating the resolution of

overall grant audit and monitoring

findings;

(j) Managing or supervising persons

whose responsibilities with regard to

the program include such assignments

as those described in paragraphs (a)

through (i).

(2) Travel costs incurred for official

business in carrying out the overall

grant management;

(3) Administrative services performed

under third party contracts or

agreements, for services directly

allocable to overall grant management

such as overall-grant legal services,

overall-grant accounting services, and

overall-grant audit services;

(4) Other costs for goods and services

required for and directly related to the

overall management of the grant

program, including such goods and

services as telephone, postage, rental of

equipment, renter’s insurance for the

program management space, utilities,

office supplies, and rental and

maintenance (but not purchase) of office

space for the program.

(5) The fair and allocable share of

Grantee’s general costs that are not

directly attributable to specific projects

or operating departments such as: The

Mayor’s and City Council’s salaries and

related costs; the costs of the City’s

General Council’s office, not charged off

to particular projects or operating

departments; and the costs of the City’s

Accounting Department not charged

back to specific projects or operating

departments. (If Grantee has an

established burden rate it should be

used; if not Grantee shall be assigned a

negotiated provisional burden rate,

subject to final audit.) To repeat, all of

the above activities goods and services:

1.a-j., 2., 3., 4., and 5. are subject to the

ten (10) percent limit.

Appendix C

Section 217 of Public Law 104–134

(the Omnibus Consolidated Rescissions

and Appropriations Act of 1996, 110

Stat. 1321, approved April 26, 1996)

amended Section 1011(a) of the

Residential Lead-Based Paint Hazard

Reduction Act of 1992 (Title X) to read

as follows:

Sec. 1011 Grants for Lead-Based

Paint Hazard Reduction in Target

Housing.

(a) General Authority. The Secretary

is authorized to provide grants to

eligible applicants to evaluate and

reduce lead-based paint hazards in

housing that is not federally assisted

housing, federally owned housing, or

public housing, in accordance with the

provisions of this section. Grants shall

only be made under this section to

provide assistance for housing which

meets the following criteria—

(1) for grants made to assist rental

housing, at least 50 percent of the units

must be occupied by or made available

to families with incomes at or below 50

percent of the area median income level

and the remaining units shall be

occupied or made available to families

with incomes at or below 80 percent of

the area median income level, and in all

cases the landlord shall give priority in

renting units assisted under this section,

for not less than 3 years following the

completion of lead abatement activities,

to families with a child under the age of

six years, except that 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 units where

a child under the age of six years spends

a significant amount of time visiting;

and

(3) notwithstanding paragraphs (1)

and (2), Round II grantees who receive

assistance under this section may use

such assistance for priority housing.

* * * * *

BILLING CODE 4210–32P
Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices 24425

BILLING CODE 4210–32–C
24426 Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices

Appendix E—Elements of a State

Certification Program

Congress has assigned Federal

responsibility to the Environmental

Protection Agency (EPA) for the

definition, implementation, and

oversight of State Certification Programs

for workers, contractors, and inspectors

engaged in the detection and reduction

of lead-based paint hazards. The

Department of Housing and Urban

Development (HUD) has a strong

interest in the strength and rigor of the

EPA program, because HUD must rely

on the effectiveness of the EPA program

to assure the safe detection and

reduction of those lead-based paint

hazards.

In October 1992, Congress passed the

Residential Lead-Based Paint Hazard

Reduction Act (Title X of the Housing

and Community Development Act of

1992). This legislation required EPA to

promulgate regulations governing the

accreditation of training programs, the

certification of contractors and the

training of workers engaged in leadbased paint activities. In addition, EPA

was directed to issue work practice

standards. Under the statute, lead-based

paint activities are defined as:

(a) In the case of target housing: risk

assessment, inspection, and abatement;

and

(b) In the case of any public building

constructed before 1978, commercial

building, bridge, or other structure or

superstructure: identification of leadbased paint and materials containing

lead-based paint, deleading, removal of

lead from bridges, and demolition.

EPA is preparing to promulgate these

regulations under the authority of Title

IV of the Toxic Substances Control Act

(TSCA), Section 402 and Section 404.

Section 402(a) of TSCA directs EPA to

promulgate regulations governing leadbased paint activities. Section 404(a) of

TSCA requires any State that seeks to

administer and enforce the requirements

established by the Agency under

Section 402 of TSCA must submit to the

Administrator of EPA, in such form as

the Administrator shall require, a

request for authorization of such a

program.

States will have two years after final

promulgation of TSCA Section 402/404

to establish and seek authorization of

the State Program. State programs that

reflect the minimum training,

certification, accreditation, and

standards that currently exist in EPA’s

proposed regulations are likely to be

authorized by EPA. States that commit

to develop appropriate accreditation

and certification programs and to seek

authorization by EPA are encouraged to

enact broad enabling legislation.

While the regulations establishing an

EPA State Authorized Program are not

final, EPA can define a minimum set of

basic elements that must be contained

in enabling legislation. These minimum

elements are outlined in #1 below. In

addition, EPA believes that additional

elements should be included in

legislation and these are identified in #2

below.

Certification, worker training, and

accreditation of training providers are

three of the basic elements that must be

contained in a State’s enabling

legislation. It is imperative that these

three elements be included in a State’s

enacted legislation prior to applying for

a HUD Lead-Based Paint Hazard Control

Grant.

1. The enabling statute, at a

minimum, shall contain the following

elements:

a. Agency. Establish an agency, or

agencies, or designate an existing State

agency, or agencies, to implement the

State program.

b. Certification. Authorize and direct

the agency, or agencies, to promulgate

regulations requiring the certification of

contractors that offer to perform leadhazard detection or lead-hazard

reduction services.

c. Worker Training. Authorize and

direct the agency, or agencies to

promulgate regulations setting training

requirements for workers, inspectors,

and other persons directly and

substantially involved in the

performance of lead-based paint

activities. Such regulations shall

establish minimum acceptable levels of

training, and periodic refresher training

for each class of workers, and require

that training shall be provided by

accredited training providers.

d. Accreditation of Training

Providers. Authorize and direct the

agency, or agencies, to promulgate

regulations to establish the accreditation

of training programs. The legislation

shall require that the regulation cover

the following: (i) minimum

requirements for the accreditation of

training providers; (ii) minimum

training curriculum requirements; (iii)

minimum training hour requirements;

(iv) minimum hands-on training

requirements; (v) minimum trainee

competency and proficiency

requirements; and (vi) minimum

requirements for training program

quality control.

e. Standards. Authorize and direct the

agency, or agencies, to promulgate

regulations establishing standards for

performing lead-based paint activities,

taking into account reliability,

effectiveness, and safety.

f. Compliance. Authorize and direct

the agency, or agencies, to promulgate

regulations that will require any

activity, involving lead-hazard detection

or lead-hazard reduction procedures, to

comply with agency regulations and to

use certified and accredited personnel.

g. Enforcement. Authorize and direct

the agency, or agencies, to promulgate

regulations that provide for the

enforcement of the State Certification

Program, and that establish suitable

sanctions, for those who fail to comply

with program requirements. The

regulations shall include provisions for

the decertification and deaccreditation

of programs and personnel.

h. Federal Funding Eligibility.

Authorize and direct the agency, or

agencies, to revise its regulations and

procedures from time to time to assure

that State lead-hazard activities

continue to be eligible for Federal

funding, by meeting the State

Certification Program standards and

other requirements that may from time

to time be promulgated by EPA, HUD,

and such other Federal agencies as may

have jurisdiction over lead hazards;

i. Reciprocity. Authorize the agency,

or agencies, to establish liaison with the

other States having a State Certification

Program to assure the maximum

consistency of program requirements, in

order to facilitate reciprocity of

certification and accreditation among

the several States;

2. In addition to the mandatory

elements present in #1 above, HUD and

EPA strongly recommend that the

enabling legislation include:

a. Staffing. Authorize and direct the

agency, or agencies to dedicate suitable

staff and to acquire suitable space,

equipment, supplies and other items

necessary for the operations of the

program.

b. Fees. Authorize the agency, or

agencies, to collect such fees for

certification, accreditation, and other

reviews as State policy may determine

to be necessary to help support the

activities of the agency or agencies.

c. Laboratory Oversight. Authorize

and direct the agency, or agencies, to

cooperate with EPA in any joint

oversight procedures EPA may propose

for laboratories accredited under the

EPA laboratory accreditation program

for laboratories that offer to provide lead

analysis services.

d. Data Collection. Authorize the

agency, or agencies, to establish a unit

for the collection and analysis of data on

lead-hazard detection and lead-hazard

reduction activities in the State, and on
Federal Register / Vol. 61, No. 94 / Tuesday, May 14, 1996 / Notices 24427

the certification, accreditation, and

enforcement activities of the agency.

e. Public Education. Authorize the

agency, or agencies, in cooperation with

other relevant agencies of the State, to

conduct programs of public education

on the nature and consequences of lead

hazards and on the need for lead-hazard

reduction activities to be conducted

under careful supervision and by

certified and accredited personnel in

order to assure the public safety.

[FR Doc. 96–11949 Filed 5–13–96; 8:45 am]

BILLING CODE 4210–32–P