95-194�,F�� Qs-If►�
��# oI
RESOLUTION
OF SAINT PAUL, NIINNF.SOTA
�, :. :
Refexred To
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WHEREAS, the US Department of Housing and Urban Development sought grantees
to continue to develop successful Lead-Based Paint Hazard Control Programs, and
implement prevention and lead reduction techniques in high risk homes; and
WHEREAS, the City of Saint Paul continues to identify lead cases in children
throughout the City whose homes could benefit from further testing and lead hazard
reduction; and
WHEREAS, the City of Saint Paul seeks to establish and implement a Comprehensive
Childhood Lead Poisoning Prevention Program, within Saint Paul Public Health; and
WHEREAS, the US Department of Housing and Urban Development has offered the
City of Saint Paul funding to establish this Comprehensive Childhood Lead Poisoning
Prevention Program and continue to test, evaluate and reduce the iead hazards in
Saint Paul homes; now therefore be it
RESOLVED, the City Council approves the Grant for Lead-Based Paint Abatement and
Hazard Control with the US Department of Housing and Urban Development and direct
Public Fleaith to proceed with the implementation of the Comprehensive Childhood
Lead Poisoning Prevention Program.
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Gtimm
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Hams
egazd
Retlman
une
Adopted by Council:
Y_� II N_�! II Absent I) Requested by Depactment of:
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by CouncIl Secretary
By: �
Approved by
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BY� O (.�z'�
9 �� `�
DEPARTMEN80FFICE(COUNCIL OATE lNIT1ATE0 N.� 190 �.4
Public xea�tn z»�9s GREEN SHEET
CONTACT PERSON & PHONE INITI ATE INITIAL/DATE
� DEPARTMENT DIRECTOR � CITY COUNCIL
ASSIGN CINATTORNEY pTYCLEftK
Jim Yannarell 292-6525 NUMBERfOR
MUST BE ON COUNCIL AGENDA BY (DAT� pOUTING � BUIX`iET DIRECTOR � FIN. 8 MGT. SERVICES DIR.
OFOEF � MAYOfl (OR ASSISTANn ❑
TOTAL # OP SIGNATURE PAGES 1 (CIIP ALL LOCATIONS FOR SIGNATURE�
ACTION RE�UES7ED:
City Council eo approve a Resolution to implement a Lead-Based Paint AbaCement and Hazard
Control Grant for the US Department of Housing and Urban Development (HiTD).
REGOMMENDATIONS: Approve (A1 ar Rei� (R� PEHSONAL SERVIGE CONTRACTS MUST ANSWEH TiiE FOLLOWING QUESTIONS:
_ PLANNINCa CAMMISSION _ CIVIL SERVICE COMMISSION �� Has this pe�sonftirm ever worked under a contract for this tlepartment?
_ CIB COMMITiEE _ YES PlO
_ S7AFf 2. Has Fhis parsonHrtm ever been a ciFy employee?
— YES NO
_ DISTRICi CoUR7 _ 3. �oes this persontlirm possess a skdl not normally possessetl hy any Current city employee?
SUPPOflTS WHICH COUNCIL O&IEGTIVE7 YES NO
Explain all yes answers on separate sheet and attaeh to green sheet
,-.-,,>, -.., ::�>.
INITIATING PFOBLEM. ISSUE, OPPORTUNI7V (Who, Wha�. When, Where, Why)
Saint Paul Public Health has been awarded a grant from the US Department of Housing and Urban
llevelopment to increase the efforts of abating lead-based paint hazards. Over $1,770,000
will be available to Saint Paul over three years to provide personnel, equipment, blood-lead
level testing, structural lead testing, and lead hazard reduction services.
ADVANTAGESIFAPPROVED:
' If approved, Saint Paul Public Health will develop a Comprehensive Childhood Lead Poisoning
Prevention Program.
' This program will focus on prevention and lead hazaxd reduction activities and attempt to
develop more e£fective and economical ways of addressing the problems of lead poisoning in
homes.
' Children with elevated blood-lead levels wi11 be closely monitored and the homes which put
them at risk wiil be tested and lead hazards reduced.
DISADVANTAGES IFAPPROVED:
NONE 'S^ _r sq s -c� � 3
�H�:�.._.;,.�_„ „��:t'uev'"'?ESVe
�Et� � ":, ?gg5 FEB 17 1995
�d���� ���r9��
DISADVANTAGES IF NOT APPROVED: ��'
' Not approving this funding source would seriously effect Saint Paul's effort to develop a
Comprehensive Childhood Lead Poisoning Prevention Program and the necessary testing of high
risk children.
' Evaluation and lead hazard reduction work in hazardous homes would not be drastically reduc d
' Saint Paul children will continue to be exposed to the hazards of lead-based paint and be
at risk for lead poisoning.
TOTAL AMOUNT �F TRANSAC710N $�� � �O a OOO .00 COSTlREVENUE 9UDGE7ED (CIRCLE ONE) YES NO
FUNDING SOURCE GTdni ACTIVITY NUMBEp 33240
FINANCIAL INFOPMATION (EXPLAIN)
Assi;,ianc� Award/
Amendment
l. Assistance lnsttument
� Co Ag reement
3. Inswment Num6er
Mi7LAG0048-95
Grant
4. AmenBment Number
U.S. Department of Housing
and Urban Development
Office ot Administration
2. T e of Actian
� Award
5. Effecdve Date ot ffiis Action
8. HUD Administedn9 �ffice
OFFICE OF LEAD-BA:
POISOI3ING PRE`JENT�.
8a. Name ot Adminisirator
XAREN WILLIAMS
9. HUD Govemment Technical
Elvira Tiensiw
7. Name and Address of Recipient
City of St. Paul, NA7
St. Paul Public Eealth
555 Cedar St.
St. Paul, MN 55101-2260
70. Reciqient Pcoject Manager
Jim Yannarelly (612) 292-6525
7 i. Asslstance Artangement
� Cost Reimbursement
� Cost Sharing
� Fixed Price
74. Assistance Amount
Previous HUD Amount
HUD Amount this action
Total HUD Amount
Recipient Amount
Total Instrument Amount
16. Description
12. Payment Method
a Treasury Check Reimburseme�i
� Advance Check
� Automated Clearinghouse
HUD Pavment Office
, DC
gsr��r
� Amendment
6. Control N�mber
PASNT ABATEMENT AND
Sb. Telephone Number
Z202)755-1822
sef�iative
-755-1822
D ACCOLINTING
�74d
0
15. HUD AccounLng and Appropriation Data
15a. Appropriation Number 756 Reservation Number
86XQ16? (LAG)1 G95-030
$ 1 777 D00.00 Amount Previousiy Obiigated $ 0.04
$ ��3 000.00 Obligation bythis action $ 1 777 000. 00
$ 2, 300, 000.00 Tota! Obligation $ 1, 777, 000.00
Grant for Lea¢-Based Paint Abatement and Hazard Control
This Grant consists of the following, some of which is incorporated by reference and
made a part hereof:
1.
2.
3.
4.
S
6.
7.
S.
9.
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11
ia
CoveY Page, HUD 1044
Schedule of Work
Scope of work
Condition Precedent
Grantee Cert_`ic2Cion Program Requirements Clause
Uniform Administrative Requirements
Special Conditior.s Clause
Grantee's Technical and Financial Proposal
Mutually agreed and negotiated proposal changes
Pbstract of Grant Activities
OD7B Circular A102 andJor CFR 24 part 85
ONSB Circular A110 andfor CFR 24 part 84
NUMBaR OF LN2TS A3ATED: 300
UNCONDITIONAL CR.AN'T
1.-'1Y. iDENTSrICAT20N NUi'dBBR: 41-6005521
Reclpient rs required to sign and return three (3! copies I� I Recipient is not required to si � this documeni.
of this document to the HU� Administerin9 Office. � � 9
' 9. Recipient By Namel:
ignature & Title:
are obsole[e
20 41UD (By Namey:
KP12EN L. �rTILLZAMS, CR�NT OFFICBR
Signature & TiNe:
Date:
form HVO-1044 58�9
ref Handbook 2210.17
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SCHEDULE OF ARTICLSS
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7.
8.
9.
io.
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12.
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3�.
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41.
DEFINITIONS
SCOPE OF WORK (COST-RBIM�"JRSEMENT)
PERIOD OF PERFORi�IANCE
** GRANTEE CERTIFICATION FROGRAM REQUIREMENTS (SPECIAL CLAt3SE)
ESTIMATED COST AND PAYMENT
ADVANCE PAYMENT BY TRBASURY CAECK OR ELECTRONIC
FUNDS TRANSFER
AMOUNT OF COST SHP.RE (ESTIMATED COST A�v7 PAYMENT
ALLOWABLE COST
BUDGET
DATE OF INCURRENCE OF COST
INDIRECT COSTS
CONDUCT OF WORK
INSPECTION AND ACCEPTANCE
REVIEW OF OFFICIAL PRODUCTS OF WORK
COLLECTION OF DA1A
KEY PERSONNEL
LIMITATION ON CONSULTANT PP_YMENTS
PUBLICATIONS AND NEWS REL,EASES
REPRODUCTION OF REPORTS
GOVERNMENT PROPERTY
PATENT RIGHTS (SMALL BUSiNESS FIRMS AND
NONPROFST ORGANSZATIONS)
PROJECT MANAGEMENT 5YSTEM
LIMITATION ON PAYi`4ENTS TO INFLUEDICE CERIAIN
FEDSRAL TRANSACTIONS (OVER $100,000)
AMENDMENTS
DISPUTES
DRUG-FREE WORKPLACE (RECIPIENTS OTHER TH.zvN
INDIVIDUALS)
ORDER OF PRECEDENCE
OTHER ADMINISTRATIVE PROVISIONS
UNSFORM AD�iINISTRATSVE REQuIREMENTS FQR GRAL�ITS
AND COO?'ERATIVE AGRE&M�,NTS 10 STATB FiND LOCAL
SUBPART C - POST-AWARD P.EQu2REMENTS
85.20 STANDARDS FOR FINANCIFL Nit�.Nt-�GEMEDIT
SYSTEMS.
85.21 PAYMENT.
85.22 ALLOWAHLE COSTS.
85.23 PERIQD OF AVAILARILITY OF FUNDS.
85.25 PROGRAM INCOME.
85.26 NON-FEDERAL AUDIT.
CHANGES, PROPERTY, AND SUBAWARDS
85.30 CHANGES.
85.31 REAI� PROPERTY.
&5.32 EQUIPMENT.
85.33 SUPPLIES.
- MATCHING)
GO VERNi�SEN^t S
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42. 85.34 COPYRIGHTS AND PATENTS.
S3. 85.35 SUBAWARDS TO DEBARRED AN'D STTSPENDED
PARTIES.
44. 85.36 PROC"UREMENT.
�5. 85.37 Si73GRAI3TS.
46. RBPORTS, RECORDS RETENTSOV, AN� ENFORCEMENT
a7. 85.42 RETEDITION AND ACCESS REQUIREMBNTS FOR
RECORDS. �
48. 85.43 ENFORCEMEi�T.
a9, g5,ga TERMINATION FOR COWENIENCE.
50. SUBPART D- AFTHR-TIIE-GRANT REQUIREMENTS
51. 85.50 CLOSEOUT.
52. 85.51 LA1ER DISALLOWANCES AND ADJUSTMENTS.
53. 85.52 COLLECTION OF AMOLNTS DUE.
54. CERTIFICATION PROHIBITING EXCESSSVE FORCE AGAINST I30N-ViOLENT
CIVIL RIGHTS DEMONSTRATORS
55. ** SPECIAL COI3DITIONS CLAUSE
** NOTE:ITDTIQUE CLAUSES-CONTAIN SPECIAL REQUIREMENTS-PLEASE READ
2
.
a
9.�—�9�
1. DEFINITIONS
a. The term "grant" as used herein refers to either a grar_t or
a cooperative agreement instrument.
b. The term '�grantee" as us2d herein also re£ers to recipients
of cooperative agreements.
c. The term "Grant Officer" means the official authorized by HUD
to execute andjor administer this grant. This term also refers to
a Cooperative Agreement Ofiicer when the instrument is a
cooperative agreement.
d. The term "Government Technical Representative (GTR)" means
the HUD individual who is responsible for the technical
administration of the grant, the evaluation of performance under
the grant, the acceptance of technical reports or projects, and
other such specific responsibilities as may be stipulated in the
g .
e. The term "Head o£ the Awarding Activity (HAA)" means a HUD
official, at the Assistant Secretary level or equivalent, with
authority for policy, award, and administration o£ discretionary
grants within one or more HI3D organizational elements.
f. The additional definitions and standards contained in the
NOFP entitled "Lead-Based Paint Abatement in Low-Income Private
Housing" -Docket No. N-92-3447; FR 3263 dated 3uly 6, 1992, are
incorporated by reference.
g. The term Interirr� Guidelines means the definitions, standzrds
and information contained in the guide entitled "Lead-Based Paint:
Interim Guidelines for Hazard Identification and Abatement in
Public and Indian Housing;" HIID, September, 1990. The guidelines
are incorpo by reference.
2. SCOPE OF WORK (COST-REIMBURSEMENT)
The grantee shall furnish the necessary personnel, materials,
services, equipment, facilities (except as otherwise specified
herein) and otherwise do all trings necessary for or incidental to
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,
9�-�9�
staff and contractor utilization plan, the quarterly budgets for
the work consistent with the schedule and utilization plans. The
Grantee in turn shall review and pass on to I-:L3'il those plans it has
approved. If the Grantee's awa.rd strategy is based on multiple
awards to different subgrantees, th2 Grantee may make multiple
su}amissions of such subgrantee plans, as each reaches the end of
its planning s�age. In any case the Grantee's overall plan sha11
show how such serial work plans wi11 be completed within the
overall time of completion for the Grantee's program.
3. PERIOD OF PERFORMANCE
The grantee shall provide all services hereunder for a period
of 36 months from the effective date of the grant. The
abatement/hazard control portion of the grant shall be accomplished
in 24 months. Up to 12 additional months shall be allowed for
follow-up testing and report preparation.
4. ** GRANTEE CERTIFICATION PROGRAM REOUIREMENT
Grantee agrees that funds under this grant sha11 be available
only for projects conducted by contractors certified and workers
trained through a Federally or State-Accredited program.
Unless HUD has granted approval of the State Certification
Program at the time of the grant award, the Grantee sha11
demonstrate that it will carry out its abatement program under an
operational State-Accredited certification/training program and the
following provisions shall apply: Grantee shall furnish two (2)
copies of its State Enabling Statute and its State Regulations.
The copies shall be accompanied by a narrative shawing how the
statute and regulations comply with the intent of the NOFA.
xxj HUD has approved State Certification Program
�/ HL7D has not approved State Certification Program
6. ESTI!n.AmED COS 1 FND PAYMENT - LINF' OF CREDIT CONT'ROL SYS i��I
(LOCCS)
(a) The grantee shall be reimbursed for costs incurred in the
performance of work under this grant in an amount not-to-exceed
$1,777,000. In the event the grantee incurs cost in excess of this
amount, the excess shall be borne entirely by the grantee.
(b) Incurred costs shall be reimbursed through HUD's Line of
Credit Control System (LOCCS) using the electronic Voice Respor_se
System (VRS). LOCCS uses a computer software program which ensures
that requested payments do not exceed the amount authorized to tne
grantee. Each day LOCCS generates a payment tape for the
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Department of the Treasury which disburses the payments via th2
Automated Clearing House (ACH) Payment System and a Voucher znd
Schedule of Payments. All payments are certified by HUD and
forwarded to Treasury for processing.
(c) Before receiving funds from the VRS, the grantee must
designate a financial institution in order ior NUD to make direct
deposit payments through the P_CE system. ?r_ the event the grantee,
during the performance of this grant, elects to designate a
different financial institution for the receipt of any payments,
notification of such change and the related information must be
received by the Grant Officer 30 days prior to the date such change
is to become effective.
(d1 In order to have access to LOCCS and the VRS, the grantee
shall obtain a Security ID and Password from HUD's LOCCS Security
afficer, using the form HUD-27054, LOCCS Voice Response Access
Authorization Form.
(e? The grantee shall submit the original vouchers for work
performed to the GTR identified in B1ock 9 of the form HLTD-1044.
A copy shall be sent to the Grant Administrator identified in Biock
8. The voucher shall be supported by a detailed breakdown of the
cost(s) claimed. In order to assure proper payment, it is
important that the voucher is in accordance with the payment amount
requested through the VRS. Payment is activated when th�
authorized grantee telephones the VRS and provides the Security ID
number.
(f) Detailed instructions for using the LOCCS-VRS are provided in
your transmittal letter.
6. ADVI��TCE PAYMENT BY TREASURY CHECK OR ELECTRONIC FUNDS TRANSFER
(a) Advance payments by Treasury check or electronic funds
transfer are hereby authorized under this grant. A Grantee that is
subject to existing State progrGm accreditation requirements may
request an advance payment in writing. Hi7D may provide to the
grantee a one time cash advance that shall not exceed 10 percent of
the grant amount up to a maximum of $177,700 and sha11 be iimited
to the minimum amount needed for the actual, immediate cash
requirements of the grantee in carrying out the tasks of this
agreement and as agreed to by the Grant O�ficer. HUD will not make
additional payments from the amount awarded to a grantee until the
grantee's contractors and workers have met the certification and
training requirements of a State-acc'redited program. Any additioral
funds requested by the grantee sha11 be reauested in accordance
with clause Estimated Cost and Paymen[ in this agreement.
(b) Should the grantee demonstrate an unwillingness or inability
to establish procedures that wi11 minimize the time elapsing
between advances and disbursements, or fail to provide any required
C�1
,
9s'-/g�
progress report in a timely maaner, the authorization for advance
payments may be revoked. `The grantee may then be required to
finance the project with its own working capital and payment to the
grantee may be made by �'reasury check to re_mburse it for actual
cash disbursements.
(c) Funds advanced to the grantee sha11 be maintained in an
interest bearing account. Any interest earned by the grantee as a
result of the advanced �unds shz11 be promptly returned to HUD. If
the grantee is a State or local government, the grantee may retain
up to $100.00 of interest earned per qrantee's fiscal year for
administrative expenses.
7. AMOLNT OF COST SHARE
(a) The estimated cost for the performance of this grant is
$2.3�0,000.
(b) The grantee shall be reimbursed by HUD for 100% of costs
incurred in the performance of this grant. HUD shall not be
obligated to reimburse the grantee in excess of $1,777,000.
(c) The grantee agrees to bear without reimbursement by HUD
$523,000 of the total costs. The grantee is not obligated to
contribute more than $523,000. However, in the event that the
grantee incurs costs in excess of the estimaced cost of $2,300,00�,
a11 such excess sha11 be borne entirely by the grantee.
ESTIMATED COST AND PAYMENT - MATCFING (PRODORTIONAL REDUCTION OF
FEDERAL SHARE)
A. ^the estimated cost for the performance of the grant is
52,360,000. The costs wi11 be shared by the Government and the
grantee as follows:
1. The grantee shall be reimbursed by the Government
in an amount not to exceed 51.777,000 for
allowable costs incurred in the performance of
this grant.
2. The grantee agrees to bear without reimbursement
by the Government th2 amount of 5523,p00
consisting of the following budgnt line items.
(Insert the names of line items and the cash value
of the services or items named below.)
7
,
q�-�{
Non-Federal Match
COST ELEMENTS
Direct Labor
Fringe Benefits
Consultant/Subcontracts
TOTAL
MATCH
$158,SS5
55,705
308,750
$523,000
B. If the grantee's actual matching contribution is less
than 5523,000, the Government reserves the right to
negotiate new line items and/or amounts to satisfy the
grantee's match, or to reduce the Government's share
proportionally. The grantee shall notify the Government
at any time it believes it will not meet its match by the
completion of the grant. If the grantee exceeds the
dollar amount shown above, there will be no impact on the
Federal share.
C. Standard Form 269, Financial Status Report, detailing
match or in-kind contributions shall be submitted on a
quarterly basis. A£inal narrative and Standard Form 269
reports detailing the progress made in achieving the purpose
o£ the grant and adequate documentation of the total funds
expended in support of the activities to achieve this
purpose (both Federal and in-kind 1Q percent match.)
8. ALLOWABLE COST
For the performance of the work under this instrument, HUD shall
reimburse the arantee for costs incurred (hereafter referred to as
"allowable costs") which are d�termined by the Grant Officer to be
allowable, allocable, and reGsonable in accordance with th�
following cost principles*:
a. For colleaes and universities: OMB Circular A-21.
0.
c
For State and local Governments: OMB Circular A-87.
For other nonprofit organiz�tions: OMB Circular A-122.
d. For a11 other grantees, Federal Acquisition Regulation, Subpart
31.2.
*The revised version of these documents in effect on the date of
award shall govern.
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9. BUDGET
The grantee sha11 incur costs in confornance with the budget
shown below or otherwise attached. The grantee sha11 not commingle
any funds computed under this grant with any other existing or
£uture operating accounts held by the grantee.
COST ELEMEI�TTS
Direct Labor
Fringe Benefits
Materials
Travel
Equipment
Consultant/Subcontracts
Other Direct Cost
Tndirect
TOTALS
GRANT
$430,189
111,8'48
25,OQa
20,062
12,000
1,011,700
166,201
0
$1,777,000
(Note: See 38. 85.30 Changes Clause)
10. DATE OF INCURRENCE OF COST
Costs incurred on or after May 13, 1994 and before this grant was
executed sha11 be allowable to the same extent as if they had been
incurred after the execution of the grant. These costs sha11
consist of travel and perdiem
Lead Based Paint Conference
Washington, DC. Such costs
not-to-exceed $7,500.
11. INDIRECT COSTS
rates for the Grantees to attend the
of May la through May 20, 1994 in
shall be allowable in an amount
(a) Pursuant to the provisions of this clause, the allowablE
irdirect cost under this instrument shall be obtained by applyina
the firal rates negotiated. Pending establishment of final rates,
reimbursement will be made on the basis of biliing rates accepted
b t'r.e G Oiiicer. The foiiowing races are nereby estzblisnea
for the period indicated:
From effective
date of award
until amended
Category
12. CONDUCT OF WORK
Billing
Rate
I3ot Applicable
Base
ta) During the effective period of this grant, the Government
. g�i�y
Technical Representative and(or the Government Technical Monitor
identified in Block 9 of the cover page shall be responsible ior
mon_toring the technical effort of the grantee, unless the grantee
is notiiied in writing by the Grant Oificer of a replacement.
�b) Only the Grant Officer has the authority to authorize
deviations from this grant, including deviations from the Statement
of Work. In the event the grantee does deviate without written
approval of the Grant Officer, such deviation shall be at the risk
of, and any costs related thereto, sha11 be borne by the grantee.
13. INSPfiCTION AND ACCBPTANCE
Inspection and acceptance of all but the final products may be
accomplished by the Government Technical Monitors (GTMs), if so
delegated. Final acceptance of all work products shall be
accomplished by the Government Technical Representative (GTR).
14. REVIEW Or OFFICIAL PRODUCTS OF WORK
(a? Definition - For the purpose of this clause, "OfficiGl
Products of Work" include:
(1) All interim and final reports,
(2) Survey instruments required by Statement of Work, and
i3) Other physical materials and products produced directly
under the Statement of Work of this grant.
(b} General
(1) Tne GTR shall have the sole responsibility for HUD review,
correction, and acceptance of the Official Products of Wo of this
grant. Such review(s) shall be carried out promptly by the CTR, so
as not to impede the work of the grantee. The Products of Wc�k
shall be deemed as accepted as submitted if the GTR has not iss�ed
written comments and/or required corrections within thirty (30)
days of the date of the GTR's receipt o� sach product from the
grantee.
(2) The grantee shall carry out the required corrections, if
any, provided by the GTR and shall promptly return a revised ccpy
of the product to the GTR.
(3) The GTR's review, correction, and acceptance of Official
Products of Work shall be limited to: (1) corrections of omissions
or errors of fact, methodology, or analysis; (2) deletion of
irrelevant materials; and (3} improvements in style readability.
(�) In the review and acceptance of Oificial Products of Wor�c,
the GTR may not require any change in the grantee's stated views,
10
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opinions, or conclusions.
(S) Should there be any disagreement between the grantee and
the GTR as to any correction, or the methodology or analysis on
which any conclusion is based, the GTR may require the grantee to
insert a Government dissent(s) in the appropriate place(s). The
inclusion of such dissent(s) in an Official Product of Work,
otherwise found acceptable by GTR, and the return to the GTR of a
revised copy containing the dissentts), sha11 satisfy the
requirements for acceptance of the Official Product of Work under
this clause.
(6) Such dissent(s) sha11 not apply to any independent
publication by the grantee of Independent Products which may arise
from the work or findings of this grant.
l5. COLLECTION OF DATA
Collection of data from ten or more respondents and
sponsored by HUD shall be subject to the Paperwork Reduction
Act (4� U.S.C. 35�1 - 3520). If a survey instrument is
proposed, it wi11 be subject to review and approval by the
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Office of Management and Budget (OMB). Such review and
approval must be obtained prior to the use of the survey
instrument. Also, a time ele:nent is involved here which may
considerably lengthen the time recruired for completion of
the projecC. proposed. Careful consideration should be given
to any proposal which requires the use of a survey. Thz
collection of data is deemed to be sponsored by HUD only
under the following conditions:
1. The grantee represents to respondents that the
information is being collected for or in association with
HUD (however, this condition is not intended to preclude
mention of Federal support in response to an inquiry, or an
acknowledgement of Federal assistance in any publication or
report on the data); or
2. The grantee uses the data collection activities to
collect information that HU� has requested for the planning,
operation, or evaluation of its program; or
3. `Phe terms and conditions of this grant provide for
approval by HUD of the survey design questionnaire content,
or data collection procedure; or
4. The terms and conditions of this grant provide for
either submission to HUD of the daCa for individual
respondents or the preparation and submission oi tabulations
requested by HLTD.
Collection of data under circumstances other than the four
conditions given above is not a sponsored collection and is
not subject to the Paperwork Reduction Act.
16. KEY PERSONL�SEL
The personnel specified below are considered to be essential to
the work being perforned hereu�der:
Program Coordinator, 100% o£ time, James Yannarelly.
Prior to diverting any of the speciiied individuals to other
work, the grantee shall notify the Grant Officer reasonably in
advance and shall submit justi£ication iincluding proposeci
substitutions) in sufficient detail to permit evaluation of the
impact on the work effort. No diversion sha11. be made by the
grantee without the written consent of the Grant Officer.
17. LIMITATION ON CONSULTANT PAY�IENTS
As required by HUD's Appropriations Acc, salary payments to
consultants under this instrument shall not exceed the
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ectuivalent of the maximum daily rate paid to level IV of the
Executive Schedule for Federal Employees. This limitation
refers to consultants hired through the grantee's personnel
system, but not to consultants who periorm as inde�endent
contrzctors.
18. PUBLICATIONS AND NEWS RELEASES
ia) Definition
includes:
(1) Any
consumption; or,
. For the purpose of this clause, "publication"
document containing iniormation for public
(2) The act of, or any act which may result in, disclosing
information to the public.
(b) The results of this proaram are planned to be made available
to the public through dedication, assignment by HUD, or such othe
means as the Secretary shall determine.
(c) Government Ownership of Official Products of Woxk
Al1 interim and final reports and information, data analyses,
special methodology, findings, and their related documents and work
products, including reports, work sheets, survey instruments,
computer tapes, and any other physical materials and products
produced directly under the Statement of PTo�k of this grant are
considered Official Products of Work, owned by the Government znd
held for the benefit of the public.
(d) Publication of Official Products of Utork
Official Products of Work, q_uotations th�reirom, par�-phrasing,
or disclosures of interim findings may not be published without the
approval of the GTR for a period of sixty {601 days after
acceptance of the producc by the GTR. Therea=�er, the grantee shall
be free to publish without HUD a�proval.
(e) Acknowledcrement and Disclaimer
All 0=ficial Products of Work, or any part thereof, and any
Independent Products and Special Products arising out o£ this
instrument, when published by the grantee or oth2r participants in
the work, shall contain the following acknowledgement and
disclaimer:
"The work that provided the basis for this publication was
supported by funding under a grant with the 13. S. Department oi
Housing and Urban Development. The substance and findings of the
work are dedicated to the public. The author and publisher are
1 J
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solely responsible for the accu of the statements and
interpretations contained in this publication. Such
interpretations do not neces=�rily reflect the views of the
Government."
(f) Notice oi News Release and Public Announcements
Two copies of all press releas�s, formal announcements, and other
planned, written issuances containing news or information
concerning this grant that may be made by the grantee or its staff,
or any subcontractor or other p=rson or organization participating
in the work of this grant shGll be provid2d to the GTR at the
earliest possible time. News releases and other public
announcements may not disclose any interim finding or quote or
paraphrase any part of any O_ficial Product of Work without
complying with paragraph e. above.
19. REPRODUCTION OF REPORTS
In accordance with Go�ernment Prir.ting anri Binding
Regulations, reproduction oi reports, data or other written
materials intended for submission to HLTD for Government use, if
required herein, is authorized provided that the materials produced
do not exceed 5,000 production units of any page and the items
consisting of multiple pages do not exceed 25,000 production units
in the aqgregate.
The above limitations do not apply
materials intended for distrib;��ion by the
Government sources in accordGnce with th2
20. GOVERPIM&NT PROPERTY
to the reproduction of
grante2 to non-Federal
terms of this grant.
The following Government Eau_�ment acquired for the performance
of this grant is identified �s =ollows:
Items
Cost
IvO�E
At the conclusion of performa�ce of this grant, the Grant Officer
will provide the grantee w_Lh instructions concerning the
disposition oi the inventary c= equiomert.
21. PATENT RIGHTS (Sivu1LL BUSIN��S FIRMS AND NODTPROFIT
ORGANIZATIO��)
ta7 Definitions
(1) "Invention" means any '_nvention or discovery which is or
may be patentable or otherwis� �rotectable und�r Title 35 of the
United States code, or any nove variety of plant which is or may
be protected under the Plant Variety Proteccion Acc (7 U.S.C. 2321
14
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et seq. ) _
(2? "Subject invention" means any invention o` the grantee
conceived or first aetually reduced to practice in the performance
of work under this grant, provided that in the case o_ a variety o=
plant, the date of determination (as defined in sec�ion al(d) o=
the Plant Variety Protection Act, 7 U.S.C. 2501(d)) must also occur
during the period of grant performance.
(3) "Practical Application" means to manufacture in the case
of a composition o'r product, to practice in the case of a process
or method, or to onerate in the case of a process or method, or to
operate in the case of a machine or system; and, in each case,
under such conditions as to establish that the invention is being
utilized and that its benefits are, to the extent permitted by 1aw
or government regulations, available to the public on reasonable
terms. (4) ��Made" when used in relation to any invention means
the conception or first actual reduction to practice of sucn
invention.
(5) "Small Business Firm�� means a small business concern Gs
defined at Section 2 of Pub. L. 85-536 (15 U.S.C. 632) and
implementing regulations of the Administrator of the Sma11 Business
Administration. For the purpose of this clause, the size standards
for sma11 business concerns involved in government p-ocurement a*:d
subcontracting at 13 CFR 121.3-5 and 13 CFR 121.3-12, respectively,
will be used.
(6) ��Nonprofit Organization" means a university or other
institution of higner education or an organization of the tyyae
described in Section 501 (c) (3} of the Internal Revenue Code (25
U.S.C. 501(a)) and exempt from taxation unde'r section 501(a) of the
Internal Revenue Code of 1954 (25 U.S.C. SO1(a)} or any nonprofit
scientific or educational organization qualified under a state
nonprofit organization statute.
(b) A1location of Principal Rights
Tne grantee may retain the entire right, title, and interest
throughout the world to each subject invention subject to th=
provisions of this clause and 35 U.S.C, 203. with respect to ar_y
subject invention in which the grantee retains title, the Federal
government sha11 have a nonexclusive, nontransferable, irrevocable,
paid-up license to practice or have practic2d £or or on behalf o=
the United States the subject invention throughout the world.
ic) Invention Disclosure, Election of Title and Filing of Patenc
Application by Grantee
(1) The grantee wi11 disclose each subject inv2ntion to the
Federal Agency within two months after the inventor discloses it in
writing to grantee personnel responsible for patent matters. The
15
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disclosure to the agency shall be in the form of a written report
and snall identify the grant ur_der which the invention was made ar_d
the inventor(s). It shall be sufiiciently complete in technical
detail to convey a clear understanding to the extent known at the
time of the disclosure, of the nature, purpose, operation, and the
physical, chemical, biological or electrical characteristics of tY!e
invention. The disclosure also identify any publication, on sale
or public use of Lhe invention and whether a manuscript describing
the invention has been submitted for publication and, if so,
whether it has been accepted for publications at the time of
disclosure. In addition, after disclosure to the agency, the
grantee will promptly notify the agency of the acceptance of any
manuscript describing the invention for publication or of any on
sale or public use planned by the grantee. �
(2) The grantee will elect in writing whether or not to retain
title to any such invention by notifying the Federal agency within
two years of disclosure to the Federal agency. However, in any case
where publication, on sale or public use has initiated the one year
statutory period wherein valid patent protection can sti11 be
obtained in the United States, the period for election of title may
be shortened by the agency to a date that is no more than 60 days
prior to the end of the statutory period.
(3) The grantee will file its initial patent application on a
subject invention to which it elects to retain title within one
year after election of title or, if earlier, prior to the end of
any statutory period wherein valid patent protection can be
obtained in the United States after a publication, on sa1e, or
public use. The granCee wi11 file patent applications in
additional countries or international patent o£fices within either
ten months oi the corresponding initial patent application or six
months from the date permission is granted by the Commissioner of
Patents and Trademarks to file foreign patent applications where
such filing has been prohibited by a Secrecy Order.
i4) Requests for extension of the time for disclosure,
election, znd filing under subparagraphs (1), (2), and (3) may, a�
the discretion of the agency, be granted.
(d) Conditions When the Government May Obtain Title
The grantee will convey to the Federal agency, upon written
request, title to any subject invention--
(1) If the grantee fails to disclose or elect title to the
subject invention within the times specified in (c), above, or
elects not to retain title; provided that the agency may only
request title within 60 days after learning of the failure of the
grantee to disclose or elect within the specified times.
(2) Sn those countries in which the grantee £ails to file
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patent applications within the times specified in (c) above;
provided, however, that if the grantee has filed a patent
application in a country after the times specified in (c), above,
but prior to its receipt of the written request oi the Federal
agency, the grantee shall continue to retain title in trat country.
(3) In any country in which the grantee decides r_ot to
continue the prosecution of any application for, to pay the
maintenance fees on, or defend in reexamination or opposition
proceeding on, a patent on a subject invention.
(e) Minimum Rights to Grantee and Protection of the Grantee's
Right to File
il) The grantee wi11 retain a nonexclusive royalty-free
license throughout the world in each subject invention to which the
Government obtains title, except if the grantee fails to disclose
the invention within the times speci£ied in (c), above. The
grantee's license extends to its domestic subsidiary and
affiliates, if any, within the corporate structure of which the
grantee is a party ancl includes the right to grant sublicenses oi
the same scope to the extent the grantee was legally obligated to
do so at the time the grant was awarded. The license is
transferable only with the approval of the Federal agency except
when transferred to the successor of that party of the grantee's
business to which the inventior. pertains.
(2J The grantee's domestic license may be revoked or modified
by the funding Federal agency to the extent necessary to achieve
expeditious practical application oi the subject invention pursuant
to an application for an exclusive license submitted in accordance
with applicable provisions at 37 CFR Part �o� and agency licensina
regulations (if any). This license will not be revoked in that
field of use or the geographical areas in which the arantee has
achieved practical application and continues to make the benefits
of the invention reasonably accessible to the public. The license
in any foreign country may be revoked or modified at the discretion
of the funding Fede agency to the ex�ent the grantee, its
licensees, or the domestic subsidiaries or aifiliates have failed
to achieve practical applicat?on in that foreign country.
(3} Before revocation or modifica�ion of the license, the
funding Federal agency wi11 furnish the grantee a written notice of
its intention to revoke or modify the license, and the grantee will
be allowed thirty days (or such other time as may be authorized by
the funding Federal agency for good cause shown by the grantee)
after the notice to show cause why the license should not be
revoked or modified. The grantee has the right to appeal, in
accordance with applicable regulations in 37 CFR Part 404 and
agency regulations (if any) concernina the licensing of
Government-owned inventions, any decision concerning the revocation
17
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or modi€ication of the license.
(f) Grantee P_ction to Protect the Govern^�ent's Snterest
(1) The grantee agrees to execute or to have executed and
promptly deliver to the Federal agency all instruments necessary to
(i) establish or confirm the rights the Government has throughout
the world in those subject inventions to which the grantee elects
to retain title, and (ii) convey title to the Federal agency when
requested under paragraph (d) above and to enable the government to
obtain patent protection throughout the world in that subject
invention.
(2) The grantee agrees to require, by written agreement, its
employees, other than clerical and nontechnical employees, to
disclose promptly in writing to personnel identified as responsible
for the administration of patent matters and in a format suggested
by the grantee each subject invention made under agreement in order
that the grantee can comply with the disclosure provisions of
paragraph (c), above, and to execute all papers necessary to file
patent applications on subject inventions and to establish the
government's rights in th� subject inventions. This disclosure
format should require, as a minimum, the information required by
(c)(1), above. The grantee shall instruct such employees through
employee agreements or other suitable educational programs on the
importance of reporting inventions in sufficient time to permit the
filing of patent applications prior to U.S. or foreign statutory
bars.
(3) The grantee will notify the Federal agency of any
decisions not to continue the prosecution of a patent application,
pay maintenance fees, or deiend in a reexamination or oppositior
proceeding on a patent, in any country, not less than thirty days
before the expiration of the response period required by the
relevant patent office.
(4) The grantee Ggrees to include, within the specification of
any United States patent applications aad any patent issuing
thereon covering a subjecC inven�ion, the following statement, Th=
government has certain rights in the invention."
(g) Subcontracts
(1) The grantee will include this clause, suitably modified to
identify the parties, in all subcontracts, regardless of tier, for
experimental, developmental or research work to be performed by a
small business firm or domestic nonprofit organization. The
subcontractor will retain a11 rights provided for the grantee in
this clause, and the grantee will not, as part of the consideration
for awardir_g the subcontract, obcain rights in the subgrantee's
subject inventions.
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(2) The grantee will ir_clude in al� other subcontracts,
regardless of tier, for experimental developc;.ental or research work
the patent rights clause required by FAR 52.227-11.
(h) Reporting or_iltilization of Subject Inventions
The grantee agrees to submit on reauest periodic reports no more
frequently than annually on the utilization of a subject inventio�
or on efforts at obtaining such utilization that are being made by
the grantee or its licensees or assignees. Such reports sha11
include information regarding �he s�atus of development, date or
first commercial sale or use, gross royalties received by the
recipient, and such other data and information as khe agency may
reasonably specify. The grante2 also agrees to provide additional
reports as may be requested by the agency in connection with any
march-in proceeding undertaken by the agency in accordance with
paragraph (j) of this clause. As required by 35 U.S.C. 2�2(c)(5),
the agency agrees it will not disclose such information to persons
outside the government without permission of the grantee.
(i) Preference for tinited States Industry
Notwithstanding any other provision of this clause, the grante�
agrees that neither it nor any assignee will grant to any person
the exclusive right to use or sell any subject inventions in the
United States unless such person agrees that any products embodyina
the subject invention or produced through the use of the subject
invention will be manufactured substantially in the United States.
However, in individual cases, tne requirement for such an agreemen�
may be waived by the Federal agency upon a showing by the grantee
or its assignee that reasonable but unsuccessful efforts have been
made to grant licenses on similar terms to potential licensees that
would be likely to manufacture substantially in the United States
or that under the circumstances domestic manufacture is not
commercially feasible.
(j) March-in Rights
The grartee agrees that with respect to any subject invention in
which it has acquired title, the Federal agency has the right in
accordance with the procedures in 37 CFR 501.6 and any supplemental
regulations of the agency to require the grantee, an assignee or
exclusive licensee o£ a subject invention to grant a nonexclusive,
partially exclusiv2, or exclusive license in any Eield of use to G
responsible applicant or applicants, upon terms that are reasonable
under the circumstances, and if the grantee, assignee, or exclusive
licensee refuses such a request the Federal agency has the right to
grant such a license itself if the r2deral agency determines that:
(1) Such action is necessGry because the grantee or assignee
has not taken, or is not expect�d to take within a reasonable time,
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effective steps to achieve practical application of the subject
invention in such field of use.
(2) Such action is necessary to alleviate health or safety
needs w'_nich are not reasonably satisfied by the grantee, assignee
or their licensees;
(3) Such action is necessary to me2t requirements ior public
use specified by Federal regula�ions and sucn requirements are not
reasonably satisfied by the grantee, assignee or licensees; or
(4) Such action is necessary because the agreement required by
paragraph (i) of this clause has not be=n obtained or waived or
because a licensee of the exclusive right to use or sell any
subject invention in the United States is in breach of sucr.
agreement.
(k) Special Provisions for Grants with Nonprofit Organizations
If the grantee is a nonprofit organization, it agrees that:
(1) Rights to a subject invention in th= United States may not
be assigned without the approval of the F2deral agency, except
where such assignment is made to an orgznization which has as one
of its primary functions the management of inventions, provided
that such assignee will be subject to the same provisians as the
grantee;
(2) The grantee will share royalties collected on a subject
invention with the inventor, including Federal employee coinventors
(when the agency deems it appropriate) wner. the subject invention
is assigned in accordance with 35 U.S.C. 202(e) and 37 CFR �01.10;
(3) The balance of any royalties or income earned by the
grantee with respect to subject inver�icns, after payment of
expenses (including payments to inventors} incidental to the
administration of subject inventior.s, wi11 be utilized ior the
support of scientific research or educat and
(a) It will make eiforts that are reasonable under the
circumstances to attract licensees of subj°ct invention that are
small business firms and that it will give a preference to a small
business firm when licensing z subject invention if the grantee
determines that the small busir,ess firm 'r_as G plan or proposal for
marketing the invention which, ii executed, is equally as 1ikely to
bring the invention to practical application as any plans or
proposal from applicants that are noc small business firms;
p that the grantee is also sGtisfied that the sma11
business firm has the capabil_ty ard r2sources to carry out its
plan or proposal. The decision whether to give a preference in any
specific case will be at the discretion of the grantee. However,
the grantee agrees that th2 Secretary mGy review the grantee's
20
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licensing program and decis�.ons regarding small business
applicants, and the grantee will nego�iate changes to its licensing
policies, procedures, or practic=s with the Secretary when the
Secretary's review discloses that the grantee could take reasonable
steps to implement more effectivcly the requiremer_ts of this
pz.ragraph (k} (a) .
(1) Communication
Inquiries regarding this Patent Rights clause should be in
writing and directed to:
Grant Officer
Office of Lead-Based Paint Abatement and Poisoning Prevention
U. S. Department of Eousing and
Urban Development
451 Seventh Street, SW, Room B-133
Washington, DC 20410-30Q0
22. PROJECT MANAGEMENT SYSTEM
The grantee sha11 use the HUD project management system specified
in this clause. The HUD system requires the submission of a work
plan and status reports quarte (monthly during abatement)
showing actual progress agains� the work plan. The project
management system utilizes two - repor.ting £orms ithe HUD 4a1.1
Base1?ne Plan and the HUD 661.1 P-rogress Reportj in addition to a
narrative desc
Sriefly, the work plan and progress reports sha11 consist of the
following:
WORK PLAN. (See Task I)
The work plan sha11 be submitted to the Grant Officer and the GTR
and shall consist oi a narra�iv� description and graphic summary
(HUD 451.1,) together with a rev:sed spreadsheet budget in the
grantee's own format for: a) totGi budget by years, b) total
budaet by subtask, and c) b��daet 'o� each major subtask by years.
The narrative sha11: (1) describe the planned schedule; (2)
identify steps in the work process reauired for completing the work
and the period of time needed to accemplish each step expressed in
terms of calendar dates; and (3) provide the staff, financial, and
other resources allocated to each task/activity; and other
resources rationale for projec� crcanization, staff utilizatioa,
and other resources allocated to each task or activity. The HUll
�51.1 shall show: (1) cumulative �lanned or budgeted costs of work
by task schedule for eac:� report_na period over the life of the
grant; and, (2} the planned prcje�t schedule that traces, by
reporting period, tne task, sub-task start dates, periods of work
in progress, and completion dates.
21
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PROGRESS RBPORTS.
Progress reports shGll be submitted to the Grant Officer and tne
GTR thirty (30) days after completion of each quarter of the
project, during the planning period and(or during the perioc.
awaiting the enactment of legislation and establishment of a State
Certification Program. The period during active abatement work
shzll be fifteen (15) days after completion of each month of the
project. The period shall revert to quarterly if applicable at the
completion of the abatement work. It shall consist of a narrative
report and the ALID 661.1 which depicts actual progress against
planned progress. The narrative report sha11: (1) provide a brief,
factual summary description of technical progress made and cost
incurred for each task (or group of tasksl during the reporting
period; and (2) identify significant problems and their impacts,
causes, proposed corrective actions and the affect that such
corrective actions wi11' have on the accomplishment of the grant
objectives. The AUD 661.1 reproduces the Baseline Plan (HUD
441.1) and sha11 show: (1? the schedule status of the degree o=
completion of tasks/activities by time intervals; and, (2) cost
status or the actual costs of work performed in accomplishing the
task/activities.
Specific and detailed guidance on preparing the forms and the
narratives may be obtained from the GTR or Grant Officer.
23. LIMITATION ON PAYMENTS TO INFLUENCE CERTAIN FEDERAL
TRANSACTiONS (OVER $100,000)
(a) Defir.itions. As used in this clause:
"Agency", Gs d2fined in S U.S.C. 552(f), includes FederGl
executive departments and agencies as we11 as independer_t
regulatory commissions and Government corporations, as defined in
31 U.S.C, 9101(1).
"Covered Federal Action" means any of the following Federal
actions:
(1) The awarding of any Federal contract;
(2) The making of any Federal grant;
(3) The making of any Federal loan;
(4) The entering into of any cooperative agreement; and,
(5) The extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperativ=
agreement.
Covered rederal action does not include receiving from a-:
agency a commitment providing for the United States to ir_sure or
guarantee a loan.
22
9,�i��
"Indian tribe" and "tribal organization" have the meaning
provided in section � of the Indian Self-Determination ar_d
Education Assistance Act (25 U.S.C. 450B). Alaskan Natives are
included under the definitions of Sndian tribes in that Act.
"Influencing or attempting Co influence�' means making, with
the intent to influence, any cormmunicat?on to or appearance beiore
an officer or employee of any agency, a Merwer of Congress, an
officer or employee of Congress, or an employee of a Member of
Congress in connection with any covered Federal action.
"Local government" means a unit of government in a State and,
if chartered, established, or otherwise recognized by a State for
the performance of a governmental duty, including a local public
authority, a special district, an intrastate district, a council oi
governments, a sponsor group representative organization, and any
other instrumentality of a local government.
"Officer or employee of an agency'� includes the following
individuals who are employed by an agency:
(1) An individual who is appointed to a position in �the
Government under title 5, U.S.C., including a position under a
temporary appointment;
(2) A member of the uniformed services as defined in section
202, title 18, t3.S.C.;
(3) A special Government employee as defined in section 202,
title 18, U.S.C.; and,
(4) An individual who is a member of a Federal advisory
committee, as defined by the Federal Advisory Committee Act, title
5, appendix 2.
"Person" means an individual, co company,
association, authority, firm, par�nership, society, State, and
local government, regardless oi whether such entity is operaced for
profit or not for profit. Tnis term exclud2s an Indian trib=,
tribal organization, or other Zndian organization with respect to
expenditures specifically permitted by other Federal 1aw.
"Reasonable compensation" means, with respect to professional
and other techniczl services, G payment in an amount that is
consistent with the amount normally paid for such services in the
private sector.
"Recipient," as used in this clause, includes the grantee or
cooperating party and a11 subarantees at any tier. The term
excludes an Indian tribe, tribal organization, or any other Indi�n
organization with respect to exoenditures specifically permitted by
other Federal law.
23
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"Regularly employed" means, with respect to an officer or
employee of a person requesting or receiving a Federal contrzct,
grant, loan, or cooperative agreement, an officer or employee who
is employed by suctiperson for at least 130 working days within one
year immediately p �he date of the submission tha�
initiates agency consideration of such person for receipt of such
contract, grant, loan, or cooperative agreement. An officer or
employee who is employed by such person for less than 130 working
days within one year immediately preceding the date of submission
that initiates agency consideration of such person shall be
considered to be regularly employed as soon as he or she is
employed by such person for 130 working days.
"State" means a State of the United States, the District or
Columbia, the Commonwealth oi Puerto Rico, a territory oi
possession of the united States, an agency or instrumentality of a
State, and a multi-State, regionzl, or intezstate entity havina
governmental duties and powers.
(b). Prohibition.
(1) Section 1352 of title 31, U.S.C. provides in part that no
appropriated funds may be expended by the recipient of a Federal
contract, grant, loan, or cooperative agreement to pay any person
for influencing or attempting to influence an officer or employee
of any agency, a Member of Congress, an officer or employee o=
Congress, or an employee of a M�mber of Congress in connection wit'�
any of the following covered Federal actions: the awarding of ar_y
Federal contract, the making of any Federal grant, the makirg o=
any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, o-
modification of any Federal contract, grant, 1oan, or cooperativz
agreement.
(2) The prohibition does not apply as follows:
(i) Agency and legislative liaison by Own Employees.
(A) The prohibition o.. the use of appropriated funds, in
paragraph il) of this section, does not apply in the case of a
payment of reasonable compensation made to an officer or employee
of a person requesting o receiving a Federal contract, grant,
loan, or cooperative agreement, if the payment is for agency and
legislative activities not direccly related to a covered FederGl
action.
(B) For purposes of paragraph (A) of this section,
providing any information specifically requested by an agency or
Congress is allowable at any time.
(C) For purposes of paragrap'r. (A) of this section, the
24
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following agency and legislative liaison activities zre allowable
at any time only where they are not related to a specific
solicitation for any covered Fe3eral action:
(i) Discussing with an agency (including individual
demonstrations) the qualities and chzracteristics of the person's
products or services, conditions or terms of sale, and service
capabilities; and,
(II) Technical discussions and other activities regarding
the application or adaptation of the person's products or services
for an agency's use.
(D) For purposes of paragraph (A) of this section, the
following agency and legislative liaison activities are allowable
only where they are prior to formal solicitation of any covered
Federal action:
(i) Providing any inforcnation not specifically requested but
necessary for an agency to make an informed decision about
initiation of a covered Feder�l action;
(ii) Teclinical discussions regarding the preparation of an
unsolicited proposal prior to its official submission; and
(iii) Capability presentations by oersons seeking awards
from an agency pursuant to the provisions of the Small Business
Act, as amended by Public L,aw 95-507 and other subsequent
amendments.
(E) Only those activities exnressly authorized by
paragraph (i) of this section a allowable under paragraph (i).
(ii) Professional and technical services by Own Employees.
(A) The prohibition o� the use oi a�propriated funds, ir.
paragraph (1} of this sectio-., does not apply in the case o_
payment of reasonable compensation made to Gn officer or employe�
of a person requesting or receiving a Federal contract, grant,
cooperative agreement, or loan or an exce�sion, continuation,
renewal, amendment, or modification of a Fed�ral contract, grant,
cooperative agreement, or loan, if payment is for professional or
technical se rendered directly =� the preparation,
submission, or negotiation of any bid, proposal, or application £or
that Federal contract, grant, cooperative agreement, or loan or for
meeting requirements imposed by or pursuant to law as a condition
for receiving that Federal con�ract, grant, cooperative agreement,
or loan.
(B) For purposes oi paragraph (A) of this section,
"professional and technical services" sha11 be limited to advice
and analysis directly applyi:a any professional or technical
25
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discipline.
(C) Reqt:irements imposed by or pursuant to law as �
condition for receiving a covered Federal award include those
required by 1aw or regulation, or reasonebly expected to bz
required by law or regulation, and any other requirements in the
actual award documents.
(D) On1y those services expressly authorized by paragraph
(ii) of this section are allowable under paragraph (ii).
(iii) Reporting for Own Employees.
No reporting is required with respect to payments of reasonable
compensation made to reqularly employed officers or employees of a
person.
(iv) Professional and technical serv_ces by Other than Ow:
Employees.
(A) The prohibition on the use of appropriated funds, ir.
paragraph tl) of this section, does not apply in the case of any
reasonable payment to a person, other than an officer or employee
of a person requesting or receiving a covered Federal action, if
the payment is for professional or technical services rendered
di in the preparation, submission, or negotiation of any bid,
proposal, or application £or that Federal contract, grant,
cooperative aareement, or loan or for meeting requirements imposed
by or pursuant to law as a condition for receiving that Federal
contract, grant, cooperativ2 aareement, or 1oan.
{B)
"professional
and analysis
discipline.
For purposes of paragraph (P) of this section,
and technical services" sha11 be limited to advice
directly applying any pYofessional or technical
(C) Reauirements impos2d by o� vu, to law as a
condition £or receiving a covered Fed2ral award include thos�
required by law or regulation, or reasonably exnected to be.
required by law or reaulatio�, and aryo utr_er requirements in tri�
actual award documents.
(D) Persons other tha_n. officers or employees of a persor�
requesting or receiving a cove rederal action includ=
consultants and trade associations.
(E) Only those services expvessly �u*_horizea by paragrap'�
(iii) of this section are allowable under pG (iii).
(c) Disclpsure.
(1) Each person who requests or receives from an agency �
f��i
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Federal contract, grant, cooperative agreement, or loan shall file
with that agency a certification, set forth in this solicitation
that the person has not made, and will not make, any paymen�
prohibited by paragraph (b) of this section.
(2) Each person who reaaests or receives from an agency a
Federal contract, g cooperative agreement, or loan shall file
with that agency a disclosure form, Standard Form-LLL, ��Disclosure
of L,obbying Activities," if such person has made or has agreed to
make any payment using nonappropriated funds (to include profits
from any covered Federal action), which would be prohibited und�r
paragraph (b) of this clause if paid for with appropriated funds.
t3) Each person sha11 file a disclosure form at the end of
each calendar quarter in which there occurs any event that requires
disclosure or that materially affects the accuracy of the
information contained in any disclosure form previously filed by
such person under paragraph (2) of this section. An event tha�
materially affects the accuracy of the information reporte3
includes:
(iJ A cumulative increase of $25,OQ� or more in the amour_c
paid or expected to be paid for influer.cing or attempting to
influence a covered Federal action; or
(ii) A change in the person(s) or individual(s) influencina
or attempting to influerc= a covered Federal action; cr
(iii) A change in the ofiicer(s), employee(s), or Member(s)
contacted to influence or attempt to influence a covered Federa�
action.
(�1 F.ny person who requests or receives from a person referrec
to in paragraph (1) of this section a subcontract exceedinc
$100,00� at any tier under a Pederal contract, grant, cooperativ�
agreement, or loan sha11 file a certification, and a disclosur�
form, if required, to the next tier above.
i5) A11 disc'osure forms, but not certifications, sha11 b�
forwarded from tie= to t=er ur*_il received by the person referred
to in paragraph (1) of this section. That person shall fo all
disclosure forms to the agency.
(d) Agreement. In accepting any contract, grant, cooperative
agreement, or loan resulting from this solicitation, the perso_�
submitting the offer agrees not to make any payment prohib?ted bj
this clause.
(e) Penalties.
(1) Any pe wnc m.a':es an exper,diture pronibited unde=
paragraph (b) of this clause snall be subject to a civil penalty o-
27
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not less than $10,000 and not more than $100,Op0 for each such
expenditure.
(2) Any person who fails to file or amend the disclosure form
to be filed or amended if required by this clause, shall be subjec�
to a civil penalty of not less than $10,000 and not more than
$100,000 for each such £ailure.
(3) Contractors and recipients may rely without liability on
the representations made by their subcontractors in the
certification and disclosure form.
(f) Cost A1lowability. Nothing in this clause is to be
interpreted to make allowable or reasonable any costs which would
be unallowable or unreasonable in accordance with Part 31 of the
Federal Acquisition Regulation (FAR), or OMB Circulars dealing with
cost allowability for recipients of assistance agreements.
Conversely, costs made specifically unallowable by the requirements
in this clause will not be made allowable under any of the
provisions of FAR Part 31 or the relevant OMB Circulars.
2�. AMENDMENTS
This grant may be modified at any time by a written amendment.
Amendments which reflect the rights and obligations of either party
shall be executed by both HUD (the Grant Officer) and the grantee.
Administrative amendments, such as changes in appropriation data,
may be issued unilaterally by the Grant Officer.
25. DISPUTES
During performance of the grant, disagreements may arise between
the grantee and the Grant Officer on various issues. If a dispute
concerning a queetion of fact arises, the Grant Officer shall
prepare a final decision, taking into account al1 facts and
docum�ntation presented. The decision shall be mailed to th�
arantee. The grantee may appeal the decision within thirty (30)
days to the Deputy Secretary of HUD, or his or her designated
representative.
26. D3UG-FRBE WORKPLACE (RECIPIENTS OTHER THPN ZNDZVZDUPTS)
1. By signing this grant agreement, the grantee is
providing the certification set out below.
2. The ce'rtification set out below is a material
representation of fact upon which reliance was placed when
HIID determined to award the grant. If it is later
determined that the grantee knowingly rendered a false
certification, or oCherwise violates the reauirements of the
Drug-Free Workplace Act, HUD, in addition to any other
rene�ies available to the Federal Government, may take
action authorized under the Drug-Free Workplace Act.
28
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3. Workplaces need r_ot be ide=�tified on the certification.
If kno•�rn, they may be identified in the grant application.
If the grantee did not identify the workplaces at the time
of application, or upon award, the grantee must keep the
identity of the workplace(s? on file in its office and nake
the information available for Feder�l inspection. Failure
to identify all known workplaces constitutes a violation of
the grantee's drug-free workplace requirements.
4. Workplace identifications must include the actual
address of buildings (or parts of buildings) or other sites
where work under the grant takes place. Categorical
descriptions may be used (e.g., all vehicles of a mass
transit authority or State highway department while in
operation, State employees in each local unemployment
office, performers in concert halls or radio studios).
5. If the workplace identified to HUD changes during the
performance of the grant, the grantee sha11 inform the
agency of the chanqe(s?, if it previously identified the
workplaces in question.
6. Definitions of terms in the Nonprocurement Suspension
and Debarment common rule (2� CFR Part 24) and Drug-Free
Workplace common rule apply to this certification.
Certification Regarding Drug-Free Workplace Requirements
A. The grantee certifies that it will or wi11 continue to
provide a drug-free workplace by:
(a) Publishing a statement notiiying employees that the
unlawful manufacture, distribution, dispensation, possessior.
or use of a controlled substance is prohibited in the
grante2's workplace and specifyina the actions that wi11 be
taken against employees for violation of such prohibition;
(b) Establishing a drug-free awareness program to inform
employees about --
(1) the dangers of drug abuse ir_ the workplace;
(2) the grantee's policy of maintaining a drug-free
workplace;
(3) any available drug counseling, rehabilitation, and
employee assistance pzog'rams; and
(4) the penalties that may be imposed upon employees for
drug abuse violations occurring in the work-place;
29
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(c) Making it a requirement that each
in the performance oi the grar_t be given
statement required by paragra�h (a);
employee to be engaged
a copy of the
(d) Notifying the employee in the s�atement required by
paragraph (a) tha�, as a conciition of employment under the
grant, the employee will --
tl) abide by the terms of the statement; and
(2? notify the
for a violation of
workplace no later
conviction;
employer in writing of his or her conviction
a criminal drug statute occurring in the
than five calendar days after such
(e) Notifying HUD in writing, within ten calendar days after
receiving notice under subparagraph (d)(2) from an employee
or otherwise receiving actual notice of such conviction.
Employers of convicted employees must provide notice,
including position title, to every grant officer or other
designee on whose grant activity thz convicted employee was
workinq. Notice shall include the identiiication number(s}
of each affected grant;
(f) Taking one of the following actions,
days of receiving notice under subparagrapr
respect to any employee who is so convicted
(1) taking appropriate personnel action
employee, up to and including termination,
the requirements oi tne Rehabilitation Act
amended; or
within 30 calendar
(d) (2) , with
against such an
consistent with
of 1973, as
(2) requiring such employee to participate satisfactorily in
a drug abuse assistance or reh�bilitation program approved
for such purposes by a Federal, S*ate, or local health, law
enforcement, or other appropriate agency;
(g) Making a good faith effort to continue to maintain a
drug-free workplac2 through impiementation oi paragranhs
(a) , (b) , (c) , (d) , (e) r and (f) .
E. The grantee may ins2rt ir_ the space provided below the
site(s) ior the performance oi work done ir_ connection with
the specific grant:
30
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Place of Performance (Street address, c_ty, county,
state, zip code)
Check / / if there are workplaces on file that are not
identified here.
27. ORDER OF PRECEDENCE
In the event of any inconsistency among any provisions of this
grant, the following order of precedence shall apply:
(a) Task I-WOrk P1ans (Subtasks A and B)
(b) Grantee Certi£ication Program Require<<ent Clause
(c) Statement of Work (excluding the grantee's proposal, if
incorporated).
(d� Special Conditions
(e) Schedule of Articles.
(f} Uniform Administrative R2quirements.
(g) Grantee's Proposal (if incornorated).
28. OTHER ADMINISTRATIVE PROVISIONS
The arantee sha11 comply with all starda=c �ssur�nces whicn w2re
executed as part of the applicatior_ process.
29. UNIFORM ADMINZSTRATTVE REOUIREMENTS FOR GRANTS AND COOPERATIVE
AGREEMEN^1S TO STATE AND LOCAL GOVERNMENTS
The followina provisions of 2S CFR Part 85, "Uniform
Administrative Requirements for G'r�r.ts and Cooper�tive
Agreements to State and Local Governments," are incorporated
by reference. Upon request, the Grant Officer will make their
full text available. Where clarifying or specific HUD
instructions are required, they wi11 appear in fu11 text. The
term "grant" as used herein also refers to cooperative
egreement instruments. The term "Grant Ofricer�� as used
herein also refers to Cooperative Agre�ment Officers, when the
ir.strument is a cooperative agreement.
31
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30. SUBPART C- POST-P_WARD REOuIREMENTS
F?nancial Administ
31. 85.20 STANDARDS FOR FINATVCIAL MANAGfi��V1 SYST&MS
(a) A State must expend and account for grant funds in
accordance with State laws and procedures for expending and
accounting for its own funds. Fiscal control and accounting
procedures of the State, as well as its subgrantees and
cost-type contractors, must be sufficient to -
(1) Permit preparation of reports required by this part and
the statutes authorizing the arant, and
(2) Permit the tracing oi funds to a level of expenditures
adequate to establish that such funds have r_ot been used in
violation of the restrictions Gnd prohibitions of applicable
statutes.
(b) The financial managemert systems of other grantees and
subgrantees must meet the following standards:
(1) Financial reporting. Accurate, current, and complete
disclosure of the financial results of finGncially assisted
activities must be made in accordance with the financial
reporting requirements oi the aran� or subarant.
(2) Accountinq records. Gran:ees and subgrantees must
maintain records which «dequacely id�nti£y the source and
aoplication of £unds provided °or financizlly-assisted
activities. These records must contain ir_=ormation
pertaining to grant or subgran� awa'rds and authorizations,
obligations, unobligatea bzla-c2s, Gss��s, liabilities,
outlays or expenditures, and income.
(3) Internal control. Effective cortrol and
accountability must be maintained for all grant and subgrant
cash, real and personal proper�y, and other assets.
Grantees and subgrantees must adequately sGieguard a11 such
property and must assure that ic is used solely for
authorized purposes.
(4) Budget control. Actual expenditu�es or outlays must be
compared with budgeted amounts for eac;. grant o subgrant.
Financial information must be - re'_ated to pe_formance or
productivity data, _ncluding t'�e d=velop.m.ent of unit cost
information whenever appropriate or soecifically required in
the grant or subgrant ag If ur.it cost data are
32
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required, estimates based on available documentation wi11 be
accepted wheneve possible.
(5) Allowable cost. Applicable OMB cost principles, agency
program regulations, and the terms of grant znd subqrant
agreements will be followed in determining the
reasonableness, allowability, and allocabiliCy of costs.
(6) Source documentation. Accounting records must be
supported by such source documentation as canceled checks,
paid bills, payrolls, time and attendance records, contract
and subgrant award documents, etc.
(7) Cash management. Procedures for minimizing the time
elapsing between the transfer o£ funds from the U.S.
Treasury and disbursement by grantees and subgrantees must
be followed whenever advance payment procedures are used.
Grantees must establish reasonable procedures to ensure the
receipt of reports on subgrantees' cash balances and cash
disbursements in sufficient time to enable them to prepare
complete and accurate cash transactions reports to the
awarding agency. When advances are made by letter-of-credit
or electronic transfer of funds methods, the grantee must
make drawdowns as close as possible to the time of making
disbursements. Grantees must monitor cash drawdowns by
their subgrantees to assure that they conform substantially
to the same standa of timing and amount as apply to
advances to the grantees.
(c) An awarding acrency may review the adeauacy of Ch°
financial management system of any applicant £or financial
assistance as part of a preaward review or at any time
subsequent to award.
32. 85.21 PAYMENT.
(a) Scope. This section prescribes tre basic standard and
the methods under which HUD will make payments to grantees,
and grantees wi11 nake payments to subgrantees and
contractors.
(b) Basic standard. Methods and procedures for paym2nt
sha11 minimize the time elapsing between the transfer of
funds and disbursemer.t by the grantee or subgrantee, in
accordance with Treasury regulations at 31 CFR Part 205.
33. 85.22 ALLOWABLB COSTS.
3:. 85.23 PERIOD OF AVAILABILITY OF FUNDS.
35. 85.25 PROGRAM INCOME.
33
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36. 85.26 NON-FEDERAL AUDI1 �
37__CHA'GGES. PROPERTY AND SUBAWARDS
38. 85.30 CFIA�IGES.
� x x x *
(c) Budget changes. (1) Grantees shall obtain the prior
approval of the Grant Officer whenever any of the following
changes is anticipated:
(i) Any revision which would result in the need for
additional funding.
(ii) Cumulative transfers among direct cost categories
which exceed or are expectecl to exceed ten percent of the
current total approved budget, whenever HUD's share exceeds
$100,G00.
(iii) Trans£er of funds allotted for training allowances
(i.e., from direct payments to trainees to other expense
categories).
Requests for prior approval of changes as snecified in
paragraphs (c), (d), and (f) sha11 be directed to the Grant
Officer.
See 9. Budget
39. 85.31 REAL PROPERTY.
* * � � �
(d} Requests for disposition instructions sha11 be directed tc
the G Officer.
40. 85.32 EGUIPMENT
:� � * * *
(L) (�s) Requests for disposition instructions sha11 be directen
to the Grant Officer.
41. 85.33 SUPPLIES.
42. 85.34 COPXRIGHTS AND PATENTS
�3. 85.35 SUBAWARDS TO DEBARRED AND SUSPENDED PARIIES
34
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Befo awarding any subcontracts or subgrants, the grantee
must ensure that the subcontractor or subgzantee is not
included on the General Services Administration's "Lists of
Parties Excluded from Federal Procurement or Nonprocurement
Programs," and, therefore, ineligible for award. Copies of
this publication may be obtained fro<< the Superintendent of
Documents, U.S. Government Printing O�fice, Washington, DC
20a02. The telephone number is (202) 783-3238. The stock number
is 722-002-00000-8.
�a, g5.36 PROCUREMENT.
PROCUREMENT PUBLICITY REOUIREMENT
This clause applies for any procurement of goods or services
(including construction services) which exceeds $500,000.
In accordance with Section 623 of the Treasury, Postal
Service and General Government Appropriations Act of 1993
iP-L. 102-393), the grantee shall, a£ter award of a covered
contract, issue an announcement which:
a. Specifies the amount of Federal funds that was used to
finance the contract; and,
b. Expresses the amount announced pursuant to paragraph a.
as a percentage of the to�a1 costs of the contract.
45. 85.37 SUBGRANTS.
a6. REPORTS, RECORDS RETENTION AND ENFORCEMENT
Final narrative and Standard Farm 269 reports
progress made in achieving the purpose of the gra
documentation of the total funds expended in
activities to achieve this purpose (both Federal
percent match) due 60 days after the end of
per£ormance.
detailing the
nti and adequate
support af the
and in-kind 10
the period of
47. 85.42 RETEN^1IO1�S AND ACCESS REOUIREMENTS FOR RECORDS
48. 85.a3 ENrORCEMENT.
49. 85.44 TERMINATSON FOR CONVENIENCE.
50. SUBPART D- AFTER-THE-GRANT REOUIREMENTS
51. 85.50 CLOSEOUT.
35
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52. 85.51 LATER DISALL•OTAANCES AND ADJUSTMENTS
53. 85.52 COLLECTIOV OF AMOLNTS DL7E
5r. CERTIFICATION PROHIBIIING EXCESSIVE FORCE AGAINST NON-VIOL�'VT
CIVIL RIGHTS DEMONSTRATORS
This certification applies to any arant or cooperative agreement
using funds appropriated under section 103 of the Aousing and
Community Development Act of 197A (�2 U.S.C. 5304).
lhe applicant certifies that it has adopted and is enforcing:
(a) A policy prohibiting the use of excessive fo by 1aw
enforcement agencies within its jurisdiction against any
individuals engaged in non-violent civil rights demonstrations;
and
(b) A policy of enforcing applicable State and local laws
against physically barring entrance to or exit from a facility or
locatior which is the subject o£ such non-violent civil rights
demonstrations within its jurisdiction.
35
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55. ** SPECIP,I, CO! � ITIOA7S CLAISSE
The grantee agrees to comply with the following special
requiremer_ts particular to the Lead Abatement Grant
Program. The Grzntee sha11:
1. Submit in writing, on or before the end of the fifth
month of the grant period, any request to deviate
from NOFA standards and grantee's intent to comply
with the Grant Officer decision.
2. ➢evelop written procedures for all phases of testing
and abate,,:ent that are formally agreed to by HUD and
the grantee, particularly those procedures for which
HUD agrees to a deviation from the HUD Interim
Guidelines or its successor document, and that shall
be adhered to by grantees and other recipien�s of
grant funds, including:
o use oi thresholds for abatement other than
specified in the HUD Interim Guidelines;
o use of post abatement clean-up procedures
that differ from the HUD Interim
Guidelines.
3. Ban the use of open-flame burning, dry scraping, un-
contained abrasive blasting, or machine sanding
without HEPA at�achments as abatement methods at any
time.
a. Observe the procedures for o-�orker protectior_
established by the Federal Occupational Safety and
Health Administration (29 CFR 1910.1025).
5. Dispose of waste resulting f'rom abateme,c in
accordance with the regula�ions Gssociated with the
rES�Ut�� �:�nse�vation ana necovery AcC oi 1976,
administered by the Environmental Protection Agency
(4� CFR parts 260-268)
6. Conduct both pre- and post-abatement dust-wipe test-
ing in all housing units where lead hazards are
abated. Post-abatement test sha11 meet the post-
abatemer_t wipe-test clearance thresnolds contained
in the HUD Interim Guidelines before occupancy sha11
be permitted. In addition, dust-wipe testing sha11
be conducted in each unit one year from the date o`
abatement. A11 wipe testing sha11 be conducted
by an independent accredited laboratory.
37
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7. Test and record blood-lead levels of all children
under the age of six occupying affected units
immediately prior to the abatement or hazard
control. CDC p for testing must be
employed. Children with elevated blood levels
(EBL'S) sha11 be referred for treatment.
8. Cooperate with any federally sponsored or
endorsed monitoring or evaluation efforts done in
conjunction with the Grantee's lead abatement
activities under this program. This includes
collecting data on the relative cost and
e£fectiveness of abatement methods and providing
documentation of all testing, inspection, and
abatement actions.
9. Agree that al1 inspection and abatement work shall
be carried out by the contractor and workers
certified and trained undei a State-accredited
program.
10. Assure that assistance provided under this grant
program will not be used to supplant any other
resources designated for the proposed project.
11. If a grantee operates a loar program with the funds
provided under this grant, any revenue recaptured
from the loan repayments may be retained by the
gr2ntee, and can be used only for lead-�ased paint
abatement or hazard contxol activities.
38
Y �)
� s�
SAINT
PAU L
�
AOAA
C1TY OF SAII�T PAUL
Narm Cofeman, Mayor
7une 29, 1994
SAA7'C PAUL PUBLiC HEALTH
Nea! Rolrm�. M.D., M.P.H., Drrecmr
SSS Gdtv Strett
Sabu Paul, MN SSI07-2260
Office of Izad-Based Paint
Abatement on Poisoning Prevention
Departrnent of Housing and Urban Development
451 Seventh Street South West, Room B-133
Washington, DC 20414
To Whom It May Concem:
9�-J 4��
612-2fl2-T111
Please accept this application for the U.S. Department of Housing and Urban
Development's Lead-Based Paint Hazard Control Grant Program. This application is
being submitted on behalf of the City of Saint Paul, Minnesota. We are requesting
$1,777,000 to subsidize lead hazard reduction activities in priority housing.
At the Saint Paul Department of Public Health and throughout our City agencies, we
recognize the serious implications lead-based paint and contaminated dust and soil aze
having on our children. We have committed staff, funding and other resources
towazds lead ha�ard reduc6on acflvities. We ask, through this application, to be
considered for additional funding to increase our efforts.
If you have additional questions during the application process please contact our
Pro}ect Coordinator, Jim Yannarelly. He can be rea.ched at (612) 292-7771.
Regards,
�.�.���_.,,��
Neal Iioltan, M.D., M.P.H.
Public Health Director
I�I/sa
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APPLICATION FOA
FEDEAf�L ASSISTAWCE
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Saint Pau1 Public Health Center
555 Cedar Street
Saint Paul, NIN 55101
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,u[ws �urtcnn sr ►�oaecY (uN�a. coun�n,. �r�n�. �rc.t
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wm. ,m ewd+�» m,mw a m. v�,o� w a m�,ucw a, m.cw. :+.a..+o
cnu:pyr�cm (prv� an� cod�l
James Yannarelly
(612)292-7771
7. Typ[ pF �YfUCJU(t: l�nt�r approanat� lafbr in Dor1 �
A Sun M. Lwp�naM�� ScMd OiR.
B. Counry �. s,n c��.�n.e wnmc�, a H�o*M �,.�+o
C. Uuniaw� J. Prrvata Unmrrry
0. Yownat�ip K InGun T�ip�
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f. Nqrmuniapd L7 Ratit Orpaninuon
G. So�us1 Oist�KC N. Ott+ar l5peciNl:
1, wwCOf�[DCRALAO[t�cr:
US Department of Housing and Urban
17. DFSCMITiV[ TRLC OF /�D�uC�M'1 ►qOJECi:
Saint Paul Lead Hazard
Reduction Program
City of Saint Paul, Minnesota
Il MOM'S[0 NIO1ECi: I�. CON6RfSEqMI1 DIST711Gf7 O/
Stan Oat� F.rWinp Oata a. App6unt : D. CroNCt
7/15/95 7/15/98 Minnesota 4th Congressional
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_SY�::�
The City of Saint Paul requests $1,777,000 to inifiate primary prevention strategies
throughout the city and to improve and expand the infrastructure for delivery of lead hazard
reduction services to priority housing that was established in Round 1. Approximately 300
Saint Paul households will direcfly benefit from these services and numerous other
households will ind'uecfly benefit from its educational and outreach programs.
An additional $523,000 is provided as matching funds through CDBG funds and in-ldnd
contributions. This brings the total amount of funding available for lead hazard reduction
services to $2.3 million.
Saint Paui proposes the following timeline:
• Grant activity begins within six months of the grant awud;
� Interventions (hazard reduction work) complete within 24 months;
• 12-month follow-up evaluations completed by the 36th month
The Round 1 funding allowed the Cities to hire and train additional staff and develop
program systems and procedures to deliver a more comprehensive lead program.
Contractors and non-profit community-based organizations formed unprecedented alliances to
deliver Swab team services. Round 3 funds wi11 expand fhe data base created during Round
1 and increase the validity of the Round 1 research and evaluation results to permit informed
decisions zegarding allocation of future resources toward lead hazard reduction.
The City of Saint Paul is a city of 270,640 people. The City has 110,249 households with
46% of these being rental properties. Our city has established neighborhoods with
approximately 94% of all homes constructed prior to 1978. Recenfly, our Environmental
Protection Office zeleased an alarming statistic, 91 % of all homes they tested contained lead
based paint.
The Saint Paul Public Health Aepartment has targeted 16 census tracts throughou[ the City.
These areas have the highest numbers of reported elevated blood lead levels in children.
These homes are mostiy rental properties occupied by low income tenants. Saint Faul
intends to focus grimary prevention education, through its public health educators and
neighborhood groups, to increase the awareness of lead poisoning in these homes. Through
our Pubiic Health, Environment Protection and Planning and Economic Development
Departments we intend on direccly effecting over 300 of these proper[ies, by conducting
Swab team activities and partial abatements.
Saint Paul currendy operates a lead paint program from the Department of License Inspection
and Environmental Protection. The Department of Pubiic Health is conducting a major
research grant with round one funding from H.U.D. We have a well trained, dedicated staff
in place. We have a future prognm plan we believe will be very successful if given the
opportunity to cazxy out. But we cannot accomplish this alone. Other cities with
estabiished, on-going programs, seek "Round 3" funding to subsidize existing projects and
implement new ones. Saint Paui has a criticai need for this funding as "seed" money to
merge the two current Saint Paul lead programs and direct us towards our goal of�reating a
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comprehensive Lead Aazard Reduction Program. This successfui program will be able to
expand on the infrastructure cunenfly in place. It will provide needed testing, subsidize lead
hazard reduction work and continue to provide valuable lead education to our citizens who
nced it. As the program becomes more successful we will provide additional documentation
to State I.egislators and City Council members to justify a commitment to additional funding.
This funding will allow the program to continue on towards one of its goals of becoming
more self-sufficient and less reliant on Housing and Urban Development funding.
Saint Paul's Lead Hazard Paint Reduction Program is a very cost effective program. With a
very limited, but very dedicated staff, our program continues to stress primary prevention
and outreach from our Public Health Nurses, and intervention and testing from our
environmental staff.
The City of Saint Paul is seeldng $1,777,000 to subsidize the establishment and
implementation of a two-phase, city wide, Izad Aazard Reduction program. This will be
successful by joining the talents and resources of many city agencies, local labor, lending
insfitudons, non-profit groups and the people of the community, Phase one will center on
primary prevention. This will establish educational programs and an infrastructure of
training and development programs for workers and contractors. Phase two will be a
secondary response program. Our program will build upon what is being learned and
accomplished during round one funding. This will involve further research, refine SWAB
team activities and develop new, creative financing to successfuily treat those homes
contributing to high levels of le2d in children.
Phase one of Saint Paul's Lead Hazard Reduction Program will be the primary prevention
phase. It will center on education and outreach. A major portion of this phase will include
a case study of approximately 170 homes occupied by children with elevated blood levels of
15 - 19 mcg/dL. These homes will have Swab treatments. The families will be instructed
by our Public Aealth Nurses and the child will be monitored to determine how many cases
can be prevented from reaching 20 mcg/dL. (This case study is described in detail. Please
see appendix on page 24-.)
Phase two of Saint Paul's program will be a secondary response program. Children under
the age of six with elevated blood lead levels at 20 mcgldL or above may be enrolled in our
extensive lead hazard reduction project. (This project is also described in Factor 1, Hazard
Control Programs.)
Our future efforts will focus on primary prevention while continuing to address the needs of
those children who have already become poisoned. Resident awareness of lead poisoning in
Saint Paul is beginning to increase. However, there is still a great deal of misunderstanding
about its cause and prevention.
The development of this comprehensive lead program would allow us to "put in place" a
city-wide lead program that wouid continue after HIJD funding is diminished.
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Applicant Threshold Requirements
a. Pur o�: The application must be for funds to evaluate and reduce lead hazards in
priority housing
- Please See Abstcact, Page 5-
b. IIigible Ap�licants: An applicant must be a state or unit of local govemment that has
an approved Comprehensive Aousing Affordability Strategy (CHAS).
- Please See (CHAS) Page 15 -
c. Matctrin,g Contribution: Each applicant shall provide a matching contribution of at
least ten percent of the requested grant sum.
- Please SeE Factor 3. Matching Contribution Page 12 -
d. Contractor Certification Program Requiremwt: Each applicant must carry out its
hazard control program under an operational state-accredited or federal
certification/training program.
- Please See Factor 2. Applicant Capacity Page 10.3, Section A-
e. Continued Availability of Hazard Reduced Housing to Lower Income Families: Units
in which lead hazards have been treated under this program shall then be occupied by
and continue to be available to low and moderate income residents.
Residences within the census tracts to be targeted in this program have a past history
of being occupied by tenants below the median income level. As part of our loan
program we will have property owners sign a letter of intent to continue to allow the
property to be occupiecl by low and moderate income residents.
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.
The City of Saint Paul has a past history of worldng in cooperation with other .
Federal, State and Local agencies. It is our intent to be fle�cible and cooperative with
HUD in establishing the method they choose to research or evaluate this project.
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RA7fNG FACTORS AND SCOR{NG
There aze four technical rating factors totalling 110 points and a Bonus category worth up to
10 points as an incentive to promote the purposes of Tide X:
i. Strategy ...................
2. Applicant Capacity and Commitment to Hazazd Control
3. Matching Contribution
�
.................................SQ points
................40 points
..:.....................10 points
4. Community and Private Sectot Participation ............................................................10 points
5 . Bonus Points .............................................................................................................. points
Wi[hin the grant resources availabie, HUD intends to fund the highest rated appiications, but
reserves the right to fund other eligible applicants to ensure that available funds aze used effec-
tively to promote the purposes of Title X.
Responses to �actors for Award
Please provide all the information requested for each factor in the space provided following
each page using the guidance given in the CHECKLIST on page 2. If more space is needed,
attach additional sheets following tha[ appropriate Factor. Each Factor should begin on the
numbered page listed below.
1. Strategy ...................................................................................................................................
2. Applicant Capacity and Commitment to Hazazd Control ....................................................10
3. Matching Con[ributions ........................................................................................................
4. Community and Private Sector Participation .......................................................................13
5 . Bonus ....................................................................................................................................
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FACTOR 1: Strategy
A. Hazard Control Program
•
❑
Control Methods and levels of treatment:
Saint Paul will continue to prioritize and respond to the needs of:
those chiidren under six years old who have blood lead levels at or
above 20 mcg/di;
chiidren whose biood lead levels remain in the range of 15-19 mcg/dl
for a period of 90 days after inifial idenflficafion; and,
pregnant women whose blood lead levels are at or above 10 mcg/dl
State Statute requires local boards of health to conduct an assessment of a
residence within 5-10 working days of receiving notice that the above criteria
have been met. Licensed lead inspectors will use XRF testis�g, dust wipe and
paint chip sampling to identify potential sources of lead exposure.
Based on standards established by the commissioner of health, the local board
of health must order a property owner to abate lead hazards that exceed the
standards. Hazards include:
• deteriorat-ing-ed lead hased paint,
• lead-based paint on fricdon, impact, and chewable surfaces,
• lead-based paint that is on surfaces accessible to chiidren under six
years old; and
• lead-contaminaterl bare soil and drinldng water.
Swab teams will perform an initial cleaning of the lead dust and loose paint
chips in the home. Carpets may be permanentty removed, with the permission
of the property owner. Licensed lead abatement contractors will follow 5wab
team activity within 2-4 weeks to replace windows, doors and other building
components as recommended by the inspector. Licensed lead abatement
coniractors will aiso perform structurat repairs necessary to prevent further
deterioration of lead-based paint.
Occupants will not be allowed in the residence during hazard reduction
Contractors must provide workers with appropriate personal protective
equipment specific to their task, including dust impermeable coveralls,
face respirators with HEPA filters, show coverings and vinyl gioves.
work.
half-
Workers must at all times, implement work containment strategies that prevent
cross-contamination of surfaces or migntion of lead dust.
Our approach
action. This
child.
as to the use of these treatments will be one of two courses of
action will be determined by the elevated blood lead level of the
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Children with elevated blood lead levels of 15 mcg/dl will be asked to
participate in a preventative research project. This project is described in
detail under Appendix N"Case Study". It will invoive SWAB team treatment
only and emphasize education and outreach.
Children with elevated blood lead levels of over 20 may possibly be enrolled
in our secondary response phase. This may invoive the more aggressive lead
hazard reduction acflvities.
2. Financing mechanisms:
The City of Saint Paul through its Department of Planning and Economic
Development (PED) intends on implementing a 50-25-25 funding program to
finance lead hazard reduction projects. Property owners who become enrolled
in this "round 3" project may be able to participate. If their properties and its
occupants meet program guidelines they will be eligible to receive a grant of
up to 75 percent of the cost of ttte lead hazazd reduction work. H.U.D.
funding would provide 50 percent of the project. The city would provide 25
percent and the property owner would be responsible for 25 percent of the cost
of the project. The Saint Paul Lead Aazard Reduction program will use a total
of $926,250 to directly subsidize this work. H.U.D. funding would provide
$617,500 of this amount and the Department of planning and economic
Development would contribute grants worth $308,750 over the two years.
Our estimates for this funding are based on our average lead hazard reduction
cost of $9,500 per unit. The H.U.D. contribution would be a maximum of
$4,750 per unit (SO%). P.E.D. would contribute a m�imum of $2,375 (25%)
and the property owner would be responsibie for the additional $2,375 (25%).
If a project exceeds the average of $9,500. T'he H.U.D. ma�cimum grant will
not exceed $5,525, which is 10 percent above estimated average cost. The
additional funding wili be addressed through agreements between, the property
owner, P.E.D. and other lending institutions. The Department of Planning
and Economic Development will determine the eligibility guidelines for the
program and be responsible for the administration of the subsidies. This
newly implemented financing mechanism wouid dramatically increase the
number of homes with lead hazard reduction activity and assume completion of
this activity because of realistic financing.
3. Temporary Relocation:
The City of Saint Paul currenfly has agreements with local motels and
neighborhood groups to provide temporary altemative housing during lead
hazard reduction activities at a substantially reduced rate. We have received a
Lead Safe Housing Grant of $25,000 from the State of Minnesota. This
money will be used in our "Round One" research project to develop a more
permanent "safe house" for families that aze dispiaced by lead hazard
reduction activities.
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As part of our "Round 3" funding, Saint Paul wishes to establish a relocation
program that would eliminate the cuaent concems over transportation and
coordinating the relocation effart. Saint Paul would distribute a one year grant
of $42,100 to the city affiliated "House Calls" program.
House Calls: As part of this grant agreement, house calls will provide:
• Transportation during uutial XRF Survey and assessment of the home.
• Transportation during "first Strike" SWAB Team activity.
• Transportation to motel, residences of family or friends, or designated
program safe house during lead hazazd reduction work.
• Our program estimates "House Calls" will spend appro�cimately $3,800
to lease, insure and operate an appropriate vehicle for this program.
• The "house calls" program will negotiate motel rates and lease
agreements of apartments used as temporary safe housing for the
program. "House Calls" will be responsible for reimbursement for the
use of these motels and leased apartments.
• Our program estimates are that appro�cimately $16,800 will be spent by
"House Cails" on "Safe-housing" rents.
• "House Cails" will also be responsible for establishing an incentive
program for children and their families involved in the program.
"House Calls" experience and involvement with family oriented
programs will allow them to provide ways in which children can be a
part of new experiences. Some of the suggested accivities aze, tickets
to amusement parks, zoos, baseball games, movies, and to our many
museums.
Eleven months from the agreement date with "House Calls" staff will conduct
an evaluation of the relocation piogram. The information obtained from the
evaluation will determine the success of the relocation program and the cost
effectiveness of the grant awarded to Iiousecalls. Program staff will determine
whether to extend the "House Calls" program grant for the additional one year
at $42,100 or seek an altemative relocation program. Saint Paul will provide
to I3.U.D. The results of our one year evaluation of the relocadon program.
If an alternative relocation program is to be established, we will notify H.U.D.
of our intent prior to using the $42,100 designated for relocation efforts.
Please see Appendix A and B for further information.
4. Focus on Priority Housing:
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The Saint Paul Lead Program will focus on households in priority housing
with children under the age of six (� years.
Achievements and Difficulties of Round 1:
Saint Paul is working closely with other grantees to:
• Define the activities of Swab teams and develop work specifications.
� Tncrease staff capacity of local boards of health and HRA's to improve
lead hazard reduction services.
• Foster links between private sector for-profit and non-profit groups to
make Swab teams available for the project.
• I.egislative: establish training and certification requirements and
licensing procedures for lead abatement contractors and lead inspectors.
•establish rules for waste management
•establish rules for acceptable and prohibited abatement methods.
Minnesota continues to examine and assess the State lead law. Recent
revisions in State Statute bring the definition of abatement cioser to that
of Tifle X. Current discussions among housing finance and health
professionals and members of the construction industry revolve around
the distinction between abatement and housing rehab.
• Participate in discussions between housing, health and government
professionals regarding the difference between abatement and rehab;
determine the requirements of each and the extent of responsibility of
the respective coniractors and a means of enforcing both.
• Conduct extensive mazket inquiry on the availability of contractor
liability insurance for interim control measures and partial abatement.
As a result of these efforts, the State legislature recognized the need for
additional research of liability and insurance issues and mandated the
Minneso[a Joint Underwriters Association (NA), a statewide insurance
resource for professions that aze [hard to insure] (such as foster caze
homes and housing inspectors), to examine the possibility of inciuding
coverage for lead liability. The NA is to report to the legislature in
7anuary 1995.
The Round 1 project encountered and examined obstacles stemming from the
issue of liability: 1) the lack of interim control liability insurance for Swab
teams and contractors, and 2) subsequent risk to the cities.
The fust issue involves the market (un)availability of affordable insurance for
Swab teams. Insurance underwriters declined to provide Swab team coverage
because the work would be performed by inexperienced workers. They
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questioned whether the workers would acquire the proficiency necessary to
successfully complete the tasks simply by attending the required training. At
that time, State Statute required Swab team workers to be trained and certified,
but not licensed. In order to insure adequate supervision of Swab team
workers and to preserve the intent of Section 3, licensed lead abatement
contractors were required to create links with local non-profits that already had
or were interested in developing Swab teams.
The search for Swab team insurance revealed that contractor liability insurance
for interim control measures and in-place management is all but non-existent.
The City Risk Managers were initially concemed that, because the City would
be contracting duectly with a licensed lead abatement contractor, the City
wouid be exposed to added liability and increased claim settlements. The City
of Saint Paul worked with the Minnesota Housing Finance Agency who
coordinated with the Minnesota Department of Administration, Risk
Management Division, along with considerable assistance from the National
Center for Izad-Safe Housing, to contact the leading underwriters in the
country to negotiate an Owner Control Insurance Policy that the State would
purchase on behalf of the entire project. Such a policy could not be
negotiated. During this nine month process, the City Risk Managers became
more familiar with the degree of testing and monitoring associated with the
project and gave their approval to proceed with the project without an Owner
Control Insurance Policy.
B. Community Education and Blood L.ead Testing:
Saint Paul Public Health welcomes any opportunity it has been given to provide information
about lead poisoning. Saint Paul targets lead presentations to families with pre-school
children and health care providers who serve young children. We have lectured and shown
slide presentations on Childhood Lead Poisoning to numerous Farly Childhood Family
Education sites, through the Saint Paul_Schools Transition Project and Head Start. This
program discusses what lead poisoning is, who is at risk, lead hazards and what can be done
to prevent lead poisoning. We have worked with the Saint Paul Schools in helping them to
develop summer school curriculum focused on lead poisoning prevention. Materials were
provided on sources of lead, what lead poisoning is and facts about lead poisoning. We have
served in a consultation capacity to the Saint Paul Science Museum in the development of
their Greenstreet Display, which discusses lead hazards. Lead education has been provided
to numerous staff inembers from local clinics (MD's, nurses and lab personnei). We have
consulted with various health departments throughout the United States and share teaching
materials, protocols and strategies. We have had several oppor[unities to have booths at
Neighborhood Fairs. We bring lead information with us, serve as a resource to answer
questions and teach, provide resources on legal consultation, housing, housing code
enforcement, lead testing and lead abatement contractors. We have a"Touch and Feel" box
with sealed in plastic examples of articles which may have lead. We have worked in support
of two Neighborhood organizadons: Frogtown Action Alliance and Upper Swede Hollow
Neighborhood Association. These two organizations went door to door in their neighborhood
and leafleted the area with informadon about lead poisoning. Saint Paul Public Health
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offered lead screening for these neighborhoods on several occasions. Again, information was
available at these sites. Saint Paul Public Health always attempu to be cultuzally sensi$ve.
We have always provided information in multi languages.(Appendix C) Many of our staff
are from minority cultures, and can speak the language. Saint Paul Public Health has
worked with the Minnesota Health Department in support of a media blitz about lead
poisoning. The Environmental Protection Agency and National Safety Councii had one week
of public service announcements on national T.V. Local news releases were sent out to azea
news agencies about lead poisoning. Posters about lead poisoning were placed on bus stops,
sides of buses, and in various public places. Saint Paul Public Health was given as a referral
for additional information. Our office answers numerous calls from the public on soutces of
lead, paint chip analysis, abatement, lead poisoning, blood lead testing and water issues.
Fach time we receive information that a chIld has had an elevated blood lead at even low
levels of 10 mcg/dL we send out information on sources of lead, facts about lead poisoning
and what lead poisoning is. It is our hope that if we intervene early, we can prevent further
lead poisoning. Saint Paul Public Health has done lead screening for the Saint paul Schools
for preschoolers with developmental delays. Once again, information about lead poisoning is
provided.
Saint Paul Public I3ealth has been conducting micro lead screening at various WIC (Women,
Infant and Child) sites. Cunendy we are doing micro lead screening at the Saint Paul Public
Health Department (downtown) and several WIC and neighborhood sites throughout the Ciry.
Abnormal micro leads aze followed up by contacting the family for a repeat venous blood
test which can be done at Saint Paul Public Health's laboratory or at the family's private
physician. Blood lead results are sent to the physician when abnormal or upon request. If
the physician is doing the follow-up of those children with leads 15 mcg/dL and above, we
maintain contact with that clinic and do case management. When a venous lead is 10-14
mcg/dL, information about lead poisoning is sent to the family. If a venous lead is reported
to us in the 15-19 mcg/dl range, personal contact with the family is made. Teaching is done
either over the phone or at a home visit. An epidemiological questionnaire is completed at
this time. Case management and tracking is initiated at this level. Written information is
given to the family in their primary language on lead poisoning, sources and prevention.
When lead levels persist more than 90 days, an environmental inspection is done. At a 20
mcg/dl level and above, a home visit is made by a public health Nurse (and Bilingual Health
Education Assistant when appropriate) to do teaching, and provide written information which
is language and reading level sensitive. In the past, Saint Paui Licensing, Inspection and
Environmental Protection has performed environmental inspections. Paint chip analysis and
dust samples are taken from the home and analyzed for lead. The property owners aze
alerted of lead hazards, and orders to abate lead sources are given. Orders to cover baze soil
are cited when appropriate, since we have determined that most soil in the urban azea is
contaminated with lead above our state standard. Property owners are given one month to
make interior repairs. Exterior environments are timed according to the prevailing season.
Property owners are granted the right to appear before a Board of Appeals if they aze unable
to make repairs. Failure to comply with abatement orders can lead to ticketing and
eventually condemnation of the property.
We believe we have a very strong lead educadon program in place. We aze cutrenfly
overwhelmed with our case load, with no evidence of additional City funding available. We
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intend to use this grant to hire an additional Pubfic Aealffi Nurse to continue our outreach
work. This would allow us to reach those additional families who need our help.
C. Management and Budget Plan:
The City of Saint Paul intends on using the H.U.D. grant funds in a responsible and
cost effective manner. Please see pages 24 - Appendices D, E and F for complete
documentation on the use of funding from this grant.
• Appendix D is a spreadsheet which depicts the year-by-year budget by major
cost elemenu for the total grant.
• Appendix E includes individual year by year budgets.
• Appendix F is the Sources and Uses of Funds Di�gram which depicu both the
H.U.D. grant and our local matching contributions.
D. The Identification, Inspection, and Testing of Priority Housing:
The Ciry of Saint Paul has conducted a research project to track past cases of elevated
blood lead levels in children. The enclosed map (Appendix 6) displays, by census
tract, those azeas which have the greatest numbers of reported elevated blood lead
levels in children. We will continue to update this map to identify census tracts
where our efforts should be directed. T'hrough information from our WIC clinics,
satellite clinics and referrals from private clinics we will identify priority housing by
those dwellings occupied by children, under the age of six, with elevated blood lead
levels at 15 mcgldl or above.
� Housing with children with elevated blood levels above 20 mcg/dl will have
their houses inspected by city staff. Interviews and a complete assessment will
be conducted. Additional hazard controi activities will be completed as
warranted by the assessment.
• Housing with children with elevated blood levels of 15-20 mcgldl will receive
preventive Swab team treatment described under control methods and levels of
treatment. These children and their residence will be enrolled in our case
study.
Priority for treatment of these homes will be given to households throughout
the city having children with elevated blood levels and occupied by tenanu
with incomes at or below 80% of inedium income.
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FACTOR 2: Applicant Capacity and Commitment to Hazard Control
Introduction:
The City of Saint Paul Lead Hazard Reduction Program will be a joint effort of several city
agencies. The program will be implemented by Saint Paul Public Health and License
Inspection and Environmental Protection.
Saint Paul Public Aealth will be responsible foi education, screening, lab analysis and
management of cases enrolled in our programs. Department of license, Inspection and
Environmental Protection will conduct XRF testing, surveying and assessments of properties.
They will issue orders, will monitor and do environmental follow-up testing.
Department of Planning and Economic Development will process and coordinate grant
funding to be used to subsidize lead hazard reducrion work.
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Project Manager - Gary 7. Pechmann R.S.M.A.
Saint Paul's Project Manager will be Gary J. Pechmann. Mr. Pechmann is a
Registered Sanitarian/Environmental Health Specialist in the State of Minnesota. He
hoids a BA degree from the University of Minnesota in Zoology and a Masters of
Arts from Hamline University in Public Administration. He is also a licensed Lead
Inspector in the State of Minnesota.
Mr. Pechmann is an Environmentai Health program Supervisoz in the Environmental
health Section, in the Office of Licensing, Inspection and Environmental Protection
(LIEP). Mr. Pechmann's involvement with Childhood Lead Poisoning Prevention and
I.ead Hazard Abatement dates back to 1974. Mr. Pechmann was the Project
Coordinator of Saint Paul's Chiidhood Lead Poisoning Prevention Program funded by
a Federal Grant from DHEW during the years of 1974-1977. He was Saint Paul's
lead person in State meetings to obtain funding for the cunent "Round One” - Lead
Hazard Reduction Research activity.
Mr. Pechmann's responsibilities have included managing the Food Inspection
Program, the Environmental Monitoring Program, Acting Director of Environmental
health for two years and Assistant Health Administration Manager for the Saint Paul
Division of Public Health. The total budgets for the programs managed by Mr.
Pechmann have ranged from $200,000 to $1.6 Million.
The Project Manager will be staffed at .25 F.T.E. (not funded by the grant).
Staff
• Project Coordinator - 7ames Yannarelly
Mr. Yannazelly is an Environmental Aealth inspector Supervisor. He will
devote 100% of his time to is grant and lead related activities. Ae is a State
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certified lead inspector and is currenfly implementing our "Round One" Lead
Hazard Reduction acrivities. He holds a BA degre� from the University of
Saint Thomas in Secondary Education and Economics. Mr. Yannarelly has
been involved in developing and implementing programs and grants within our
Housing Code Enforcement Programs Section at Saint Paul Public Health for
the past eight years.
The Project coordinator will be staffed at 1.0 F.T.E. (Funded by grant)
C.
Additional Project Staff
• Public Heaith Nurses - there will be 1.75 F.T.E. devoted to this project for
interviewing, education and outreach. (1.0 F.T.E. wili be funded by grant)
• Environmental Healih Inspectors - Saint Paul will assign 2.25 F.T.E. to this
project to conduct XRF testing, complete surveys and assess residences. (1.5
F.T.E. will be funded by grant)
� Lab Technician - a.2 F.T.E. in our accredited laboratory will be assigned to
lab analysis for this project. (.2 F.T.E. will be funded by grant)
• Clerk Typist II
F.T.E. will be
1.5 F.T.E. will be designated to staff clerical needs. (1.0
funded by grant)
• Loan Specialist I- The Department of Planning and Economic Development
will assign 1.0 F.T.E. Loan Specialist to process and manage individual grants
and loans for this project. (1.0 F.T.E. will be funded by grant)
Saint Paul also intends to assign additional duties to er.isting personnel that will be
involved in this project. This would include employees in management, purchasing,
personnei, accoun6ng and clerical. No additional funding is sought to subsidize these
costs.
Institutional Capacity
The LIEP Environmental Health Section is involved in all aspects of Environmental
Health. They provide education and inspection regarding Environmental Health.
They enforce State and Local laws and assist individuals seeldng to do business in
Saint Paul.
Environmental Health is composed of four basic piogram areas:
• Food Inspection and Enforcement
• Environmental Monitoring
• Animal and Pest Control
• I.ead Hazard Inspection and Enforcement
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The Lead Hazard Inspection and Enforcement Program is responsible for the
inspection, monitoring and enforcement of lead hazards in dwelling units housing lead
poisoned children. The Program receives the referral of addresses from the medical
program located at Saint Paul Public Health. Upon receiving a referral the unit is
inspected and orders issued for lead hazard correction. Samples consisting of paint
and dust are analyzed for lead content at the Saint Paul Public Health laboratory.
Three individuals employed by Environmental Health are licensed, certified lead
inspectors. This program has received an ever increasing number of referrals in the
pastthree years.
When a lead hazatd is identified, written ordets are issued to the property owner for
abatement. A reasonable time frame is given for correction. Periodic inspections aze
made to determine progress. If the work is not completed in the specified time, the
City can take one of three actions:
• Give an extension of time
• Issue a violation summons to the owner
• Condemn the unit as "Unfit for Human Habitation" - the units will be vacated
and remain vacant until the problem is corrected.
The Environmental Health Section coordinates closely with the Medical Section of the
Childhood Lead Poisoning Program at Saint Paul Public Health. Monthly meefings
are held between the two agencies and joint visits to houses occupied by lead
burdened children are made whenever possible.
Saint Paul Public Health is currently involved in the implementation of the "Round
One" I.ead Hazard Reduction Research project. This research project is closely
related to our intended strategies for this grant project. The "Round 3" funding for
I,ead Based Paint Hazard Control would allow us to continue our work in lead hazard
reduction. Without this funding it appears we will not be able to establish a
comprehensive lead based paint ptogram. We will have the institutional capacity to
implement an excellent program without the funding to "carry it out".
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A. Minnesota has adopted legislation that requires state contractors to be certified
before conducting lead abatement activiries. Saint Paul will require all work
that will be completed in this project to be done by state certified lead
abatement contractors. Copies of State Statutes and regulations pertaining to
lead abatement activities are attached as Appendix K.
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FACTOR 3: Applicants Matching Contribution and Other Resources
The City of Saint Paul will designate $523,000 or 29% of requested funding as additional
resources for this Lead Based Paint Hazard Control Program.
The basic ten percent ($177,000) of the required match to apply for this grant
will be provided by Saint Paul's Department of Planning and Economic
Development. They have committed to provide Federal (CDBG) program
funds for this program.
2a. An additional $131,750 will also be provided to this project from ihe
Department of Planning and Economic Development to subsidize lead hazard
reduction activities to qualified residences.
Planning and Economic Development funds will be used in the 50-25-25 loan
program described under Financing Mechanisms in Factor l.
Please see the letter of explanation and commitment enclosed as Appendix L.
2b. An additional $ 214,250 has been designated as in-kind contributions that will
be dedicated to this program. These contributions are City dollars that will be
spent to provide personnel devoted to this pro}ect but ue not funded with gtant
doliars. They include.
� .25 F.T.E. - Environmental FIealth Specialist (33,280*)
� .'75 F.T.E. - Environmental Health Inspector (73,317*)
• .75 F.T.E. - Public health Nurse (74,631*)
• .5 F.T.E. - Clerk Typist II (33,022*)
*Inciudes total salary and fringe benefits for year one and year two of grant.
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- FACTOR 4: Community and Private Sector Participation
The City of Saint Paul will actively involve neighborhood organizations, non profit groups,
azea businesses and city affiliated agencies in our relocation and educational efforts. This
involvement was described previously in our relocation and community education description.
These groups and our locat communiry action program will also be vital in our
apprenticeship program. Currentiy, the twin cities metropolitan uea is severely lacking in
qualified lead hazard zeduction workers. Lead projecu excced the national average because
qualified contractors have limited competition when bidding lead projects. T'he lead
contractors face higher employee costs because of a limited supply of well trained,
experienced lead hazard workers. Employers incur very high training costs to train less
qualified workers with minimal experience. These employers must then pay these employees
a fair wage to retain them. All of these factors contribute to high project costs when
conducting lead hazard reduction activities.
After reviewing several "Step Up" programs in operation in the midwest, and after the
review of Section 3 of the Housing and Urban Development Act, the City of Saint Paul in
conjunction with a local community action program known as the Ramsey Action Program
(RAP) discussed the implementation of an apprenticeship program. The intent would be to
establish a program that would provide training and education to inner-city, displaced
workers, allowing them to become sldiled lead hazard reduction workers, carpenters and
weatherization workers. In cooperation with Carpenters Locat #7 and the H.U.D. fund'zng,
we hope to establish this program of tremendous potentiai.
The City of Saint Paul would provide a$25,000 grant to the Ramsey Action program to
subsidize the establishment of the RAPICarpenters Apprenticeship program. This funding
would subsidize the administrauon, supervision and instructors for education. With the
assistance of neighborhood block clubs, the program would advertise and recruit candidates
within the guidelines and provide training and education.
Upon the establishment and implementation of the Apprenticeship program, the city will
issue an additional grant of $142,500. This funding wiil subsidize the operation of the
program_ As part of the grant, RAP workers will conduct "First Strike", SWAB team
activities on properties enrolled in the city's lead program with children under the age of six
(6) witii elevated blood levels above 15. Children with EBL's of 15-20 would be enrolled in
a prevention program conducted by our Public Health Nurses. The goai would be to conduct
SWAB Team activities on these homes, provide cleaning and educational information, and
maintain the child's blood level be2ow 20, without additionat 2ead hazard reduction activiries.
Please se Appendices M and N.
Children with EBL's above twenty (20) would be enrolled in the 50-25-25 program discussed
under financing mechanisms.
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