ODH RFP version 12182013

OHIO DEPARTMENT OF HEALTH 246 N. High Street

Columbus, Ohio 43215

REQUEST for PROPOSALS

NOTICE: This Request for Proposal is not an offer or a contract. A Contractor’s written response to this RFP is

a formal offer to ODH to provide the requested services under the terms of the Proposal.

Section 1.0 Request for Proposals (RFP) Details

ODH RFP# DOH-FAM-32985

ODH ADTS 62826

Project Ohio Lead Hazard Control Grant Program Education

and Outreach Program

Purpose of RFP

The Ohio Department of Health (ODH) is seeking

proposals from qualified individuals, agencies or

organizations to perform professional services to

administer and implement an Education and Outreach plan

to increase grant program participation and community

awareness on the dangers of lead-based paint.

Release Date 2/4/2014

Response Due Date

3/7/2014

Proposals received after the Response Due Date will not be

Evaluated.

Program Division of Family, Bureau of Child and Family Health

Services

Is this Project in whole or in part

federally funded and subject to the

Federal Funding Accountability

and Transparency Act (FFATA)?

NO.

Funding Source Federal- OHLHB0561-13

Anticipated Contract Period 3/24/2014 – 6/30/2015

Inquiry Period – Begin Date 2/4/2014

Inquiry Period – End Date 2/28/2014

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1.01 Table of Contents. This RFP consists of the following:

1.0 RFP Details

2.0 RFP Purpose

3.0 Project Background

4.0 Contract Award, Negotiations and Duration

5.0 Mandatory Qualifications of Contractors and Proposals

6.0 Project Scope of Work and Deliverables

7.0. Contractor Proposal, Alternative Proposals, and ODH Addenda

8.0 Format for Proposals in Response to this RFP

9.0 Evaluation of Proposals

10.0 Communication and Protest

11.0 Other Conditions

12.0 Certifications

13.0 ATTACHMENTS

A. Sample Contract

B. IRS Form W-9

C. Vendor Information Form

D. Standard Affirmation and Disclosure Form

E. ATTACHMENT 8.0.3 Scope of Work, Deliverables

F. Ohio Department of Health’s Contractor Federal Funding Accountability

and Transparency Act (FFATA) Reporting Form with Instructions

G. Ohio Department of Health Lead-Based Paint Hazard Control Grant

Application Factor Narrative

H. Department of Housing and Urban Development (HUD) Notice of Funding

Availability for HUD’s Fiscal Year 2013

I. HUD Lead-Based Paint Hazard Control Grant 2013-2016 Target Area

Section 2.0 RFP Purpose. The Ohio Department of Health (ODH) is seeking Proposals from interested

Contractors for the following purpose:

The Ohio Department of Health (ODH) is seeking proposals from qualified individuals, agencies or

organizations to perform professional services to administer and implement an Education and Outreach

plan to increase grant program participation and community awareness on the dangers of lead-based paint.

Services will include, among others, coordination with the Ohio Department of Health and the

development and implementation of education and outreach activities that meet the goals and objectives

of the grant program.

All activities related to this contract will adhere strictly to the U.S. Department of Housing and Urban

Development (HUD) requirements as outlined in the Lead-Based Paint Hazard Control Grant application

for funding (Attachment G) and the Notice of Funding Availability (NOFA) FY2013 (Attachment H).

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Section 3.0 Project Background

ODH is in receipt of federal funds from HUD for the purpose of identifying and remediating lead hazards

in a child’s environment. The scope of the grant program also includes supporting services to control lead

hazards in up to 185 homes throughout a sixteen (16) county target area (Attachment I). The program

also proposes to increase community awareness of the dangers of lead-based paint through the

implementation of education and outreach activities targeted toward the low-income population. A small

portion of the funding will be used to correct other health related hazards in the home. Homes identified

to receive this funding will house occupants who are at greatest risk for asthma-related and respiratory

illness; injuries from slips, trips and falls; electrical hazards; and other life-threatening health hazards.

4.0 Contract Award, Negotiations and Duration

4.0.1 Contingent upon the availability of funds and approval by the Director of Health, ODH anticipates

that multiple contracts will be awarded to perform work during the Anticipated Contract Period. If the

actual contract period includes the ending of one state biennium and the beginning of a new biennium,

ODH may award a contract that terminates on the last day of the current biennium and allows ODH to

unilaterally renew or extend the contract under the same or similar terms for the balance of the contract

period or as otherwise necessary for the vendor to complete the work. The State of Ohio operating

biennium expires June 30th of each odd-numbered calendar year. Upon mutual consent of both parties, a

contract may be extended or renewed past the Anticipated Contract Period, subject to the same terms

and conditions of the awarded contract and subject to any federal and state directives, regulations or laws

relating to the subject matter of this Contract. A Contractor awarded a contract under this RFP will be

required to contract with ODH to perform the work and deliver the deliverables as set forth in a contract

with terms and conditions substantially similar to the sample in ATTACHMENT A. ODH may, but is

not required to, negotiate with the potential successful Contractor regarding the terms and conditions

contained in the Contract. Further, the potential successful Contractor shall negotiate with ODH in good

faith.

4.0.2 A Contractor submitting a proposal in response to this Request for Proposal is required to certify

acceptance of certain contract terms that are required by state law. These terms are nonnegotiable and

include the following:

a. Certifying or attesting that the Contractor does not have an unresolved finding for recovery (R.C.

9.24);

b. Certification of compliance with Executive Order 2011-12K “Governing the Expenditure of Public Funds

for Offshore Services” in the performance of the contract and requiring that no services performed under

the contract will be performed outside of the United States;

c. Certification of compliance with Ohio ethics laws, state and federal antidiscrimination laws, and Drug Free

Workplace requirements;

d. Compliance with the requirement that Contractor has a written affirmative action program for the

employment and effective utilization of economically disadvantaged persons and that Contractor

will comply with state law regarding the filing of a description of the Contractor’s affirmative

action program and the filing of required progress reports on its implementation with the Equal

Employment Opportunity Office of the Ohio Department of Administrative Services, as further

provided in Section 12.0.1;

e. ODH obligations under the contract are subject to R.C. 126.07 and the contract is contingent and

not enforceable unless compensation due under the contract is first certified as available and

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obligated by the director of budget and management as available for that state fiscal year;

f. Acknowledgement and agreement that any individual performing services under the Contract is

not a public employee for purposes of Chapter 145 of the Revised Code; and

g. Certification of compliance with campaign contribution limitations (R.C. 3517.13).

5.0 Mandatory Qualifications of Contractors and Proposals

A Contractor is qualified to submit a Proposal in response to this RFP and a Contractor’s Proposal will be

evaluated provided that the Contractor and the Proposal meets all of the following:

a. The Contractor does not have an unresolved finding for recovery in accordance with R.C. 9.24.

b. The Contractor has an Ohio Department of Administrative Services Equal Opportunity Division

(DAS EOD) approved Affirmative Action plan and that plan is included with the Contractor’s

proposal, or alternatively, the Contractor filed an Affirmative Action plan with DAS EOD, includes

the plan in Contractor’s Proposal, and certifies that Contractor has completed the process for

approval and the plan is pending approval by DAS EOD.

c. Contractor and any proposed subcontractors are not federally debarred, suspended, proposed for

debarment or otherwise excluded from receiving federal contracts. For the purpose of this

requirement, “Contractor” means any individual or other legal entity that:

(i.) Directly or indirectly (e.g., through an affiliate), submits offers for or is awarded, or reasonably

may be expected to submit offers for or be awarded a contract as a result of this RFP; or

(ii) Conducts business, or reasonably may be expected to conduct business, with ODH as an agent or

representative of another contractor.

d. The Proposal is complete, in the specified format, and is either postmarked by the United State

Postal Service by the Response Due Date or is filed at ODH before 5:00 p.m. on the Response

Due Date.

e. The Proposal includes the Contractor’s statement that Contractor has no exceptions to the terms and

conditions contained in the sample contract attached as ATTACHMENT A to this RFP or to any

other term, condition, or attachment to this RFP. If Contractor does take exception to any term or

condition contained in this RFP or any ATTACHMENT, Contractor must provide a written

description of each exception. If Contractor fails to take exception to a term or condition, Contractor

waives objection to that term or condition. Contractor’s exceptions to the terms of the RFP may

result in ODH declaring the Contractor’s Proposal to be incomplete or nonresponsive.

f. The Proposal includes the Contractor’s completed W-9 Form (see ATTACHMENT B), Vendor

Information Form (see ATTACHMENT C), and Standard Affirmation and Disclosure Form (see

ATTACHMENT D).

g. The Contractor has clearly and in good faith marked all information contained in the Proposal that

the Contractor asserts to be confidential or proprietary.

h. Qualified Contractors are individuals, agencies or organizations with experience in developing,

administering and implementing an Education and Outreach plan for a multi-county area.

i. Qualified Contractors must have familiarity with lead poisoning and its health effects.

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j. Qualified Contractors must have previous experience working with a state or local grant program

and have an understanding of affirmative marketing to low income populations and those individuals

with limited English proficiency.

k. Contractors must have previous experience working with local community organizations that serve

the low-income populations

6.0 Project Scope of Work and Deliverables. ODH seeks Proposals from interested Contractors to

perform the following:

a. Implement and perform all activities and duties with the approval of the ODH Ohio Lead Hazard

Control Grant Program Project Director.

b. Develop an education and outreach plan including goals, objectives and activities to meet the

outcomes and performance measures outlined in the grant application document (Attachment G)

and the Notice of Funding Availability document (Attachment H).

1. Plan shall outline an approach to affirmatively market to the low-income population in the

sixteen (16) county target areas (Attachment I).

2. Plan shall address how the Contractor will target individuals with limited English

proficiency.

3. Types of goals, objectives and activities that should be included, but not limited to, in the

Education and Outreach plan:

a. Promote availability of grant funds to low-income participants among community

organizations such as low-income housing providers, head start programs, local

community entitlement programs, and other low-income programs in the target area.

b. Identify and engage community organizations that could benefit from increased

awareness of the dangers of lead-based paint through seminars, workshops or other

education and outreach activities.

c. Provide avenues to deliver training and community awareness activities to the effected

target population such as training workshops, seminars, and pre-existing events where

such information can be presented.

d. Develop and deliver public service announcements in the target area.

e. Develop and distribute education and outreach materials in the target area. Materials

should include information about the dangers of lead-based paint and eligibility

requirements for grant participation.

c. Monitor and track progress in meeting outcomes and performance measures established in the

education and outreach plan and shall report such progress quarterly to the Project Director who

will use the information to assimilate a report to HUD.

d. Assure promotional education and outreach materials include this statement:

“The work that provided the basis of this publication was supported by funding under an award

with the US Department of Housing and Urban Development. The substance and findings of the

work are dedicated to the public. The author and publisher are solely responsible for the accuracy

of the statements and interpretations contained in this publication. Such interpretations do not

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necessarily reflect the views of the Government.”

e. Develop and maintain a lead-safe housing registry to be made available on ODH’s web site.

Properties completed through the grant program shall be updated within thirty (30) days after the

end of each quarter.

f. The Contractor shall provide the following deliverables to ODH:

1. No later than 90 days after the execution of this agreement, an education and outreach plan

as described above in 6 b. for review and comment.

2. No later than 30 days after the last date of each month, prepare a report detailing the

progress of each activity within the Project.

3. No later than 120 days after the execution of this agreement, the lead-safe housing registry

made available on ODH web-site.

4. Quarterly maintenance of lead-safe housing registry.

5. For each activity implemented, the Contract shall report to ODH by the 30th of each month

on the proceeding month’s activities with the following information:

a. Date and location of each education and outreach event (i.e. workshop, seminar or

health fair) conducted.

b. For each education and outreach event conducted the event agenda, materials and

participant attendance and evaluation sheets.

c. Number and type of education and outreach materials distributed in the target area.

d. Number of hours spent on the development and implementation of each activity.

e. Estimated number of individuals impacted by each education and outreach activity

conducted.

g. Correspond on a biweekly basis with ODH by means of biweekly conference calls regarding

assignments and related progress. If the ODH contract manager determines more frequent calls are

needed, contractor shall participate as needed.

7.0 Contractor Proposal, Alternative Proposals and ODH Addenda.

7.0.1 Proposals. All interested Contractors shall submit a Proposal that directly responds to ODH’s

request as specified in Sections 1.0 to 6.0, and ATTACHMENTS to this RFP, as well as all Addenda

that ODH issues after the Release Date and prior to the Response Due Date. Proposals shall be

submitted as an original document plus three complete paper copies and a Microsoft Word electronic

version. Proposals shall be in the format provided in Section 8.0 of this RFP with each subsection

separated by tabbed and labeled dividers. No FAX proposals will be accepted. Proposals may be mailed

or delivered to:

Ohio Department of Health Office of Financial Affairs

Attention: Paul Maragos

246 North High Street, 4th Floor

Columbus, Ohio 43215

Questions are to be submitted using the Ohio Department of Administrative Services (DAS) website

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where the RFP is located. All questions must be submitted no later than 56 hours prior to the Response

Due Date. Answers to the questions will be posted to the DAS website:

http://procure.ohio.gov/proc/searchProcOpps.asp by “DATE”. In order to submit and see responses to

questions, you need to search for the procurement number for this item, which is “RFP ID NUMBER”.

Telephone inquiries will not be accepted.

7.0.2 Alternative Proposals. If a Contractor desires to submit an alternative proposal that achieves the

purpose and scope of ODH’s request, the Contractor must concurrently submit a proposal that is directly

responsive to the specifications contained in this RFP, including performance of Section 6.0 Project

Scope of Work and Deliverable. A Contractor submitting an alternative proposal clearly shall identify

and quantify any advantages of the alternative Proposal in terms of efficiencies, savings, quality or

quantity as compared to ODH’s RFP. Additionally, the alternative Proposal shall explicitly identify any

deviations from Section 6.0 Project Scope of Work and Deliverables and any other proposed deviation

from the terms and conditions contained in this RFP.

7.0.3 ODH Addenda. ODH may elect to amend this RFP at any time, including extending the Response

Due Date.

a. If ODH revises this RFP after the Release Date, but prior to the Response Due Date, revisions will

be announced on the Ohio Gateway Website. ODH will not issue any Addenda in the time period

between 5:00 p.m. on the day before the Response Due Date and the 5:00 p.m. deadline for

submission of Proposals on the Response Due Date. It is the responsibility of each interested

Contractor to check the Ohio Gateway Website for announcements or addenda related to this

RFP.

b. If ODH revises this RFP after the Response Due Date, ODH will distribute addenda only to those

Contractors that submitted a complete and responsive Proposal. If ODH issues addenda after the

Response Due Date, a Contractor that submitted a Proposal may elect to withdraw it, provided

that the Contractor files a written withdrawal with ODH within 10 days of ODH’s distribution of

the addenda.

c. If ODH receives an alternative Proposal in response to this RFP, ODH may either elect to accept

the alternative proposal without amending this RFP or allow Contractors that submitted a

complete and responsive proposal to modify their respective proposals to address ODH’s issued

addenda. Responses to ODH addenda must be in writing and must be submitted in the same

manner and format as required for the submission of the original Proposal. ODH will disregard

any other modifications or additions to the Contractor’s initial Proposal except as the changes are

responsive to and within the nature and scope of ODH’s issued addenda. Additionally, ODH may

elect to treat the Contractor’s modified Proposal as a withdrawal of the Contractor’s original

Proposal if the modified Proposal contains changes to the original Proposal that exceed the nature

and scope of changes necessary to respond to ODH’s issued addenda.

8.0 Format for Proposals in Response to this RFP. A Proposal must be formatted in accordance with

this Section and contain all information specified in Sections 7.0.1 to 7.0.3 of this RFP.

Remainder of Page Intentionally Blank.

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8.0.1 A Proposal Cover Sheet. The Proposal Cover Sheet must identify the following:

8.0.2 Table of Contents. The Proposal must contain a Table of Contents that incude page references to

each section of the RFP.

8.0.3 Format and Content of Proposal. A Contractor’s Proposal must address all items provided in

Section 6.0 Project Scope of Work and Deliverables. Failure to sufficiently address each item may

result in ODH’s determination that the Proposal does not provide sufficient detail to adequately evaluate

the Proposal and is, therefore, incomplete and nonresponsive. If the Proposal contains elements that

exceed the requirements of the RFP, the Proposal should state the degree to which the requirement will be

exceeded and how this will be accomplished. Proposals should be prepared simply and economically,

providing a straightforward, concise, and complete description of the Contractor's proposal and

capabilities to perform the contract. Emphasis should be on completeness, specificity, and clarity of

content. Additionally, all proposals must include a separate ATTACHMENT 8.0.3 that concisely sets

forth the Contractor’s proposed Scope of Work, Deliverables with a fixed cost to be charged, if any, and

the proposed date that the Deliverable will be provided to ODH. The Proposal must address the

following:

a.

Project Narrative.

ODH RFP #

Project Title

Total Cost of Proposal $

CONTRACTOR NAME

Address

Address

Name and Title of Authorized Representative

or Designated Contact Person

Telephone

Fax Number or Email to receive ODH

written communications

Federal Tax Identification Number

DUNS Number

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i. Identification of the objectives, strategies, methodology, services and deliverables that Contractor

proposes to provide.

ii. Use of evidence based practices, if applicable.

iii. Timeline for completion of services and deliverables.

iv. Specific Price to be charged for each service and deliverable.

v. Identification of how Contractor will evaluate the quality of proposed services and deliverables.

vi. Identification and description of any proposed subcontractors. Contractor may not subcontract

any work or services of the type described in Section 6.0 Project Scope of Work and

Deliverables without ODH prior written approval.

b. Contractor’s Profile.

i. Description of the Contractor’s experience and expertise conducting similar projects and the capacity to

perform the work and deliverables. The description must include how the Contractor meets the

qualifications specified in Section in 5.0 of this RFP.

ii. Identification and qualifications of key project personnel and their responsibilities to the

project. Include resumes.

iii. A list of three (3) references (with telephone numbers) that are not ODH employees, for whom

Contractor has performed similar services and deliverables. ODH may, but is under no

obligation to, contact the references.

iv. A description of the bidder’s Affirmative Action activities and program.

v. At least one sample of a project final report as a writing sample.

vi. Documentation of Contractor’s financial soundness and financial capability to perform the

work and deliverables without advance payment.

c. Project Implementation.

i. Clearly identify and discuss with specificity how Contractor will perform all of the

requirements specific to this project, including each item under Section 5.0, Project Scope of

Work and Deliverables. Each proposal should provide the Section and paragraph number of

the RFP when providing a response to that item.

ii. A description of the location and principal office from which the work is to be performed.

iii. Identification of the amount of time that lead and key project personnel will be expected to

work on the project.

iv. A description of contingency plans for completing the project, should the lead or key project

personnel become unavailable for any reason.

v. Identification of any anticipated difficulties in meeting the project specifications and a

description of proposed solutions to these difficulties.

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d. Cost.

The Proposal must specify a fixed price for the completion of work or deliverables or completion of a

discrete portion of a deliverable or work specified in Section 6.0 Project Scope of Work and

Deliverables. The Proposal must delineate those deliverables that Contractor proposes as a

compensation point and the amount of compensation that Contractor proposes for each deliverable.

The proposed compensation must have a rational relation to the amount of work involved in

completing the deliverable. The proposed cost must include all other costs associated with performing

the work, including travel, shipping, overhead, etc. ODH will not separately compensate Contractor

for these items. The Proposal must include a separate ATTACHMENT 8.0.3 which concisely sets

forth the information contained in this Section 8.0.3(d), including Contractor’s proposed Scope of

Work, Deliverables with a fixed cost to be charged, if any, and the proposed date that the Deliverable

will be provided to ODH.

9.0 Evaluation of Proposals. Proposals submitted by Contractors that do not meet Section 5.0

Mandatory Qualifications of Contractors and Proposals will not be evaluated. ODH may determine

that a Proposal lacking completeness, specificity or clarity of content may be deemed nonresponsive and,

therefore, will not be evaluated.

9.0.1 Review. ODH first will evaluate each Proposal to determine whether it meets the prerequisite

requirements for evaluation i.e. the Proposal is not deemed nonresponsive and meets the requirements

contained in Section 5.0 Mandatory Qualifications of Contractors and Proposals. Proposals which

ODH deem nonresponsive or which do not meet the requirements of Section 5.0 may not be evaluated.

The remaining proposals will be evaluated, scored, and ranked by a committee of selected staff.

Proposals will be evaluated on the following criteria with the maximum points available for each as

follows:

TECHNICAL REVIEW Weight

x

Rating

(0-5) =

Technical Score

(Maximum Total =500)

Contractor’s experience in developing and

implementing a multi-county education and

outreach plan; experience with organizations

serving low income population.

30

Contractor’s proposal is complete and demonstrates

an understanding of the proposed project. 20

Quality of technical proposal and contractor’s

ability to meet the requirements of the scope of

work and deliverables.

30

Contractor has demonstrated sufficient and qualified

staff to administer this project. 20

Total Weight 100 Total

Technical Score

If Proposal is ranked as Lowest Total Cost , ADD 10 pts.

Total Score of Contractor’s Proposal

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9.0.2 Proposal Evaluation Methodology and Recommendation.

a. Rating. The Evaluation Committee will assign a numerical rating to each section in the above

table based upon a review of that Contractor’s Proposal. The ratings are to be awarded as follows:

0 Points Does Not Meet Proposal does not comply with the requirements.

1 Point Weak Response does not substantially meet the requirements.

2 Points Moderate Proposal meets most of the requirements, but is weak in some areas.

3 Points Meets Proposal exceeds requirement.

4 Points Strong Proposal substantially exceeds requirements.

5 Points Greatly Exceeds Proposal significantly exceeds requirements.

b. Computing Scores. ODH will score Proposals that meet the prerequisite requirements contained

in the RFP and are deemed responsive. The Evaluation Committee will evaluate each Proposal

and award up to the maximum amount specified for each criterion. A Proposal must receive a

Total Technical Score of at least 300 points (60 percent of the Maximum Total Technical Score

of 500) in order for ODH to consider awarding a contract for that Proposal. Proposals that first

receive a score of at least 60 percent then will be ranked in order of lowest to highest total cost.

The Proposal ranked as having the Lowest Total Cost will be awarded an additional 10 points.

Lowest Total Cost points only will be awarded to a Proposal with the Lowest Total Cost.

c. Recommendation. The Review Committee evaluating the Proposals will recommend to the

Director of Health the award of a contract based upon the Proposal’s review score and whether

awarding a contract will result in obtaining the best value and advantage to ODH. The Director’s

award of a contract as a result of this RFP is final and is not appealable.

d. Clarifications & Corrections. During the evaluation process, ODH may request clarifications

from any potential Bidder under active consideration and may give any Bidder the opportunity to

correct defects in its Proposal if ODH believes doing so does not result in an unfair advantage for

the Bidder and it is in ODH’s best interests. Any clarification response that is broader in scope

than what ODH has requested may result in the Bidder’s proposal being disqualified.

10.0 Communication and Protest.

10.0.1 Communication Prior to the Response Due Date. From the Release Date of this RFP until the

date of a contract award, there shall be no communications concerning this RFP between any Contractor

who may ultimately submit a Proposal and any employee of ODH involved in the issuing of the RFP, or

any other state employee who is in any way involved in the ODH project, except as follows:

a. An ODH employee may send communications to potential Contractors with a link to ODH’s RFP

announcement after the Release Date to encourage a diversity of Contractors to submit a

Proposal. If ODH is concerned that no Contractors will submit proposals for a certain aspect of

the work or for a discrete location in the case of multiple contract awards, ODH should issue

addenda in accordance with Section 7.0.3 of this RFP and communication should be limited to the

announcement of addenda.

b. Interested Contractors may submit written questions in accordance with Section 7.0.1 of this RFP,

and, if required, may communicate at a Contractor interview. If a Contractor believes that there is

a conflict, error, omission or other discrepancy in the RFP, the Contractor may submit to ODH a

written request for interpretation. Questions can be submitted using the Ohio Department of

Administrative Services (DAS) website where the RFP is located. All questions must be

submitted no later than 56 hours prior to the Response Due Date. ODH will post any responses to

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the DAS website: http://procure.ohio.gov/proc/searchProcOpps.asp . Contractors should search

the website by using the ODH RFP# specified in Section 1.0 of this RFP in order to submit

questions and see ODH responses. Telephone inquiries will not be accepted.

10.0.2 Protest Procedure. Any person may object to ODH’s award of a contract or any matter relating to

the solicitation of this RFP by filing a protest in accordance with the following: the protest shall be in

writing and shall contain the following information: the name, address, and telephone number of the

protestor; the name and number of the RFP being protested; a detailed statement of the legal and factual

grounds for the protest, including copies of any relevant documents; a request for a ruling by ODH; a

statement as to the form of relief requested from ODH; and any other information the protestor believes to

be essential to the determination of the factual and legal questions at issue in the written protest. A

protest shall be considered timely by ODH, if ODH’s Office of General Counsel received it, within the

following periods:

a. A protest based upon alleged improprieties in the issuance of the RFP or any other event

preceding the closing date for receipt of proposals which are apparent or should be apparent prior

to the closing date for receipt of proposals shall be filed no later than 5:00 p.m. on the Response

Due Date.

b. If the protest relates to the announced intent to award a contract, the protest shall be filed no later

than 3:00 pm of the tenth (10th) business day after the announcement of intent to award.

c. An untimely protest may be considered by ODH if ODH determines that the protest raises issues

significant to ODH’s procurement system. An untimely protest is one received by ODH’s Office

of General Counsel after the time period set forth in paragraphs a. and b. of this Section.

d. All protests must be filed with the following:

Chief Legal Counsel

Ohio Department of Health

246 North High Street, 7th floor

Columbus, Ohio 43215

When a timely protest is filed, ODH will not award the contract until a decision on the protest is issued or

the matter is otherwise resolved, except where ODH determines that a delay will severely disadvantage

ODH. ODH will notify all Contractors that have received a notice of contract award about the filing of a

timely protest. ODH will issue a written decision on any unresolved timely protest and shall notify any

Bidder who filed an untimely protest as to whether or not the protest will be considered.

11.0 Other Conditions.

11.0.1 ODH is not under any obligation to pay any costs associated with the preparation of a Proposal in

response to this RFP. Proposals may not include any amounts attributable to its preparation.

11.0.2 ODH at any time may determine that award of a contract is not in the best interest of ODH and

may reject, cancel, or re-issue this RFP in whole or in part, any proposals submitted in response to

this RFP. A Contractor may withdraw a Proposal submitted in response to this RFP at any time

prior to the award of the contract.

11.0.3 ODH reserves the right to waive minor defects in a Proposal. ODH additionally may provide

Contractor(s) with the opportunity to correct material defects only when no other Contractors have

submitted Proposals for that discrete aspect of the work or for a specified location and provided

and that the other Contractors that submitted Proposals will not be competitively disadvantaged or

otherwise prejudiced.

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11.0.4 All submitted proposals are offers. A selected Contractor may not attempt to renegotiate terms

that are contained in the Contractor’s Proposal.

11.0.5 Pursuant to section 149.43 of the Ohio Revised Code (O.R.C.), all Proposals are public record and

ODH will release upon a public records request after all Proposals are evaluated, in accordance

with R.C. 125.071(C). All Contractors submitting a proposal must in writing, must specifically,

and in good faith, identify the particular information within the Proposal that the Contractor

asserts as proprietary or confidential prior to submitting the Proposal to ODH. ODH will advise

the public records requester of the Contractor’s assertions that the specified information is

proprietary. If there remains a dispute between the person requesting the information and the

Contractor that owns the proprietary or confidential information, ODH will review the information

and advise the both the Contractor and the public records requestor what information ODH will

and will not be releasing in response to the public records request.

11.0.6 ODH may, from time to time as it deems appropriate, communicate specific instructions and

requests to the successful Contractor concerning the performance of the work and deliverables

described in the RFP and the contract. Upon such notice and within ten (10) days after receipt of

instructions, the Contractor shall comply with such instructions and fulfill such requests to the

satisfaction of ODH. It is expressly understood by ODH and the Contractor that these instructions

and requests are for the sole purpose of ensuring satisfactory completion of the work described in

the RFP and/or the contract. They are not intended to amend or alter the RFP and/or contract or

any part thereof.

12.0 Certifications.

12.0.1 Affirmative Action and Equal Employment Opportunity. The Contractor will comply with all

state and federal laws regarding equal employment opportunity, including Ohio Revised Code

Section 125.111 and all related Executive Orders. Contractor may not be awarded a contract or a

contract renewal until Contractor has filed an Affirmative Action Program Verification Form at

the following DAS website:

http://das.ohio.gov/Divisions/EqualOpportunity/AffirmativeActionProgramVerification/tabid/133/

Default.aspx.

Approved Affirmative Action Plans may be found at the DAS Equal Opportunity Department

Web site: http://eodreporting.oit.ohio.gov/searchAffirmativeAction.aspx

A Contractor must either include in any Proposal a copy of Contractor’s DAS-approved

Affirmative Action plans or an attestation that Contractor submitted all required documentation to

DAS for review of Contractor’s Affirmative Action Plan and it is under DAS review.

12.0.2 Executive Order 2011-12K. The Contractor must affirm as a condition of award of a contract that

it has read and understands Executive Order 2011-12K and shall abide by those requirements in the

performance of the resultant contract, and shall perform no services required under that contract

outside of the United States. Contractor must further affirm as a condition of a contract award that

Contractor understands, and agrees to immediately notify ODH of any change or shift in the

location(s) of services performed by Contractor or any subcontractor performing work under the

contract, and no services shall be changed or shifted to a location(s) that are outside of the United

States.

14

Scope of Work, Deliverables ATTACHMENT 8.0.3

*(Provide Due Date and Compensation only if Applicable)

Co

mp

ensa

tio

n*

During the Contract Period, CONTRACTOR will perform the following Work and

provide the following Deliverables on the specified due date and for the following

compensation:

1. Education and Outreach Plan $

2. Monthly Progress Reports $

3. Monthly Activity Reports $

4. Develop a Lead-Safe Housing Registry $

5. Quarterly Registry Updates $

TOTAL $

0

Ohio Department of Health Lead-Based Paint Hazard Control Grant Application Factor Narrative

2/1/2013

1

1. Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience

a. Capacity of the Applicant.

This section is not applicable to the Ohio Department of Health (ODH). The organization is a

FY2010 Department of Housing and Urban Development (HUD) Lead Hazard Control (LHC)

Grantee, grant award number OHLHB0477-10.

b. Relevant Organization Experience.

This section is also not applicable to ODH, as ODH is a current HUD LHC grantee.

c. Capacity and Relevant Organization Experience.

1) Previous LHC Grant Experience. ODH currently administers a LHC grant awarded in

FY2010. The grant was awarded March 1, 2011. With this award, ODH proposed to make 200

units lead-safe. A supplement was requested for healthy homes interventions. ODH maintains

“green” designation with an average score of 96.25.

To date, project efforts have resulted in enrollment of 141 units and assessment of 177 units.

Of these, 105 units have been completed and cleared, 5 short of the overall projected benchmark.

The program has provided lead abatement worker and contractor training to 64 individuals and

lead risk assessor training to 24 individuals, many whom have sought licensure and are

conducting work related to the project.

With healthy homes supplemental funding ODH has conducted radon mitigation on 3

properties. One property in the target area has been made healthy, green and safe by braiding

multiple streams of funding; Community Development Block Grant (CDBG), US Department of

Agriculture rural development, HUD LHC and healthy homes funds were invested. The property

received lead hazard control, rehabilitation, healthy homes interventions and a new water pump.

2

This property is a prime example of the efforts made by the program to braid multiple funding

streams to improve the quality of life of the occupants.

Valuable lessons have been gleaned from the current grant. ODH will alter its existing work

plan and implement the following proactive and corrective steps if a subsequent grant is

received.

A) ODH’s work plan was modeled after a successfully funded LHC grant program administered

by the state of Indiana where weatherization was integrated with LHC work. Following the

Indiana model, ODH contracted with Ohio Association of Community Action Agencies

(OACAA), the statewide organization comprised of local community action agencies (CAAs), to

perform grant management and administration duties. It seemed OACAA’s association with the

CAAs would provide a solid framework for the project.

It was discovered OACAA lacked ground level, “hands-on” experience with a grant of this

type and failed to provide the capacity to fulfill grant related duties. Adjustments were made

early in the grant period to reduce OACAA’s administrative responsibilities.

OACAA now strictly contracts vendors for services and makes payments to those vendors at

ODH’s direction. OACAA has no other operational duties. The current Program Manager

provides bidding of lead hazard control work and other integral services.

If subsequent funding is received, ODH will contract with a qualified, private firm to perform

management and administration duties for the grant. A Request for Proposal (RFP) [see Rating

Factor 1, Attachment A] has been initiated to solicit potential Program Management and

Administration (PM/A) vendors who are experienced and qualified in managing and

administering a LHC grant program.

3

B) Benchmarks have been closely examined and adjustments made with knowledge gained

from the current project. ODH initially targeted properties low in cost. Benchmarks for LOCCS

draws were not commensurate with this approach. Also, there is a 60 day lag time between when

expenses are incurred and when payment is made. The benchmarks for the proposed project take

into account this lag time. Evaluation of the LOCCS benchmarks will take place after the first

draw is completed.

2) Contributions to the Community and Collaborations. Through the existing LHC

grant, ODH has made 105 homes lead-safe. Of the 105 lead-safe units, 68 were known to poison

at least one child. ODH is required by law to investigate all cases of lead poisoning. A lead

hazard control order is issued to the property owner when hazards are identified during an

investigation. The property owner is required to control the hazards identified. ODH has utilized

grant funding to assist property owners to make homes lead-safe, and thereby lift the lead hazard

control order.

ODH partnered with local CAAs to combine lead hazard control funding with weatherization

dollars to increase services provided to a property. Of the 105 homes in receipt of lead hazard

control services, 32 (20 owner occupied; 12 rental) also received weatherization services. ODH

continues to partner with local Community Housing Improvement Programs (CHIPs) to combine

LHC funding and CDBG funding. Seventeen (5 rental; 12 owner occupied) units have received

combined services. ODH hopes to further advance the successful partnerships if additional LHC

grant funding is received.

3) Roles and Responsibilities of Key Personnel. (See resumes for key personnel in

Rating Factor 1, Attachment B). The two key positions funded by the HUD grant will be the

4

Project Director (PD) and the Program Manager (PM). Descriptions of all key personnel funded

by the grant are outlined below.

Project Director (PD), Pam Blais, Sanitarian Program Administrator (15% grant activity)

will serve as PD. Ms. Blais has been employed with ODH for 19 years, 17 of which have been in

the lead poisoning prevention field. She is a credentialed Healthy Homes Specialist, licensed

lead abatement contractor, risk assessor, and is certified as a Renovation, Repair and Painting

(RRP) contractor. She is the PD for ODH’s current LHC grant, providing project direction and

oversight, reporting, and assistance in fiscal monitoring.

Ms. Blais interacts with the PM of the current grant, Susan Smith, in the daily operations of

the grant. Ms. Blais has authoritative, decision-making capabilities that guide the program. She is

heavily involved with grant processes by establishing needed contracts, developing program

policies and procedures, determining program benchmarks, monitoring program progress,

interfacing with contracted partners and soliciting statewide and local housing partnerships.

Ms. Blais is also responsible for the administrative oversight of the state’s public health lead

investigation program. She supervises 5 lead risk assessor positions, providing daily

management of staff members. She coordinates and oversees lead investigations conducted by 15

delegated local boards of health statewide. Fifteen percent (15%) of Ms. Blais’ daily duties will

include project direction and oversight of this project. Ms. Blais is also committed at 13.5% to

the current LHC grant.

Program Management and Administration Vendor (PM/A team), To be determined,

Contracted firm: This vendor will be identified through a competitive bidding process and will

be selected prior to the start of the grant. An RFP has been published (see Rating Factor 1,

Attachment A) with proposals due on February 22, 2013. The responsibilities of the PM/A team

5

will include enrollment, and bidding of lead hazard control work, paint inspections/risk

assessments (PI/RAs), clearance examinations and lead work specifications. The PM/A team will

be a contracted private firm with past LHC grant management and administration experience.

The PM/A vendor will employ the PM.

Program Manager (PM), To be determined, (100% grant activity): The RFP outlines the

responsibilities of the PM as being daily oversight and monitoring of the grant, requiring

previous LHC grant management experience. The PM will be an employee of the PM/A vendor.

A job announcement for the PM position can be found in Rating Factor 1, Attachment C.

Lead Risk Assessor (RA), Dania Nixon (10%): Dania Nixon is currently employed with

ODH as a licensed lead risk assessor for the Healthy Homes and Lead Poisoning Prevention

Program. She is a credentialed healthy homes specialist and certified RRP contractor. She

coordinates follow-up monitoring and enforcement of the lead hazard control orders issued by

ODH. She has performed numerous PI/RAs and clearance examinations for the current grant.

She will undertake partial responsibility for conducting PI/RAs and clearance examinations for

this project. She will also provide technical assistance to contracted lead risk assessors to ensure

PI/RAs are performed in accordance with HUD and Ohio regulations. Every PI/RA and

clearance examination will be reviewed by Ms. Nixon for compliance. Ms. Nixon will be

responsible for conducting prequalification. She will contact families of newly lead poisoned

children to determine if they qualify for enrollment. She will also receive calls from potential

participants. Ms. Nixon will also assist the PD in conducting the Tier 1 Environmental Review

for the target area.

Fiscal Monitor (FM), Melissa Mathias (5%): Melissa Mathias is currently employed with

ODH as a Program Administrator with the Healthy Homes and Lead Poisoning Prevention

6

Program. She is responsible for tracking grant-related expenditures with the current program.

She interacts with the fiscal department to ensure all invoices are submitted for payment and

routine Line of Credit Control System (LOCCS) draws occur. She will assume these same duties

for the subsequent grant.

4) Concurrent administration. If a subsequent grant is awarded, the grants will run

concurrently for approximately 9 months. Ms. Blais will act as PD for both grants. She is

familiar with the HUD grant reporting system and will be responsible for reporting for both

grants and the close out of the existing grant.

Ms. Susan Smith is the contracted PM for the current project and is dedicated at 85%

activity. A separate individual will be contracted to serve as PM for the new grant. Ms. Smith is

required to submit timesheets every two weeks to ODH for review. The PM hired to manage the

subsequent grant will also be expected to submit timesheets.

The Ohio Rehabilitation Estimating and Specifications (RESPEC) program will be used as

an administration and tracking tool for both grants. This web-based tool was created specifically

for the Ohio LHC program, expanding on an existing rehabilitation specification writing

program used by rehabilitation professionals across the United States. The program was adapted

to include an intake module and will soon incorporate a function to develop healthy homes

specifications. All participant and property information for both grants will be collected in the

Ohio RESPEC program. Program personnel will be able to differentiate case information for

each grant by the case number. The cases numbers for the first grant will be numbered

differently than the second grant.

7

ODH will reduce the target area size from 37 counties to 16 counties. Ten counties will be

served by both grants for a short period. A subsequent grant, if awarded, will target 6 new

counties not covered in the existing grant.

ODH assigns unique funding line codes to each revenue source. All contracts, purchase

orders and invoices are linked to this code. Each grant will have its own funding line ensuring all

expenses are tracked and coded to the correct grant. Ms. Mathias, FM, will track expenditures to

ensure funds are spent and drawn appropriately and are not co-mingled.

2. Rating Factor 2: Need/Extent of the Problem

ODH will target properties in 16 counties. (Counties are listed in the subsequent tables and

can found in Rating Factor 2, Attachment A, Target Area Map). Eight of the 16 counties are

located in Appalachia; a poverty stricken, economically depressed rural section of Ohio. Three

larger urban areas included in the target area are the cities of Lima, Youngstown, and Canton.

The project target area was chosen based on a gap in services and a demonstration of

need. With the exception of Mahoning and Richland counties and the city of Canton, (located in

Stark County), ODH has jurisdiction in each of these counties to conduct investigations of lead

poisoned children and issue orders to property owners. The health departments in Mahoning and

Richland counties and the city of Canton have a contractual agreement in place to share data,

including PI/RA reports, with ODH. ODH will collaborate with these entities to enroll properties

into the grant. The data located in the subsequent tables demonstrates the need in the target area

and correlates with the data requested in the Notice of Funding Availability (NOFA).

a. Population Data. (See Table 2-1 and Table 2-2.)

Table 2-1.

County (1) Total

Population (2) Total

Population < (3a) # and % of Population < 6

(3b) # and % of Tested Population

8

6 yrs Tested <6 with an Elevated Blood Lead Level

(EBLL)

# Tested %

Tested # with EBLL

% with EBLL

Allen 106,331 8104 1435 17.7% 62 4.3% Ashland 53139 3966 563 14.2% 42 7.5% Ashtabula 101497 7616 1132 14.9% 77 6.8% Carroll 28836 1993 251 12.6% 56 22.3% Columbiana 107841 7213 1110 15.4% 112 10.1% Coshocton 36901 2809 487 17.3% 33 6.8% Holmes 42366 4823 245 5.1% 18 7.4% Huron 59626 4865 1112 22.9% 60 5.4% Knox 60921 4607 938 20.4% 57 6.1% Mahoning 238823 15319 2006 13.1% 175 8.7% Muskingum 86074 6375 1696 26.6% 62 3.7% Portage 161419 9904 1495 15.1% 34 2.3% Richland 124475 8923 2094 23.5% 139 6.6% Stark 375586 26312 5170 19.7% 1073 20.8% Tuscarawas 92582 6845 1359 19.9% 85 6.3% Wayne 114520 9360 1181 12.6% 49 4.2%

Target Area Total 1,790,937 129034 22,274 17.3% 2134 9.6%

Source (1) and (2): US Census Bureau, 2010 Census; Summary File 1, Table QT-P2 Single Years of Age and Sex, 2012. http://factfinder2.census.gov/faces/tableservices/jsf/pages/productview.xhtml?pid=DEC_10_SF1_QTP2&prodType=table Source (3a) and (3b): 2011 Central Registry Data

Table 2-2.

County

(4a) Area Median

Income (AMI)

(4b) ≤ 80% AMI (4c) ≤ 50% AMI Income

level % of

population* Income

level % of

population* Allen 54,200 43,360 52.0% 27,100 34.0% Ashland 57,600 46,080 53.2% 28,800 33.1% Ashtabula 50,100 40,080 49.4% 25,050 32.9% Carroll 54,100 43,280 51.1% 27,050 28.2% Columbiana 38,694 30,955 39.0% 19,347 22.7% Coshocton 38,884 31,107 39.6% 19,442 23.5% Holmes 41,927 33,542 36.0% 20,964 18.2% Huron 45,965 36,772 36.2% 22,983 21.0% Knox 47,925 38,340 37.0% 23,963 22.6% Mahoning 52,289 41,831 51.3% 26,145 33.3% Muskingum 39,326 31,461 40.2% 19,663 23.4%

9

Portage 62,466 49,723 49.5% 31,233 31.1% Richland 41,797 33,437 38.8% 20,899 22.0% Stark 55,308 44,246 49.5% 27,654 30.5% Tuscarawas 41,852 33,482 40.8% 20,926 23.7% Wayne 59,364 47,491 40.1% 29,682 20.9% Target Area

Average 48,862 39,090 44.0% 24,431 26.3% Source: HUD USER http://www.huduser.org/portal/datasets/il/il2012/select_Geography_mfi.odn * % of Population at 50% and 80% of Median Income Level was calculated as follows: First the 50% and 80% of the median income values were calculated. To determine the number of people at or below this value, estimates were made using data estimates from the 2009-2011 American Community Survey-3 year estimates; Table S2503 Financial Characteristics. This data gives the % of specified population within each income bracket (Less than $5,000; $5,000 to $9,999; $10,000 to $14,999; $15,000 to $19,999; etc.) For our estimates, it was assumed that the distribution of people was uniform within the income bracket where our 50% or 80% income level lay. Thus, a fractional estimate of the percentage of people earning in this bracket was derived and summed with all lower earning income brackets to derive the total % of the population living at or below this level.

b. Housing Data. (See Table 2-3.)

Table 2-3.

County

(1) # housing

units built

before 1978*

(2) # of housing

units built

before 1940

(3) # occupied housing units in county

(3a) Rental (3b) Owner

occupied # of

housing units

% of housing

units

# of housing

units

% of housing

units Allen 32,818 10,700 40,679 12,423 30.5% 28,256 69.5% Ashland 12,930 5,477 20,198 4,911 24.3% 15,287 75.7% Ashtabula 33,425 14.854 38,951 10,748 27.6% 28,203 72.4% Carroll 8,313 2,951 11,311 2,521 22.3% 8,790 77.7% Columbiana 33,376 13,654 42,386 11,014 26.0% 31,372 74.0% Coshocton 11,041 5,119 14,228 3,742 26.3% 10,486 73.7% Holmes 7,161 3,166 12,297 3.103 25.2% 9,194 74.8% Huron 15,736 7,341 22,367 5,787 25.9% 16,580 74.1% Knox 14,605 6,446 22,509 6,292 28.0% 16,217 72.1% Mahoning 85,043 23,257 98,708 28,919 29.3% 69,789 70.7% Muskingum 24,780 4,606 34,371 10,750 31.3% 23,621 68.7% Portage 38,380 9,976 61,359 19,639 32.0% 41,720 68.0% Richland 40,196 11,568 48,467 14,172 30.4% 33,755 69.7% Stark 101,954 36,794 149,131 44,202 29.6% 104,929 70.4% Tuscarawas 26,119 12,172 39,156 9,360 23.9% 29,796 76.1% Wayne 28,273 9,708 42,180 10,622 25.2% 31,558 74.8% Target Area

Total or Average 514,150 162,950 698,298 195,105 27.4% 499,553 72.7%

10

All data source: U.S. Census Bureau, 2011 American Community Survey. 3 year estimate http://factfinder2.census.gov/faces/tableservices/jsf/pages/productview.xhtml?pid=ACS_10_3YR_B25034&prodType=table * # of Houses built between 1970 and the start of 1978 was estimated by assuming a uniform construction of houses over the 1970-1979 decade, and by taking 80% of the total number constructed. This was summed with all previous decades to derive the "Built Before 1978" numbers.

c. Other Factors Contributing to Need. (See Table 2-4 and Table 2-5)

Table 2-4.

County

(1) Unemploy-ment Rate

(%) (2) Medicaid (3a) WIC

(3b) Head Start (3c) SNAP

# % # % # % # % Allen 13.1% 4,729 69.3% 3,734 3.5% 422 6.2% 6,490 17.1% Ashland* 12.2% 1,668 53.7% 1,065 2.0% 163 5.3% 1,922 9.5% Ashtabula 12.3% 4,562 73.3% 3,298 3.3% 171 6.0% 6,876 17.7% Carroll* 10.1% 1,053 67.2% 684 2.4% 75 4.8% 1,251 11.1% Columbiana 12.6% 4,214 72.1% 2,844 2.6% 358 6.1% 6,760 15.9% Coshocton* 13.0% 1,466 62.1% 1,053 2.9% 124 5.3% 2,398 16.9% Holmes* 7.0% 807 19.8% 738 1.7% 214 5.3% 1,004 8.2% Huron* 10.4% 2,635 64.3% 1,826 3.1% 80 2.0% 2,846 12.7% Knox 8.9% 2,111 56.8% 1,462 2.4% 216 5.8% 3,165 14.1% Mahoning 13.1% 9,280 72.3% 5,870 2.5% 963 7.5% 16,826 17.0% Muskingum 11.3% 4,217 79.7% 2,824 3.3% 285 5.4% 6,217 18.1% Portage 12.1% 4,220 51.5% 2,903 1.8% 290 3.5% 7,389 12.0% Richland* 10.4% 5,200 71.7% 3,315 2.7% 142 2.0% 7,129 14.7% Stark 11.6% 13,667 63.3% 7,538 2.0% 855 4.0% 20,824 14.0% Tuscarawas 9.7% 3,444 62.6% 1,996 2.2% 263 4.8% 4,802 13.3% Wayne 8.2% 3,348 42.6% 2,304 2.0% 408 5.2% 4,685 11.1% Target Area

Total or Average 11.0% 66,622 61.4% 43,453 2.5% 5,228 4.9% 101,034 14.0%

* These counties are part of multi-county Head Start programs. Numbers of individuals receiving Head Start benefits are estimated from total program numbers using county population sizes. Sources: (1) 2012 US Census; (2) 2009-2011 American Community Survey; (3a) Ohio Department of Health Women, Infants, and Children Program, 2011 data; 2009-2011 American Community Survey; (3b) Head Start Enterprise System, 2012 Program Information Report; 2009-2011 American Community Survey; 2007-2011 American Community Survey; (3c) 2009-2011 American Community Survey

Data in the Consolidated Plan and Lead-Based Paint Element. For the exception of the

counties/cities listed below, all counties in the target area are covered under the State of Ohio’s

2010-2014 Consolidated Plan. The Consolidated Plan from Fiscal Year 2012 can be found at the

11

following link: http://www.development.ohio.gov/files/cs/FY2012ConPlan.pdf. Table 2-5 was

included in the State’s Consolidated Plan Lead Based Paint (LBP) element and can be found on

page 121. Minor edits have been made to accommodate the formatting of this application.

City of Canton Consolidated Plan –LBP element is found on page 7.

http://cantonohio.gov/development/pdf/2012actionplan.pdf

City of Youngstown Consolidated Plan – LBP element is found on page 12.

http://www.cityofyoungstownoh.com/Uploads/2011317132726_Youngstown%202010-

2014%20consolidated%20Plan.pdf

Stark County Consolidated Plan – LBP element is found on page 33.

http://www.co.stark.oh.us/internet/docs/rpc/Consolidated%20Plan%2009-14.pdf

City of Lima Consolidated Plan – LBP elements can be found on pages 7; 104-106; 151; 172-

173; and 179.

http://www.cityhall.lima.oh.us/DocumentCenter/View/16

Table 2-5.

1 2 3 4 5 6 7

Total Occupied

Units - Ohio

% Units with Lead

Paint- Ohio

# Occupied Units with Lead Paint

% Occupied

Units with Lead Hazard**

# Occupied

Units with Lead

Hazard

Before 1940 Owner 694,906 90.0% 625,415 44.0% 275,183 Renter 339,530 90.0% 305,577 44.0% 134,454

1940 – 59 Owner 824,749 80.0% 659,799 18.0% 118,764 Renter 286,391 80.0% 229,113 18.0% 41,240

1960 – 79 Owner 935,325 62.0% 579,902 9.5% 55,091 Renter* 468,230 62.0% 290,303 9.5% 27,579

Total Owner = 2,454,980

1,865,116

449,038 Total Renter = 1,094,151 824,992 203,273 Total = 3,549,131 2,690,109 652,311 Percent of Total = 100.0% 75.8% 18.4%

8 9 10 11 12 13

12

% Units with Hazard Occupied

by LMI Households

# Units with Hazard Occupied

by LMI Households

% LMI Units with

Hazard with

Children Under 6

# LMI Units with

Hazard with

Children Under 6

Before 1940 Owner 37.4% 102,819 17.8% 18,302 Renter 66.5% 89,474 17.8% 15,926

1940 – 59 Owner 35.1% 41,674 17.8% 7,418 Renter 64.4% 26,543 17.8% 4,725

1960 – 79 Owner 25.0% 13,796 22.2% 3,063 Renter* 67.2% 18,543 22.2% 4,117

Total Owner =

158,288

28,782 Total Renter = 134,560 24,768 Total = 292,848 53,550 Percent of Total = 8.3% 1.5% Table 9: Estimated Units Affected by Lead Based Paint in Ohio - Ohio State Consolidated Plan 2010-2014 * 49,534 in Public Housing Units deleted from figure as lead hazards in these units have been addressed by HUD via local housing authorities. ** Percent lead hazards 1960-79 units estimated, based on percent units with interior lead paint compared to 1940-59 (per HUD National Lead Paint Survey, 1991) and applying this ratio (44%) to 1940-59 percentage (44% × 18% = 9.5%); other percentages from HUD Economic Analysis of HUD Rule on Lead-Based Paint Hazards. Sources: Columns 1-3: U.S. Census; Column 4: HUD 1990 National Survey on Lead-Based Paint; Column 6: Eliminating Childhood Lead Poisoning, President's Task Force on Environmental Health Risks and Safety Risks to Children, 2000; Column 8: Ohio Department of Development Office of Policy Research and Strategic Planning; Column 10: Eliminating Childhood Lead Poisoning, President's Task Force on Environmental Health Risks and Safety Risks to Children, 2000.

3. Rating Factor 3: Soundness of Approach

a. Lead Hazard Control Work Plan Strategy.

The overall goal of the project is to identify and remediate lead hazards in 185 units housing

a child < 6 years of age with lead poisoning, a child < 6 years at-risk for lead poisoning, and/or

pregnant woman. The project will be completed at rates delineated in Table 4-1, Benchmark

Performance Standards Worksheet found in Rating Factor 4 on page 39 of this narrative.

ODH’s experience will facilitate an efficient start to the project and ensure completion of all

units in the project period. All key project personnel, PD, RA, FM, PM/A team and PM, will be

in place at the start of the grant award. External capacity has also been established with a pool of

13

qualified lead abatement contractors and lead risk assessors available. Efforts will be made to

increase this pool, particularly in the 6 new counties that are part of the target area.

The following activities will take place during the startup phase (first 60 days of the project):

• ODH will contact families with an outstanding lead hazard control order, attempting to

prequalify them for grant services. Current inventory is estimated at 58 properties.

• The PD will update and finalize the policies/procedures document and review with key

project personnel.

• The PD will begin tracking production benchmarks. Production numbers will include the

number of 1) families contacted, 2) units referred, 3) units receiving PI/RAs, 4) families

eligible/ineligible, 5) lead hazard control jobs in progress, 6) units passing clearance, and

other information as determined. Additional demographic information collected will include

the number of children < 6 years of age living in lead-remediated units. The PD will have

ongoing responsibility of tracking production numbers.

• Project intake and enrollment forms and documents developed for the existing grant program

will be reviewed with changes made if needed.

• ODH’s contract with the Ohio Healthy Homes Network (OHHN), the education and outreach

contractor, will be finalized and work on the Affirmative Marketing Plan will commence.

• ODH and OHHN will expand the existing referral network by contacting local health

departments and local housing programs in the new target area counties.

• Education and outreach materials will be reviewed and finalized for distribution; Spanish

translations will be developed.

• ODH will prepare and issue press release to announce award of grant funding.

14

• ODH will solicit additional licensed lead abatement contractors and lead risk assessors to

bolster external capacity to perform PI/RAs and lead hazard control work.

• The Tier 1 Environmental review will be completed by ODH staff, with documents

submitted to HUD for the Request for the Release of Funds and Certification by day 60.

• LOCCS access will be set up so LOCCS draws can begin as project costs accumulate.

Table 3-1outlines grant activities and expected numbers to be served through project efforts.

Table 3-1.

Activity # projected Person or group responsible Intake referrals—contacting families, receiving calls 350 families ODH—Dania Nixon Enrollment of units 210 properties PM/A team Paint inspections/risk assessments 225

ODH Staff; Contracted lead risk assessors

Lead hazard control remediation 185 units

Contracted lead abatement contractors/workers

Integration of lead hazard control with weatherization, rehab or energy efficiency 61 units ODH and PM/A team Community awareness, education and outreach 4,803 families Ohio Healthy Homes Network

Workforce training (lead abatement contractor/worker) 50 individuals

Ohio Approved training provider contracted by PM/A team

Property owner RRP training 100 individuals

Ohio Approved training provider contracted by PM/A team

Cleaning pilot – property owner/occupant training (required for grant participation) 185 families Environmental Health Watch Section 3 workers trained and employed 20 individuals Environmental Health Watch

1) Outreach, Recruitment, Intake, Enrollment, Unit/Income Eligibility. Initial

recruitment will come from an existing pool of families in receipt of an order from ODH. ODH

will contract with OHHN to conduct community awareness, outreach and education in the target

15

area. OHHN is a non-profit organization that promotes healthy homes and lead-safe

environments for Ohioans. In 2011, OHHN was formed from a lead-poisoning prevention

advocacy group called Help End Lead Poisoning. OHHN conducts education and outreach for

the current grant and has been successful in recruiting participants and educating the target area

communities. See Letter of Support in Rating Factor 3, Attachment A.

OHHN will implement a grassroots approach to conducting outreach with respect to lead and

healthy homes. Outreach activities will include presentations in the local communities;

distribution of written materials; development and airing of public service announcements; and

development of electronic materials for posting on websites, e-mail and social media outlets.

Current grant materials will be revised to include updated target area information. Print

material will be distributed through channels to attract the total population: local housing

agencies, school programs, health centers/primary care providers, faith-based organizations and

local circulations.

ODH and OHHN will collaborate to establish an affirmative marketing plan to target

underserved populations such as African-Americans, American Indians, Asians/Pacific Islanders,

Hispanics/Latinos, individuals with Limited English Proficiency and Handicapped and Disabled

Persons. The plan will include research and identification of groups least likely to benefit from

assistance without special outreach. The plan will then incorporate implementation of special

measures to attract those groups. Special measures may include, but are not limited to,

advertising in print and electronic media used, viewed and/or listened to by those groups;

marketing the grant program to specific community, religious or other organizations; and/or

developing a referral network with the local fair housing agencies. The data found in Table 3-2

will assist in determining where marketing will be most beneficial. Further details on outreach

16

activities can be found on page 35 under 3.e. Lead Hazard Control Outreach and in Table 3-7,

also on page 35.

Table 3-2.

County White

Black or African

American

American Indian and

Alaska Native Asian Hispanic/Latino

(all races) Allen 83.5% 11.9% 0.2% 0.7% 2.3% Ashland 97.2% 0.8% 0.3% 0.6% 1.0% Ashtabula 93.3% 3.6% 0.2% 0.3% 3.4% Carroll 98.1% 0.6% 0.1% 0.1% 0.8% Columbiana 95.8% 2.2% 0.1% 0.3% 1.3% Coshocton 97.1% 1.2% 0.1% 0.3% 0.8% Holmes 98.7% 0.4% 0.0% 0.1% 0.8% Huron 94.3% 0.7% 0.4% 0.3% 5.5% Knox 96.8% 0.7% 0.1% 0.8% 1.3% Mahoning 80.6% 15.9% 0.1% 0.7% 4.5% Muskingum 93.4% 3.1% 0.2% 0.3% 0.8% Portage 92.4% 3.9% 0.2% 1.5% 1.3% Richland 87.5% 9.3% 0.3% 0.6% 1.4% Stark 89.0% 7.4% 0.3% 0.8% 1.6% Tuscarawas 97.3% 1.0% 0.3% 0.3% 1.8% Wayne 96.1% 1.5% 0.2% 0.7% 1.5% Sources: 2007-2011 American Community Survey 3-year Estimates, B02001, Race; 2007-2011 American Community Survey 5-year Estimates, B03002, Hispanic or Latino Origin by Race

With current grant funding, a lead-safe housing registry was established and is made

available to the public through multiple web sites and social media. OHHN will continue to

collaborate with ODH to make this registry available and current. The registry is available for

review at the following link:

http://www.ohhn.org/index.php?option=com_content&view=article&id=137&Itemid=174.

Written agreements with owners to keep lead-safe rental units affordable to very low, low

and moderate income population for a period of time shall be noted on the inventory. Affirmative

marketing of lead-safe units will align with the affirmative marketing plan.

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a) Coordination. As part of the marketing and outreach plan, OHHN will continue to

strengthen its referral network with local health departments and local low income housing

programs including Section 8, Housing Choice Voucher programs, local CAAs, CHIPs,

community development programs. These agencies will be contacted in the startup phase to

increase enrollment efforts. Grant program outreach materials will be distributed to the

aforementioned agencies. Materials will include a toll-free number at which potential

participants can contact ODH for further information regarding eligibility and enrollment. ODH

will receive all calls and determine where the referral was initiated by collecting the information

on the prequalification form. This information will be entered into the Ohio RESPEC database.

This project is designed, as with the current grant, to further the goal of program

coordination, not merely in outreach efforts, but also in increasing services to the families it

serves. Whenever feasible, housing services, such as weatherization, home repair and energy

efficiency will be conducted in conjunction with the lead hazard control work. With its current

grant, ODH has entered into Memorandum of Understanding (MOUs) with multiple Community

Housing Improvement Programs (CHIPs) (see Rating Factor 3, Attachment B for a draft of this

MOU) to conduct the lead hazard control work in conjunction with rehabilitation of the property.

Seventeen projects completed were conducted in conjunction with CHIP funding. CHIP

participants will be referred to ODH if the recipient has a child < 6 years of age. With parent or

guardian approval, the child(ren) will be sent to the appropriate agency, medical provider or

Women’s Infant and Children (WIC) program for follow-up blood lead screening.

ODH has existing MOU’s with Section 8 programs in 5 counties and 3 cities in the target

area. The MOU’s require ODH to provide a listing of the addresses where a child with an EBLL

has been identified on a quarterly basis. The Section 8 program is then required to match units of

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those receiving assistance under a tenant-based rental assistance program with the list of

addresses provided by ODH. ODH collaborates with the program to ensure the completion of a

PI/RA and lead hazard control work.

ODH has a long standing relationship with the Ohio Department of Job and Family Services

(ODJFS) state Medicaid office. ODH has worked since 1999 to gain reimbursement for public

health lead investigations. Ohio has the highest reimbursement rate in the nation at $1,223.96 per

investigation. ODH has also collaborated with ODJFS to improve Medicaid blood lead screening

rates in Ohio and coordinate services to this population. As investigations of lead poisoned

children who are enrolled in Medicaid are conducted and lead hazards identified, ODH will

prequalify the family to determine if they are eligible for grant services. ODH’s current grant

program has assisted 80 Medicaid-enrolled children and their families in making their homes

lead-safe.

ODH has worked with the Ohio Lead Advisory Council to formulate strategic partnerships

with low-income and affordable housing organizations. The Ohio Housing Finance Agency

(OHFA) and the Ohio Development Services Agency (ODSA) are examples of two agencies

providing ODH with financial support. In addition to providing match for the current grant

program, OHFA is providing a cash match for this proposed project with a commitment of

$115,000 in state funding. (See Rating Factor 3, Attachment C for Letters of Commitment and

Table 3-3 on page 19 for description of matching funds.)

The Ohio Development Services Agency (ODSA) is the state agency responsible for

administration of the state’s Community Development Block Grant (CDBG) funding. ODSA is

also responsible for the development of Ohio’s Consolidated Plan, in which ODH provided

consultation, data and oversight for the lead-based paint element. ODSA’s Housing Trust Fund

19

has dedicated cash match totaling $115,000 to the proposed project See Rating Factor 3,

Attachment C for Letter of Commitment.

The Ohio Capital Corporation for Housing (OCCH), a non-profit organization, will act as an

important partner by holding and distributing the match dollars for lead hazard control work. The

Ohio Housing Trust Fund is not able to provide funds directly to other state agencies.

Table 3-3.

Eligible Match Source Eligible Match use Match amount

committed Ohio Housing Finance Agency (OHFA)- agency reserves (state funding) Lead hazard control $115,000 Ohio Development Services Agency (ODSA), Ohio Housing Trust Fund Discretionary Program (state funding) Lead hazard control $115,000

b) Selection/Prioritization/Enrollment of Units. In selecting units for remediation, the

project will prioritize cases accordingly: 1) property housing a child < 6 years of age with lead

poisoning requiring medical intervention; 2) properties under a lead order where multiple

children have been poisoned over time; 3) properties under a lead order in which a newly

poisoned child resides; 4) properties housing a child < 6 years of age with a lead level between 5

micrograms per deciliter (µg/dL) and < 10 µg/dL; 5) properties with a child under 6 years of age

identified by a local housing partner having deteriorated paint; and 6) vacant properties identified

by ODH as having lead hazards and under lead hazard control order issued by ODH.

Initially, ODH staff will contact families who are in receipt of a lead hazard control order and

complete a prequalification form. Outreach efforts will also result in phone inquiries from

potential participants. These calls will be fielded by ODH with pertinent data recorded on the

prequalification form. The data will include data # of household members, # of children < 6

years of age, status of home owner’s insurance and property taxes. (See Rating Factor 3,

20

Attachment D for Prequalification Form). If the family prequalifies, information gathered from

the form will be entered into the Ohio RESPEC “intake” module. As the case is entered it will be

assigned a case number and a priority level (1=low priority; 2=moderate priority; 3=high

priority; 4= highest priority). The following table outlines what priority level will be assigned to

each property.

Table 3-4.

Property Type Priority level Property housing child < 6 years of age with lead poisoning requiring medical intervention 4 Property poisoning multiple children 3 Property with newly lead poisoned child in which child still resides 3 Property with child(ren) < 6 years of age with a lead level of between 5 µg/dL and < 10 µg/dL 3 Property referred from another housing program with a child < 6 years of age 2 Vacant property with lead hazards under a lead hazard control order issued by ODH or other local health department. 1

The PM/A team will respond to the referral by sending an application to occupants and

owners, if different from the occupants. The number of units projected for referral and the

breakdown of unit type are as follows:

Table 3-5.

Unit Type Referred (350) Selected (185) Owner occupied 176 93 Rental 174 92 Single-family 263 139 Multi-family 87 46

After prequalification information is entered into the “intake” module of Ohio RESPEC, the

case will be transferred to the “housing” module. This action alerts the PM/A team there is a case

requiring enrollment. The PM/A will mail an application packet to the family and proceed to

collect all information necessary to meet the HUD requirements. A family will be qualified using

income guidelines established by HUD and available on HUD USER. All forms have been

21

developed to meet HUD requirements and are currently in use. Necessary revisions will be made

in the startup phase of the project.

At the conclusion of enrollment, a PI/RA will be scheduled and a referral made to

Environmental Health Watch (EHW). EHW (see letter of support Rating Factor 3, Attachment

E) will be contracted by ODH to coordinate a lead and healthy homes cleaning pilot project in

conjunction with the grant program. All grant participants will be expected to participate in the

cleaning project in order to receive grant funds.

EHW is an organization dedicated to creating, assessing, demonstrating and advocating for

programs that reduce human exposure to harmful substances, promote health and sustain the

natural environment. EHW has administered HUD technical studies grants and is a natural fit to

conduct a project of this nature.

Within the first 90 days of the project ODH and EHW will develop the project design.

Section 3 individuals will be hired and trained to provide hands-on training to property owners

and tenants of units enrolled into the grant project. The cleaning protocol will be established to

address lead dust AND other healthy homes hazards such as pests, mold/mildew, and chemical

exposure. Two specific outcomes will be evaluated through this project. 1) A curriculum will be

developed to provide Section 3 individuals with the skills and knowledge to provide hands-on

training to property owners and tenants participating in the grant project. Evaluation of the

curriculum will be conducted through pre- and post-testing of pilot participants. Adjustments to

the curriculum will be made as needed. 2) The cleaning efficacy will be determined through pre-

and post-sampling of lead dust, mold spores, etc. and visual assessment.

c) Planned Approach. Work performed as part of ODH’s current grant is largely targeted

toward properties where ODH has identified a lead-poisoned child; an investigation (including a

22

PI/RA) completed and a lead hazard control order issued by ODH or one of its local delegated

boards of health. Thus, funding is invested in units that have been known to contribute to a

child’s lead poisoning. ODH will continually prioritize these units as lead poisoned children are

identified. ODH will also identify properties that meet with the prioritization schedule and levels

outlined in Table 3-4 and Table 3-5 found on page 20. Vacant units known to have poisoned

child may be enrolled, but will not be prioritized before any unit where a child < 6 years of age

or pregnant woman is known to reside. Every child <6 years of age residing in an enrolled

property will receive a blood lead test.

d) Compliance with HIPAA. All blood lead data will be obtained from ODH’s existing

surveillance system. ODH utilizes the Healthy Housing and Lead Poisoning Surveillance System

(HHLPSS) database to maintain all blood lead data on all Ohio residents that have been tested,

including children < 6 years of age. ODH complies with HIPAA requirements and has an

appointed data steward and written data steward policies in place. ODH has numerous safeguards

in place to protect the medical information of a lead poisoned child.

b. Technical Approach/Lead Hazard Control Interventions

1) Sequencing Key Program Activities.

(a) Schedule. (See Table 4-1 on page 39 for project flow) It is estimated that the average

timeframe from intake of a property to closeout is one quarter (90 days). Table 3-6 outlines the

estimated schedule. Each production activity will take place in sequential order, for the exception

of the PI/RA, which may have been completed in the past year.

Table 3-6.

Production Activity Agency/Person Responsible

Day Estimated # of days to complete

activity 1. Identification of unit –

intake and prequalification, ODH – Dania Nixon 0 7

23

transfer to PM/A in Ohio RESPEC

2. Completion of application forms by tenants and/or occupants; gather necessary documents for enrollment

PM/A Team 7 21

3. Schedule and complete paint inspection/risk assessment; lab analysis of samples and generate PI/RA report

Lead Risk Assessor (contracted vendor

through PM/A team) 28 14

4. Bid and process lead work specifications, conduct Tier 2 environmental review

PM/A Team and ODH 42 14

5. Bid processing and contractor scheduling PM/A Team 56 14

6. Lead hazard remediation Lead abatement contractor (contracted vendor through PM/A

team)

70 14

7. Clearance examination, laboratory analysis, and report

Lead Risk Assessor (contracted vendor

through PM/A team) 84 6

8. Close out and ongoing monitoring and maintenance

PM/A Team; property owner 90 -

9. Follow-up medical monitoring of child(ren) < 6 years of age

PM/A team 180 days after LHC -

Two factors may accelerate the scheduling process.1) ODH has licensed staff available to

complete the PI/RA and are available to conduct paint inspections/risk assessments as needed. 2)

Frequently a PI/RA has already been completed by ODH or one of its delegated local boards of

health as part of the lead investigation process. If the PI/RA is < 1 year old and meets HUD

standards, a follow-up PI/RA will not be necessary.

The PD will determine emergency referrals. Initially, referred units will most likely have a

child with an elevated blood lead level (EBLL) and will come from ODH’s current EBLL

caseload. Emergency/high priority cases will be considered based on excessively high blood lead

24

levels where medical intervention is needed. The referral will be denoted as Level 4 in the

database and will take precedence over previously referred cases.

(b) Production Process. The estimated production process is outlined in Table 3-6. From

experience with the current grant, major obstacles and hurdles are not expected. However,

monitoring will be performed to both prevent and resolve production impediments by daily

review of the program database for issues/concerns. The PD and PM will also communicate on a

daily basis to address production impediments. Appropriate measures will be implemented to

address the issues as they are identified.

(c) Intake, Enrollment, Unit/Income Eligibility. ODH will begin the intake process with

outreach to the families with lead poisoned children in the startup phase. ODH staff will conduct

intake via phone, enlisting existing lead poisoning cases and referrals from local health

departments, housing programs, department of job and family service offices, and other referral

network partners. As outreach efforts gain momentum, ODH will begin to receive phone

inquiries from potential participants. At the time of intake, a prequalification form will be

completed and downloaded to the program database. The case will then be referred to the PM/A

team through Ohio RESPEC so the enrollment process can begin.

ODH will assign each case a number and priority level (see Table 3-4) prior to transferring

the case to the PM/A in the database. The priority level will determine which cases will be next

in queue for a PI/RA.

The PM/A team will initiate the enrollment process by contacting the prequalified family

referred by ODH and sending application forms. Enrollment will be scheduled and families will

be advised of what information will be needed during the enrollment proceedings (e.g. pay stubs,

disability benefits). It is estimated this process will take 21 days. Use of a project file checklist

25

ensures all forms have been collected. (See Rating Factor 3, Attachment F for a copy of

checklists). Hard copies of each file will be maintained at ODH.

During the enrollment process, the PM/A team will review and track income levels of all

cases. Income eligibility will be determined by using the HUD FY2013 Income Limit

Guidelines. Each family enrolled must be at or below 80% AMI. Enrollment services will be

conducted in compliance with 24 CFR Part 58 with enrollment proceedings held in facilities

accessible to persons with disabilities.

ODH will strictly enroll multi-family properties with 4 or fewer units. All units in the multi-

family dwelling will be addressed to ensure the safety of current and future at-risk occupants.

Additional units will be treated with the same priority as the unit prompting the referral. Cost

averages for multi-family properties will be based on the number of units times the $8,000 per

unit average. The cost of remediation of common areas in a multiunit complex will have to be

included in this cost equation. For example, a four unit complex would have a cost limit of

$32,000, but that amount would have to pay for remediation in the common entrance leading to

the apartments, as well as other common areas.

If a family is enrolled in the project, the family will receive a PI/RA (if one has not been

performed in the past year), lead hazard control work averaging $8,000, a clearance examination

and free cleaning training. All services are provided in the form of a grant with no repayment

expected.

Owner occupants must agree to occupy the property for three years subsequent to the receipt

of services. Rental property owners must agree to market enrolled properties subsequent to

services to very low, low or moderately low income families for a period of at least three years.

The owner shall also agree to comply with federal fair housing and civil rights requirements

26

when renting the lead-safe property. The PM/A team will follow-up at the 1, 2, and 3 year marks

to determine compliance with this requirement. The policies and procedures document will

outline a repayment schedule in the event the owner fails to comply with this requirement. The

case will be referred to ODH’s legal department for collection of repayment.

2) Blood Lead Testing Prior to Lead Hazard Control Work. Many children whose

families are enrolled into the grant program will have already had a blood lead test in the recent

past. Blood lead testing information will be included on the prequalification form and entered

into the Ohio RESPEC program. If it is determined it has been more than 6 months since a

child’s last blood lead test or a child has never received a blood lead test, ODH and the PM/A

team will direct parents/guardians of a child < 6 years of age residing in an enrolled unit to have

the child tested.

Many children enrolled into the project receive Medicaid benefits. Medicaid will cover the

costs of the blood lead testing for these children. If a child is not enrolled in Medicaid, ODH will

identify a low cost or no cost option for blood lead testing from its inventory of blood lead

testing providers. ODH will cover outstanding costs as an in kind service.

State law requires blood lead tests be reported to ODH where data is stored in the HHLPSS

database. All medical information in this system is protected in accordance with HIPAA.

Follow-up testing will occur as a matter of course with monitoring of the child’s blood lead level

conducted in accordance with ODH’s Medical Management chart (see Rating Factor 3,

Attachment G). This chart outlines medical guidance and a re-testing schedule for children with

an EBLL. Children with an EBLL should be retested in 2 months until the level is below 5µg/dL.

Children with higher levels are retested more frequently.

27

3) Paint Inspection/Risk Assessment. PI/RAs will be conducted by a licensed lead risk

assessor in accordance with the HUD Guidelines, the Notice of Funding Availability (NOFA),

HUD Program Guidance, and Ohio regulations. An X-Ray Fluorescence (XRF) instrument will

be used to identify lead-based painted surfaces. Hazards will be determined by condition (intact

versus deteriorated) of the paint.

A PI/RA report template will be utilized by all lead risk assessors employed with the project.

The template contains language at the top of each report informing the owner of their

responsibilities under the Lead Disclosure rule (24 CFR part 35, subpart A, subparts B-R). See

Rating Factor 3, Attachment H for a copy of the standardized paint inspection/lead risk

assessment report. The template includes locations of lead-based paint and locations of lead

hazards. XRF readings, dust sample laboratory report, other environmental sampling laboratory

results, and a floor plan of the property and remediation recommendations will accompany the

template to formulate a complete PI/RA report.

Soil and dust and other environmental sampling as needed, will be conducted in accordance

with standard methods and compliant with EPA thresholds. A laboratory accredited by the

National Lead Laboratory Accreditation Program (NLLAP) will be used for environmental

sampling analysis. Sampling and testing will be conducted in accordance with the Lead-Safe

Housing Rule and conform to the current HUD Guidelines and state regulations, whichever is

most stringent.

PI/RAs performed by a licensed lead risk assessor have a market value of $500 per PI/RA.

4) Lead Hazard Control Work Specification Development Process. During the startup

phase, ODH will expand its pool of qualified lead abatement contractors. This pool will be

identified through an application process. Work specifications will be developed by a licensed

28

lead abatement contractor selected through a competitive bid process. Lead specifications will be

developed in coordination with the project’s PM/A team and based on the recommendations of

the lead risk assessor. The lead specifications will be written using the Ohio RESPEC program.

Lead hazards will only be based on actual testing, never on a “presumption” of lead paint.

Proposed specifications will be randomly reviewed by the PD for quality assurance purposes.

The standard PI/RA format presents multiple options for remediation. The lead abatement

contractor secured to perform the specification writing work will look at these options in the

context of the entire job; the limitations of the $8,000 average cost per home, the durability of

the remediation measures and other possible factors when determining the measure to be taken.

In nearly all instances, interim control of the lead hazards will be selected over abatement

measures. Abatement activities will be used only when the interim control is not effective,

durable or lasting.

Once specifications are approved by the property owner, the PM/A team will bid the job

among a qualified pool of lead abatement contractors. Contractors will be chosen on the basis of

price, capacity for the job, and past performance. The lowest responsive and responsible bidder

will be selected. Upon bid award, the chosen contractor will be given a notice to proceed. Should

circumstances arise requiring changes in an ongoing job, the specification writer, contractor,

property owner, and PM will decide on all project changes. Any significant changes will be

documented on a change order form signed by the parties.

5) Lead Hazard Control Interventions. The project will require lead hazard remediation

be completed only by contractors licensed as lead abatement contractors or lead workers, with

contractor oversight. ODH will competitively bid for lead training services to build capacity

beyond what has already been identified.

29

The PM will ensure prohibited practices are not employed during the lead hazard control

work. ODH field staff will also ensure proper lead hazard control work practices are utilized

during onsite project monitoring by conducting random visits to properties undergoing lead

hazard control work. ODH dedicates to visiting at least 25% of properties with documentation of

the site visit recorded on a monitoring checklist. The number of checklists completed will be the

outcome measure.

The PM will review the work specifications with the contractor, ensure compliance with

HUD’s Lead Safe Housing Rule, the HUD Guidelines, and all federal, state, and local

regulations and guidance. In addition, contractors shall comply with all applicable local, state

and federal regulations. The PD (a licensed lead abatement contractor and lead risk assessor) will

randomly visit project sites to determine compliance with HUD’s Lead Safe Housing Rule, the

HUD Guidelines, EPA’s Renovation, Repair and Painting rule, and the Ohio regulations.

As previously stated, in nearly all instances, interim control of the lead hazards will be

selected over abatement measures. Abatement activities will be used only when the interim

control is not effective, durable or lasting.

Examples of interim controls to be employed may include but are not limited to paint film

stabilization of exterior siding and interior walls; friction and impact surface point treatment of

windows and doors; repainting porches, decks and interior floors; and placement of impermanent

surface coverings (e.g. mulch) or land use controls to treat bare soil.

Lead abatement methods that may be utilized include, but are not limited to, window and

door removal and replacement; installation of exterior siding (enclosure); and paint removal,

particularly if some minor components are deemed as historic during the state historic

preservation office review.

30

Coordination with other services: Each housing program has their own requirements for

eligibility and priority but every effort will be made to combine service delivery, using the same

contractor, when possible. The goal will be to integrate lead hazard control with weatherization,

energy efficiency measures and/or rehabilitation in approximately one-third of the units in the

project, or 61 properties. ODH will enter into MOUs with the local weatherization providers,

local CHIP programs or energy efficiency providers in the county of the target area, provided

those agencies are willing to participate. ODH will also coordinate lead hazard control with

healthy homes interventions as the Healthy Homes Rating System (HHRS) tool identifies

properties having egregious hazards impacting vulnerable occupants.

Waste Disposal: Contractors will handle disposal of waste according to the requirements of

appropriate local, state and federal regulatory agencies, including the Ohio regulations which cite

the HUD Guidelines verbatim.

Worker Protection: Contractors will observe the procedures for worker protection established

in the HUD Guidelines, as well as the requirements of the Occupational Health and Safety

Administration (OSHA), in particular 29 CFR 1926.62—Lead Exposure in Construction.

6) Temporary Relocation. It is estimated approximately 50% of the units enrolled into the

project may require temporary relocation while the remediation work is performed. ODH has

budgeted to provide relocation funding assistance to 93 families. The PM/A team will have the

responsibility of identifying alternate housing for displaced families. Every effort will be made to

identify friends or family members who may be able to provide temporary housing while the

work is ongoing. If it is determined temporary housing is needed, the family will be assigned

housing taking into consideration their specific needs; using HUD occupancy standards for the

size and makeup of the household while considering accommodation for disabled family

31

members, offering the same accessibility features as the housing in which they currently reside.

Efforts will be made to relocate in a nearby location, especially to maintain the same school

district, if applicable.

The PM/A will identify prospective locations such as local apartments or hotels where short

term relocation (less than 10 days) is available. The reasonable costs of relocation such as

moving, storage and per diem meal costs will be covered. Relocation costs will be covered

within the per job cost limitations established in the budget. In most cases relocation will last no

longer than absolutely necessary, usually for 10 days or less. Families will be allowed to return

to the property upon completion of a successful clearance examination.

Relocation will be carried out in accordance with the Uniform Relocation Assistance and

Real Property Acquisition Policies Act of 1970. Tenant-occupants forced to vacate while the

work is ongoing will be treated fairly and equitably.

7) Occupant Protection Measures. Each project will require an Occupant Protection Plan

developed by the lead abatement contractor in accordance with Chapter 9 of the HUD Guidelines

and the Ohio regulations. The lead abatement contractor will be required to submit this plan to

the PM/A team prior to the start of the project. The plan shall remain at the worksite for the

duration of the project and shall take into account the safety of the occupants and their

belongings. The PM will randomly review the Occupant Protection Plans.

8) Clearance Examinations. Clearance examinations will be performed by licensed lead

risk assessors secured through a competitive bid process conducted by the PM/A. ODH staff is

also available to perform clearance examinations and will do so when necessary. Re-

examinations will be performed when an initial clearance examination fails. Costs for re-

32

examinations will be the responsibility of the lead abatement contractor who performed the lead

hazard control work and will be deducted from the payment for the lead hazard control work.

Each clearance examination will be reviewed by the PM the RA, and in random cases as part

of the quality assurance by ODH’s field staff. Clearance examinations will be performed in

accordance with the HUD Lead Safe Housing Rules, the EPA standards and Ohio regulations.

Dust sampling analysis performed in association with a clearance examination shall be

conducted by an Ohio-approved, NLLAP accredited laboratory. Laboratory results will be

requested the same day particularly in cases where the family has been relocated to temporary

housing. The family can be released back to the property when the property passes clearance.

9) Post-Lead Hazard Control Maintenance of Units. An Ongoing Monitoring

Maintenance plan will be provided to the owner and or tenant of the property that is made lead-

safe through this project. The plan will be made available if interim control, encapsulation or

enclosure methods are utilized, as prescribed by the HUD Guidelines. The PM/A team will

ensure the contractor performing the work distributes the plan to the property owner after the

property passes a clearance examination. The plan provides an annual schedule for visual

assessment of components made lead-safe through interim controls, encapsulation and

enclosures. The assessment determines if there are new hazards requiring repair.

10) Lead-Safe Housing Registry-Availability of Lead-Safe Housing to Low-Income

Families. ODH will continue to provide a registry of lead-safe units in Ohio and make it

available through websites maintained by ODH. The properties made lead-safe through this

Project will be advertised through the portals previously mentioned in Rating Factor 3, page 15.

11) Healthy Homes Supplemental Funding. ODH is requesting $200,000 in Healthy

Homes Supplemental Funding to continue work initiated with the current LHC grant. As part of

33

the lead PI/RA process, ODH will ensure the utilization of HUD’s Healthy Homes Rating

System (HHRS) to identify healthy homes hazards in each property enrolled in the grant. Thus,

licensed lead risk assessors will administer the HRRS and submit results to the PD, a

credentialed healthy homes specialist, for review and evaluation. Priority will be established

based on the results of the HHRS assessment. The assessment will be reviewed by the PD. The

PD will further determine the units targeted for healthy homes interventions.

ODH proposes to spend up to $10,000 on 20 properties to make the home “green and

healthy.” The properties will also receive an average of $8,000 in lead hazard remediation. Two

units are projected to be completed per quarter commencing in Quarter 3 of Grant Year 1.

LOCCS draws for this supplemental funding will lag one quarter behind the completion of the

work. (See Table 4-1 on page 39) to view this timeline.

ODH will follow the healthy homes methodology in accordance with the HUD-CDC Healthy

Homes Reference Manual when determining the best practices in addressing the health and

safety hazards identified. All efforts will be made to conduct the LHC work and healthy homes

interventions concurrently. However, there may be some instances where separate contractors

are used.

c. Program Administration and Financial Management.

ODH will contract with a private third party to conduct the overall program management and

administration. The vendor awarded this contract would have adequate staff available to provide

1) a Program Manager who meets the HUD requirements for the position; 2) enrollment services;

3) bidding and contracting of lead hazard identification, clearance examination, lead

specification writing and lead hazard control services; and 4) arrangement of relocation services

for displaced families.

34

As the PM/A completes a service and ODH receives the documentation for that component,

an invoice may be submitted for payment. Financial management will be ODH’s responsibility.

ODH will use the internal financial accounting system to ensure that funds are accounted for

using standard accounting procedures. ODH administers hundreds of federal grants and currently

administers one LHC grant program and is familiar with HUD’s financial requirements. Melissa

Mathias serves as FM for ODH’s current project and tracks expenditures and assists in

conducting LOCCS funding draws.

d. Economic Opportunity.

Approximately 20 Section 3 residents will be trained as part of the cleaning pilot project.

ODH will encourage and facilitate local contractors in expanding their training and hiring of

Section 3 workers through the competitive bidding process. ODH encourages the use of Minority

Business Enterprises (MBE) and Encouraging Diversity, Growth and Equity (EDGE) vendors in

procurement processes. Administration contracts awarded over $200,000 will be required to

comply with Section 3 requirements.

e. Lead Hazard Control Outreach.

1) Collaborative Agreements/Arrangements. ODH will collaborate with OHFA, ODSA,

local health departments, housing programs and low-income service providers. ODH will enter

into MOUs at the start to solidify the partnerships. ODH dedicates that one-third of the projects

will integrate lead hazard control dollars with another funding stream, such as weatherization,

rehabilitation, energy efficiency or other home repair work.

Local health departments (LHD) have an on-going relationship with ODH which makes the

LHDs important partners, especially in testing children, referring poisoned children for medical

care, providing case management and identifying homes with lead hazards. Currently, ODH has

35

MOU’s established with local agencies in the administration of case management of children

identified with elevated blood lead levels. ODH also has contracts with 15 boards of health to

perform investigations of lead poisoned children.

2) Outreach Activities and Outcomes. ODH will collaborate with OHHN in outreach

activities. Education and outreach materials will be developed and delivered in a culturally

sensitive format, particularly to individuals with Limited English Proficiency. Presentations

performed as part of the education and outreach program will be provided by paid translators or

bi-lingual Section 3 individuals residing in the community, employed by OHHN. As the

education and outreach program moves forward, the project will remain cognizant of disabled

individuals who may require delivery of education and outreach services in an alternate format.

Outreach outcomes are summarized in Table 3-7.

Table 3-7.

Proposed Education and Outreach activity #

Estimated # of low-income individuals reached

Presentations 72 1,080 Distribution of posters 500 2,500 Distribution of pamphlets 10,000 1,000 Public Service Announcement – radio spots aired 30 250

Estimated total # of low-income families reached: 4,830

3) Affirmatively Furthering Fair Housing. The project will act to affirmatively further

fair housing within the target area. In addition to the development and implementation of an

affirmative marketing plan, steps will be taken to increase access to lead-safe housing to all

sectors of the general population by promoting the lead-safe housing registry. When enrolling

and completing units, rental property owners will sign agreements that require the lead-safe

housing remain affordable and be marketed to qualifying families with young children for three

years or more. The owner will also agree to the federal and Ohio regulations regarding disclosure

36

of lead hazards and remediation. Property owners residing in lead-safe units created through the

program will be required to reside in the unit for a period of three years.

f. Data Collection and Support Activities.

The PD will be responsible for the central collection of data for HUD reporting. Three

primary sources of data will include field monitoring reports, intake/enrollment forms, and

hazard/remediation data in the Ohio RESPEC program.

Field monitoring will have an immediate impact on the quality of work. ODH’s Lead

Licensure Program, a program authorized by the US EPA, conducts routine inspections of lead

hazard control projects. Thus, ODH field staff employed through the licensure program has the

authority to enforce US EPA and state regulations. Random inspections of projects will identify

issues. Field staff will work with the lead abatement contractors to correct any issues or

deficiencies. Egregious cases may result in penalty or fine by the licensure program.

The Ohio RESPEC program serves a number of purposes with regard to data collection and

quality assurance. It is set up to track enrolled units and assists in the scheduling process. The

database is a web-based system allowing users to obtain up-to-date information about each

property enrolled in the grant project. The database also results in a resource list of units that

have been made lead-safe to be posted on ODH’s website. The databases used in the

administration of the project are secure and private.

g. Budget Proposal.

1) Budget Estimate of Costs. See Form HUD-424-CBW attached with application for the

budget proposal.

2) Budget Narrative. (See application file titled “Budget Narrative ODH” for the Budget

Narrative Justification).

37

h. Implementing HUD’s Strategic Framework and Demonstrating Results.

1) Utilize Housing as a Platform for Improving Quality of Life. Through this project,

ODH will focus on two objectives that will further promote HUD’s Strategic Plan. 1) ODH has

been very successful in braiding multiple funding streams to maximize services offered to each

property enrolled in the current grant program. ODH will continue to strengthen partnerships

with low-income, affordable housing programs to integrate lead hazard control with other low-

income housing services. ODH will reach out to these programs in each of the 16 target area

counties. The MOU will outline specific partner responsibilities.

2) ODH will examine the intake/enrollment forms and process for weatherization and CHIP

to determine where overlap of information exists. ODH will capitalize upon its partnership with

ODSA by requesting to meet with ODSA’s State Weatherization Office and the Office of

Community Development to examine where processes can be combined. The State

Weatherization office ensures compliance and sets policies for Ohio’s weatherization funding

recipients. The Office of Community Development oversees the state’s multiple CHIP funding

recipients. ODH will also participate in forums designed to promote the integration of health

with housing such as the Weatherization Plus Health regional conference.

2) Sustainability. ODH will continue work started by the Ohio Lead Advisory Council to

establish an inventory of housing service providers who routinely provide assistance to the low-

income population. Having an inventory of service providers enables ODH to begin

conversations on integrating services.

Efforts to collaborate with local and state housing programs will continue. In the past 7 years,

ODH has made great strides in establishing solid state housing partnerships. In addition,

38

administration of a LHC grant has opened doors to housing partnerships at the local level. ODH

will continue to spearhead efforts to infiltrate the affordable, low-income housing arena.

To determine the feasibility and effectiveness of integration of services and processes, one

county in the target area will be chosen for a pilot program. ODH will identify willing housing

partners within the local community to combine services. Such a project will be conducted in one

of the smaller counties and then it will be determined whether or not it can be replicated in a

larger community.

4. Rating Factor 4: Achieving Results and Program Evaluation

a. Project Goals.

Over a 36 month period, ODH will complete and clear 185 properties. Commencing in the

first 60 days, ODH staff will contact and prequalify potential participants based on income and

occupant makeup (child < 6 years of age and/or pregnant woman resides in property). In some of

cases, a PI/RA will not be necessary.

ODH projects 350 properties will need to be referred for intake to complete 185 properties.

Thus, education and outreach efforts will commence in the first quarter of the grant period, with

a heavy emphasis on these activities in the first two years. Efforts will decrease in the third year,

given benchmarks are met and enrollment is not an issue.

Lead hazard remediation work will commence in the third full quarter of the project, Quarter

3, Grant Year 1. Assuming the grant is awarded in June, 2013 (180 days after the publication of

the NOFA), remediation work will start January 1, 2014. It is projected 2% of the units will be

completed in this quarter, with a moderate increase in each subsequent quarter. Projections do

account for weather-related delays during the colder months.

39

Table 4-1.

Benchmark Performance Standards Worksheet Activity Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Units Enrolled (% of 350 referrals) 3 6 15 25 37 50 62 75 85 95 100 # of units enrolled

10 21 53 88 130 175 217 263 298 333 350 Assessments

completed (% of 185) 2 5 12 22 35 45 55 65 75 85 95 100

# of assessments completed 4 9 22 40 65 83 102 120 139 157 176 185

Units Completed (%

of 185) 2 6 18 30 40 55 70 85 95 100 # of units completed

4 11 33 55 74 102 130 157 176 185 LOCCS

Drawdown(% of $2.3 million) 1 2 5 10 15 25 35 45 60 72 85 95 100

LOCCS drawdown

amount

23,000 46,000 115,0

00 230,000 345,000 575,000 805,000 1,

035,000 1,380,0

00 1,656,000 1,955,0

00 2,185,000 2,300,0

00

Community Outreach and Education (# of individuals

reached) 100 400 800 1300 2000 2400 2800 3200 3600 4000 4500 4,830 Healthy Homes

LOCCS drawdown

(%) 5 10 20 30 40 50 60 70 80 90 95 100 Healthy

Homes units completed

2 4 6 8 10 12 14 16 18 20

40

b. Progress Evaluation.

The PD in collaboration with the PM/A team will be responsible for monitoring project

progress. The PD will maintain daily communication with the PM/A team to address any project

delays. The PD and PM/A will work together to troubleshoot problem properties, schedule

delays, enrollment numbers and other concerns as they are identified. The PD and FM will

ensure routine LOCCS draws.

At the year mark, the PD, PM/A team and FM will assess the Benchmark Performance

Standards Worksheet to determine where adjustments may be needed.

(a) Data collection and systems that will be used to assist in the management and monitoring of

the project include the following: 1) Ohio RESPEC, a project-specific database which records all

intake, eligibility determination, and income verification forms; 2) number of project education

and outreach materials distributed by quarter, to be tracked by ODH and OHHN; 3) manual

records of outreach events and activities and the number of individuals reached through the

outreach activities, and 4) records (e.g. MOUs) of partnerships with faith-based and other

community-based organizations resulting in outreach activities.

The cleaning pilot project proposed in this application will be conducted by EHW. EHW will

be responsible for the project design with ODH input. EHW will gather data and provide a report

outlining the project outcome. This project and other activities conducted as part of the grant

program will not involve research that could affect human subjects and thus IRB approval is not

required. ODH will comply with the requirements outlined in 45 CFR Part 46 if this would

change.

5. Bonus Points

Not applicable.

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 1

Docket No. [FR-5700-N-04] 2

3

Notice of Funding Availability for HUD’s Fiscal Year (FY) 2013 Lead-Based Paint Hazard 4

Control Grant Program and Lead Hazard Reduction Demonstration Grant Program 5

6

7 AGENCY: Office of Healthy Homes and Lead Hazard Control, HUD. 8

9

ACTION: Notice of Funding Availability (NOFA) for HUD’s Fiscal Year (FY) 2013 Lead- 10

Based Paint Hazard Control Grant Program and Lead Hazard Reduction Demonstration Grant 11

Program. 12

13

SUMMARY: Today’s posting provides information and instructions for the FY2013 14

Lead-Based Paint Hazard Control (LBPHC) Grant Program and Lead Hazard Reduction 15

Demonstration (LHRD) Grant Program based on funding approved by the Department of 16

Housing and Urban Development Appropriations Act, 2013 (Public Law XXX-XX). This 17

Notice is comprised of the Notice of HUD’s Fiscal Year (FY) 2013 Notice of Funding 18

Availability (NOFA), Policy Requirements and General Section (General Section) to 19

HUD’s FY2013 NOFAs for Discretionary Programs, posted on www.Grants.gov on 20

August 8, 2012, and this program section to the NOFA. Because FY 2013 funding has 21

not been appropriated for this program, the availability of any such funding for this 22 program is contingent upon future Congressional action. 23

24

25

The LBPHC and LHRD Programs are authorized by Section 1011 of the Residential Lead-Based 26

Paint Hazard Reduction Act of 1992 (Title X of the Housing and Community Development Act 27

of 1992, Public Law 102-550). HUD’s FY2013 Notice of Funding Availability Policy 28

Requirements and General Section posted to www.Grants.gov on August 9, 2012, establishes 29

threshold and other critical application submission requirements for this NOFA. Applications 30

shall be submitted to www.Grants.gov in accordance with the procedures outlined in the 31

General Section and this NOFA. 32

33

APPLICATION RECEIPT DEADLINE DATE: The application deadline is 11:59:59 p.m. 34

eastern time on February 4, 2013. Applications must be received by www.Grants.gov no later 35

than 11:59:59 p.m. eastern time on the application deadline date. Only one application will be 36

accepted from any given organization under this NOFA (i.e., apply to either the LBPHC grant 37

program or the LHRD grant program, but not both). If more than one application is received 38

from an organization, the application that was received last by www.Grants.gov that meets the 39

timely receipt requirements will be considered for funding. NOTE: HUD may modify the due 40

date for this Notice to the extent a final appropriations bill for FY2013 is enacted. HUD will 41

issue a technical correction to this NOFA if appropriations are enacted that require HUD to 42

modify the funding criteria or application requirements, or if HUD determines that 43

adjustments to estimated award amounts or timelines are necessary, any such technical 44

correction will provide detailed instructions for applicants to permit them to resubmit the 45

application to address the revised NOFA requirements. 46

2

1

FOR FURTHER INFORMATION CONTACT: Questions regarding specific program 2

requirements should be directed to the agency contact identified in this program NOFA. 3

Questions regarding the FY2013 General Section should be directed to the Office of Strategic 4

Planning and Management, Grants Management Division at 202-708-0667 (this is not a toll-free 5

number). Persons with hearing or speech impairments may access these numbers via TTY by 6

calling the Federal Relay Service at 800-877-8339. 7

8

9

OVERVIEW INFORMATION 10

11 A. Federal Agency Name: Department of Housing and Urban Development, Office of Healthy 12

Homes and Lead Hazard Control. 13

14 B. Funding Opportunity Title: Lead-Based Paint Hazard Control Grant Program and Lead 15

Hazard Reduction Demonstration Grant Program. 16

17 C. Announcement Type: Initial announcement. 18

19 D. Funding Opportunity Number: FR-5700-N-04; OMB Approval Number 2539-0015. 20

21 E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.900 Lead-Based Paint 22

Hazard Control, and 14.905 Lead Hazard Reduction Demonstration Grant Program. 23

24 F. Dates: The application deadline is 11:59:59 p.m. eastern time on February 4, 2013. 25

Applications must be received by www.Grants.gov no later than 11:59:59 p.m. eastern time on 26

the application deadline date. Applicants are encouraged to submit their application early to 27

www.Grants.gov to ensure that they can meet the timely receipt requirements. 28

29

G. Additional Overview Content Information 30

31 1. Purpose of the Program. The overarching purpose of the Lead-Based Paint Hazard Control 32

Grant Program and the Lead Hazard Reduction Demonstration Grant Program is to assist states, , 33

cities, counties/parishes, Native American Tribes or other units of local government in 34

undertaking comprehensive programs to identify and control lead-based paint hazards in eligible 35

privately owned rental or owner-occupied housing, with the exception that the Lead Hazard 36

Reduction Demonstration Grant Program is targeted to urban jurisdictions with the greatest lead- 37

based paint hazard control needs. 38

39

2. Available Funds. Based on enactment of the FY2013 HUD appropriations, approximately 40

$XXX million is available for programs included in this NOFA. Of this amount, approximately 41

$XX million is available for the Lead-Based Paint Hazard Control Program and $XX million for 42

the Lead Hazard Reduction Demonstration Grant Program. 43

44 3. Match. A minimum non-federal matching contribution of 10 percent of the Federal funds 45

requested, excluding the Healthy Homes Supplemental request if applicable, is required for the 46

3

Lead-Based Paint Hazard Control Grant Program, and a minimum non-federal matching 1

contribution of 25 percent of the Federal funds requested is required for the Lead Hazard 2

Reduction Demonstration Grant Program. See Match Requirements and Costs Chart in Section 3

III.C, Cost Sharing or Matching. 4

5

4. Healthy Homes Supplemental Request to Promote and Develop Healthy Housing 6 Programs (LBPHC Applicants Only). Applicants to the LBPHC Grant Program only may 7

request a Healthy Homes Supplemental request of up to $200,000 in additional funds above and 8

beyond the LBPHC requested amount to assist in the identification and remediation of multiple 9

housing-related health hazards with lead hazard control intervention work using the Healthy 10

Homes Rating System (see 11

http://portal.hud.gov/hudportal/HUD?mode=disppage&id=HHRS_NEW). 12

13

The Healthy Homes Supplemental Request is an additional amount distinct from the 14 requested LHPHC amount and must be treated as such. For example, if you are requesting 15

$2,300,000 for the LBPHC Grant Program and $200,000 for the promotion of healthy housing, 16

your total requested funding amount to be identified on the SF424 would be $2,500,000. 17

18 5. Period of Performance. The maximum period of performance for any grant program under 19

this NOFA is 36 months. 20

21 6. Funding Amount. The maximum funding amount per award for LBPHC is $2,300,000, 22

excluding the Healthy Homes Supplemental Request amount; the maximum funding per award 23

for LHRD is $3,000,000. 24

25 7. Ineligible Applications for Review. Applications requesting federal funding over the 26

maximum amount per award for the program to which you are applying will not be eligible for 27

review. Applicants must clearly document the requested federal funding amount on line 18a of 28

the SF424, Application for Federal Assistance, and the form HUD_424_CBW: HUD Detailed 29

Budget Worksheet including Total Budget. 30

31 8. Information on Application. The application for this NOFA is available at 32

www.Grants.gov. 33

34

FULL TEXT OF ANNOUNCEMENT 35 36

I. FUNDING OPPORTUNITY DESCRIPTION 37

38

A. Program Description. 39

40 Authority. The Lead-Based Paint Hazard Control Grant Program (LBPHC) and the Lead 41

Hazard Reduction Demonstration Grant Program (LHRD) are authorized by Section 1011 of the 42

Residential Lead-Based Paint Hazard Reduction Act of 1992 (Title X of the Housing and 43

Community Development Act of 1992, Public Law 102-550). Applicants under the LBPHC 44

program only may also apply for Healthy Homes Supplemental funding, intended to promote and 45

develop healthy housing programs. 46

4

1 Purpose. The overarching purpose of the Lead-Based Paint Hazard Control Grant Program and 2

the Lead Hazard Reduction Demonstration Grant Program is to assist states, cities, 3

counties/parishes, Native American Tribes or other units of local government in undertaking 4

comprehensive programs to identify and control lead-based paint hazards in eligible privately 5

owned rental or owner-occupied housing; the Lead Hazard Reduction Demonstration Grant 6

Program is targeted to urban jurisdictions with the greatest lead-based paint hazard control needs. 7

These two programs are administered under HUD’s Office of Healthy Homes and Lead Hazard 8

Control (OHHLHC) which is aligned with HUD’s 2012-2015 Environmental Justice Strategy. 9

The Environmental Justice Strategy addresses environmental and human health issues that 10

disproportionately affect high-risk communities, such as minorities, low-income populations, 11

children, and persons with disabilities. For more information about HUD’s Environmental 12

Justice Strategy, refer to the website at: 13

http://portal.hud.gov/hudportal/documents/huddoc?id=envjustice.pdf. 14

15

Applicants receiving an award will accomplish the following objectives: 16

17

a. Maximize both the number of children less than six years of age protected from lead 18

poisoning and the number of housing units where lead hazards are controlled; 19

20

b. Target lead hazard control efforts in housing in which children are at greatest risk of lead 21

poisoning, especially children in low-income and minority families, in order to reduce elevated 22

blood lead levels in children less than six years of age; 23

24

c. Promote cost-effective lead hazard control methods and approaches that can be replicated, 25

maintained, and sustained; 26

27

28

d. Build local capacity to safely and effectively address lead hazards during lead hazard control 29

and renovation, remodeling, and maintenance activities by integrating lead-safe work practices; 30

31

e. Promote integration of this grant program with other local programs that address housing 32

related health and safety hazards; 33

34

35

f. Affirmatively further fair housing. Note that beyond being an “objective” of this NOFA, 36

affirmatively furthering fair housing is a civil rights related program requirement. Please refer to 37

FY2013 Sections III.C.4.b.(3)(4) and (6) of the General Section and Sections V.A.3.a(1) and 38

V.A.3.e(3) of this NOFA for additional guidance on this requirement; 39

40

g. Develop a comprehensive community-based approach to address lead hazards in housing by 41

mobilizing public and private sector resources including grassroots community-based non-profit 42

and faith-based organizations; 43

44

45

h. Promote collaboration, data sharing, and targeting between health and housing departments; 46

5

1

i. Establish a system or process that will facilitate lead-safe units to be affirmatively marketed, 2

and priority given, to families with young children; 3

4

5

j. To the greatest extent feasible, ensure job training, employment, contracting, and other 6

economic opportunities generated by this grant will be directed to low- and very-low income 7

persons, particularly those who are recipients of government assistance for housing, and to 8

business concerns that provide economic opportunities to low- and very low-income persons in 9

the area in which the project is located. For more information, see 24 CFR Part 135 and section 10

III.C.4.d of the FY 2013 General Section; and 11

12

k. Further environmental justice, the fair treatment and meaningful involvement of all people 13

regardless of race, color, national origin, disability, or income with respect to the development, 14

implementation, and enforcement of environmental laws, regulations, and policies. Furthermore, 15

recipients under this NOFA are subject to Section 504 of the Rehabilitation Act of 1973 16

(“Section 504”) and its implementing regulations at 24 CFR Part 8, and they are subject to Titles 17

II and III of the Americans with Disabilities Act, as applicable. Each of these prohibits 18

discrimination on the basis of disability. 19

20

(Seehttp://www.hud.gov/offices/cpd/environment/review/justice.cfm and related pages, 21

including a discussion of Executive Order 12898, Federal Actions to Address Environmental 22

Justice in Minority Populations and Low-income Populations) 23

24

B. Changes in the FY2013 NOFA. 25

26 1. Clarification of Match Requirements. Additional points will not be awarded for match 27

above the required statutory amount. Applicants will be required to document and provide 28

match to meet the statutory match requirement for the grant program to which they are applying. 29

See Match Requirements and Costs Chart in Section III.C, Cost Sharing or Matching. 30

31

2. Human Subjects Research. Regarding grantee-developed research, funds should not be 32

used if research could affect human subjects. If HUD conducts research involving the grant, 33

whether or not the research could affect human subjects, the grantee is required to cooperate with 34

HUD, which may require that the grantee expends funds. 35

36

3. Consolidated Plans. Applicants will only need to provide one Form_HUD2991, except for 37

to Native American Tribes whose grant-funded activities are not located in jurisdictions with a 38

Consolidated Plan, who need not provide the form. Related submittal requirements are provided 39

in this NOFA. 40

41 4. HUD’s Policy Priorities. The language was revised to better fit the activities under this grant 42

program. 43

44 5. Rating Factor Points. The points awarded for each Rating Factor have been revised. Bonus 45

points were removed for the EC/RC/EZ zone consideration, which does not apply to this NOFA. 46

6

1

II. AWARD INFORMATION: 2

3 A. Funding Available. Based on enactment of the FY2013 HUD appropriations, approximately 4

$ million is available for programs included in this NOFA. Of this amount, approximately $ 5

million is available for the Lead-Based Paint Hazard Control Program and $ million for the Lead 6

Hazard Reduction Demonstration Grant Program. 7

8 1. Grant Award Amounts. The chart below describes the maximum amount of each grant 9

award and period of performance for the programs in this NOFA. Additional points will not be 10

awarded for match. Applicants will be required to document and provide match to meet the 11

statutory match requirement for the grant program to which they are applying. See Section III.C 12

for clarification on what constitutes eligible matching resources. For applications making a 13

Healthy Homes Supplemental Request in excess of $200,000, if approved, the awarded amount 14

will be reduced to $200,000. 15

16

Maximum Grant Award Amounts and Period of Performance

Program Grant Award

Amount

Healthy Homes

Supplemental

Request

Maximum

Award Amount

Period of

Performance

Lead Based Paint

Hazard Control

(CFDA 14.900)

$2,300,000 $200,000 $2,500,000 36 months

Lead Hazard

Reduction

Demonstration

(CFDA 14.905)

$3,000,000 n/a $3,000,000 36 months

17

2. Award Date. The award date for grants will be approximately 180 days from publication of 18

the Notice of Funding Availability in the Federal Register. 19

20

3. Period of Performance. The period of performance shall be 36 months for all applicants 21

funded under this NOFA. Extensions to the period of performance will be considered by HUD 22

in accordance with 24 CFR 85.30(d)(2), published policy guidance and the OHHLHC Grantee 23

Program Guide. Such extensions, when granted, are one-time only, and for no more than a 24

period of one year from the original period of performance end date. 25

26

27

B. Collaboration with Other Partners. All applicants are encouraged to enter into formal 28

arrangements with partners, such as community-based non-profit organizations, and faith-based 29

or other community-based organizations. These formal arrangements could be in the form of a 30

contract, a Memorandum of Understanding (MOU), a Memorandum of Agreement (MOA), or a 31

letter of commitment. Such relationships must be established prior to the actual execution of an 32

award or be contingent upon award, becoming effective within 60 days after award. 33

34

III. ELIGIBLE APPLICANTS. See the FY2013 General Section for additional eligibility 35

7

requirements applicable to HUD Programs. 1

2

A. Who May Apply: 3 1. States, cities, counties/parishes, Native American Tribes or other units of local government 4

are eligible to apply for funding under this NOFA. Multiple units of a local government (or 5

multiple local governments) may apply as a consortium; however, a principal (lead) applicant 6

must be identified that will be responsible for ensuring compliance with all requirements 7

specified in this NOFA. Where an application involves multiple entities, each entity must meet 8

the civil rights threshold requirement of Resolution of Outstanding Civil Rights Matters. State 9

government and Native American tribal applicants must have an Environmental Protection 10

Agency (EPA) authorized lead-based paint training and certification program (see 11

http://www.epa.gov/lead/pubs/traincert.htm). 12

13

2. If you are a housing agency, community development corporation or redevelopment 14

authority, or any other entity that is not the executive office or a department of a Native 15

American Tribe, state, city, county/parish, or other unit of local government, you must identify 16

the government of which you are a part, and submit for review the specific statutory and other 17

documents to demonstrate that you are a part of that government, rather than a separate entity. A 18

document publicly posted on the Internet (i.e., without a password or encryption) may be 19

submitted by providing the title and the web address (URL) in place of a scanned version of the 20

document. If the documentation is not available, the above listed agencies are not eligible to 21

apply for funding under this NOFA. 22

23

24

B. Who May Not Apply: 25 1. FY2012 Awardees. Applicants that received an award under the FY2012 NOFA cycle for 26

any of the programs in this NOFA (i.e., the LBPHC or LHRD programs) are not eligible to apply 27

to any program in this NOFA. 28

29

2. Grantees with Performance Deficiencies. Existing Grantees with the following 30

Performance Deficiencies are not eligible to apply to any program in this NOFA: 31

32

33

a. Applicants that have been designated as high risk for any of their existing OHHLHC grants 34

or subgrants at the submission deadline are ineligible for a grant. 35

36

b. Applicants that have a Red performance designation from the OHHLHC for any existing 37

OHHLHC grant(s) for the two previous consecutive quarters ending on or before the submission 38

deadline are ineligible to apply under this grant program. 39

40

C. Cost Sharing or Matching: 41

42 1. Minimum Match Requirement. Both programs in this NOFA include a statutory match 43

requirement. The chart below describes the match percentage requirement, minimum percentage 44

of federal funds for lead hazard control activities, and maximum administrative cost (as a 45

percentage of federal funds). For LBPHC applicants, the minimum match requirement of 10 46

8

percent applies to the federal requested amount, excluding the Healthy Homes Supplemental 1

Request amount. Applications will not be reviewed or funded if they do not meet the minimum 2

statutory match requirement for the program in which the request was made. 3

4

2. Matching Funds Evaluation. Applicants must provide clear documentation of the source 5

and use of all eligible match funds. Failure to document match contributions in accordance with 6

the requirements set forth in this NOFA (i.e., documented eligible sources of match funding and 7

eligible uses of match funding) will adversely affect the rating of your application, and may 8

result in your application being deemed ineligible if minimum match requirements are not met. 9

10

11 12

Match Requirements and Costs

Program Minimum Match

(of federal request)

Lead Hazard Control

Costs

Administrative Costs

Lead Based Paint

Hazard Control

(CFDA 14.900)

10 percent

(excluding the HH

Supplemental request)

Minimum 65 percent Maximum 10 percent

Lead Hazard

Reduction

Demonstration

(CFDA 14.905)

25 percent Minimum 80 percent Maximum 10 percent

13

The Matching Contribution Table provided below is for your reference. In a similar table, 14

indicate the source, proposed eligible uses and amounts of match committed on the SF424 and 15

form HUD-424-CBW. Add additional rows to the table as needed. 16

17

Matching Contribution Table. 18

Eligible Match Source

(e.g., CDBG, in-kind, etc.)

Eligible Match Use (e.g., relocation,

direct lead hazard control interventions,

outreach, etc.)

Match Amount

Committed

19

3. Evidence of match commitment. The applicant must provide documentation of all match 20

indicated on the SF424 and the form HUD-424-CBW by letters of firm commitment, such as 21

Memoranda of Understanding or other signed agreements from those entities identified as 22

partners in the application. Matching contributions must be shown to be used specifically for 23

allowable program costs and come from allowable non-federal sources—both the source of the 24

funds and use of the funds must comply with the requirements of this NOFA. The Department 25

will track and monitor all match commitments according to Office of Management and Budget 26

(OMB) and program requirements. 27

28

As noted in the FY2013 General Section, applicants should refer to applicable Office of 29

Management and Budget (OMB) circulars, particularly those with respect to the funds used or 30

proposed to be used to satisfy this requirement. Applicants should also note in 24 CFR 85.24, 31

except as provided by Federal statute, a cost sharing or matching requirement may not be met by 32

9

costs borne by another federal grant; the source of the match must be state or local (i.e., non- 1

federal). In addition, the proposed use of matching funds must be for those costs allowable under 2

the federal award. 3

4

Proposed matching commitments that are not eligible, such as either from funding sources that 5

are federal (e.g. HOME or Weatherization Assistance Program funds) or are not committed for 6

allowable uses (e.g., rehabilitation, code compliance, etc.), will not be counted towards satisfying 7

the match requirements of the programs in this NOFA. NOTE: Community Development 8

Block Grant (CDBG) funds are considered local funds and may be used as match to satisfy the 9

matching resource requirements of this NOFA provided they are specifically designated for the 10

activities and costs allowed in this NOFA. In addition, CDBG funds used must be in the CDBG 11

recipient’s annual action plan indicating that the CDBG funds were being used for the purpose 12

stated in the applicant’s application. HOME funds, and all other funds that prohibit their use to 13

satisfy federal matching requirements, may not be used to satisfy match requirements of this 14

NOFA. All letters of commitment MUST clearly identify the source and proposed uses of 15

matching funds being committed. 16

17

4. Permissible Match Contributions. Examples of eligible sources that are permissible as 18

match contributions may include: 19

20

a. Documentation of Contributions from Property Owners. For the share of the cost of 21

eligible lead hazard control work contributed by a homeowner or landlord, detailed 22

documentation of the cost incurred by the homeowner or landlord will be necessary after award 23

and during the period of performance of the grant. Owner contributions are limited to that which 24

can be supported and verified by a third party, such as materials paid for and provided by the 25

owner or labor that the owner paid and can substantiate via receipts/records. Labor contributed 26

by the owner must be verified by a third party and valued at market rates. NOTE: The applicant 27

will be responsible for providing the total amount of the match dollars for proposed contributions 28

from property owners if these contributions are not received during the period of performance of 29

the grant. Match dollars must be provided during the period of performance. Such funds may not 30

come from other OHHLHC funds and must conform to the limitations on use of federal funds for 31

this purpose. 32

33

b. Donations. The value of items, such as paint and other materials or equipment that are used 34

for lead-based paint hazard control, must be established at market rates. 35

36

37

c. Discounts. For services or products provided at a discounted rate, the discounted part of the 38

fee or price is the eligible match. For example: if a supply company provides a product to the 39

contractor at a lower rate, the difference in the cost of the product the supplier would typically 40

charge and the discounted rate is an eligible match. 41

42

d. Third Party In-Kind Contributions. See 24 CFR 85.24 for additional information on third 43

party in-kind contributions. 44

45

46

10

D. Other Requirements. 1 1. Threshold Requirements. Applicants must meet the threshold Requirements in the FY2013 2

General Section, Section III.C.2, as well as the threshold requirements listed in this subsection. 3

4

a. Only eligible applications as defined in Section III, Eligible Applicants, above, will be 5

reviewed for compliance with threshold requirements. 6

7

b. Applications requesting federal funding over the maximum amount per award for the 8

program to which you are applying (excluding the HH Supplemental Request for LBPHC 9

applicants) will not be eligible for review. Applicants must clearly document the requested 10

federal funding on line 18a of the SF424, Application for Federal Assistance, and the form 11

HUD_424_CBW: HUD Detailed Budget Worksheet including Total Budget. 12

13

14

c. An application must meet or exceed the match percentage requirement for the program they 15

are applying under , as described in Section III.C, Cost Sharing or Matching, above, to be 16

reviewed. 17

18

d. Applicants must submit each of the required application documents as indicated in Section 19

IV.B, below, for their applications to meet threshold requirements and be reviewed. 20

21

22

e. Applications must receive a total score of at least 75 points to be considered for funding. 23

24

f. Targeted Funding for LHRD Applicants. Applicants seeking funding under the Lead Hazard 25

Reduction Demonstration (LHRD) Grant Program, which is targeted to urban jurisdictions, in 26

addition to the requirements in Section III.A., above, must have at least 3,500 pre-1940 occupied 27

rental housing units (either alone or through a consortium), as listed at the Census website. 28

http://factfinder2.census.gov/faces/nav/jsf/pages/index.xhtml. 29

30

31

2. Program Requirements. 32 a. Trained and Certified Professionals. Funded activities must be conducted by persons 33

qualified for the activities according to 24 CFR part 35, subparts B–R (possessing certification as 34

risk assessors, inspectors, abatement supervisors, abatement workers, or sampling technicians; or 35

certified renovator (for workers and supervisors performing non-abatement work), as applicable. 36

Any abatement activities conducted under either of these grant programs require certified 37

abatement supervisor and certified abatement worker credentialing. Each certified person must 38

work for an appropriately certified firm, e.g., a certified risk assessment, certified inspection, 39

certified abatement or certified renovation firm. 40

41 b. Compliance with HUD Regulations and Guidelines. Lead hazard evaluation and control 42

work must be conducted in compliance with HUD’s Lead Safe Housing Rule, the current HUD 43

Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing (current 44

HUD guidelines; 45

http://portal.hud.gov/hudportal/HUD?src=/program_offices/healthy_homes/lbp/hudguidelines), 46

11

and applicable federal, state and local regulations and guidance, including, but not limited to the 1

EPA’s Renovation, Repair, and Painting (RRP) Rule (found within 40 CFR 745; see 2

http://www.epa.gov/lead/pubs/renovation.htm). You must not engage in the following prohibited 3

practices when conducting Lead Hazard Control work: 4

(1) Open flame burning or torching; 5

(2) Machine sanding or grinding without a high-efficiency particulate air (HEPA) 6

exhaust control; 7

(3) Uncontained hydro blasting or high-pressure washing; 8

(4) Abrasive blasting or sandblasting without HEPA exhaust control; 9

(5) Heat guns operating above 1,100 degrees Fahrenheit or that char paint; 10

(6) Chemical paint strippers containing methylene chloride or other volatile hazardous 11

chemicals in a poorly ventilated space; and 12

(7) Dry scraping or dry sanding, except scraping in conjunction with heat guns or around 13

electrical outlets or when treating no more than two square feet in any one interior room or 14

space, or totaling no more than 20 square feet on exterior surfaces. 15

16

c. Testing. All testing and sampling shall comply with the Lead Safe Housing Rule and 17

conform to the current current HUD guidelines, the EPA lead hazard standards at 40 CFR part 18

745, and federal, state, or tribal regulations developed as part of the appropriate contractor 19

certification program, whichever is most stringent. 20

(1) Lead-Based Paint and Lead-Based Paint Hazard Identification. A complete 21

lead-based paint inspection, lead hazard risk assessment, and report are required for all properties 22

enrolled under this program. Presumption of the presence of lead-based paint or lead-based paint 23

hazards is not allowed. Paint inspections and risk assessments must follow the procedures as 24

defined in the HUD Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in 25

Housing and as defined by the policies of the OHHLHC Lead Based Paint Hazard Control 26

Program. 27

(2) Clearance Testing. If rehabilitation is performed in conjunction with lead hazard 28

control, clearance may be conducted either after the lead hazard control work is completed, and 29

again after any subsequent rehabilitation work is completed, or after all of the lead hazard control 30

and rehabilitation work is completed. In either case, clearance must be successfully completed 31

before re-occupancy. 32

33

d. Blood Lead Testing. Each child under six years of age should be tested for lead poisoning 34

within the six months preceding the lead hazard control work. Any child with an elevated blood 35

lead level must be referred for appropriate medical follow-up. The standards for such testing are 36

described in the U.S. Centers for Disease Control and Prevention (CDC) publications Preventing 37

Lead Poisoning in Young Children (1991), and Screening Young Children for Lead Poisoning: 38

Guidance for State and Local Public Health Officials (1997). See also, the CDC Response to 39

Advisory Committee on Childhood Lead Poisoning Prevention Recommendations in “Low Level 40

Lead Exposure Harms Children: A Renewed Call of Primary Prevention” (2012). 41

42

e. Cooperation with Related Research and Evaluation. You must cooperate fully with any 43

research or evaluation sponsored by HUD or another government agency associated with this 44

grant program, including preservation of project data and records and compiling requested 45

information in formats provided by the researchers, evaluators or HUD. This also may include 46

12

the compiling of certain relevant local demographic, dwelling unit, and participant data not 1

contemplated in the original proposal. Participant data shall be subject to the Privacy Rule of the 2

Health Insurance Portability and Accountability Act of 1996 (HIPAA). HIPAA and the Privacy 3

Rule can be found at http://www.hhs.gov/ocr/privacy/. For the programs in this NOFA, HUD 4

does not expect research to be conducted that could affect human subjects. 5

6

f. Data Collection. You shall collect, maintain, and provide to HUD the data necessary to 7

document and evaluate grant program outputs and outcomes. 8

9

10

g. Economic Opportunities for Low- and Very Low-Income Persons (Section 3). Section 3 11

of the Housing and Urban Development Act of 1968 (12 U.S.C. § 1701u) is applicable to grants 12

funded under this program NOFA (see 24 CFR 135.3(a)(2)(i)). The purpose of Section 3 is to 13

ensure that new training, employment or contracting opportunities created during the grant will 14

be directed to low- and very low-income persons residing in the target area and to eligible 15

businesses that substantially employ and/or train such persons, to the greatest extent feasible. If 16

the grantee plans to hire any new employees or award contracts to carry out the grant, it must 17

comply with the Section 3 requirements found at 24 CFR 135.32. Additionally, any contractor, 18

subcontractor or sub-grantee receiving contracts under the grant totaling more than $100,000 19

must comply with the Section 3 requirements for any new training, hiring or sub-contracting 20

opportunities provided under those contracts. Also, all grantees that receive awards exceeding 21

$200,000 are required to comply with Section 3. Please refer to 24 CFR part 135, subparts B and 22

E, and to Section III.C.4.d of the FY2013 General Section, for additional information. 23

24

h. Replacing Existing Resources. Funds received under the grant programs covered under this 25

NOFA shall not be used to replace existing community resources dedicated to any ongoing 26

project. 27

28

i. Code of Conduct. Prior to entering into a grant agreement with HUD, successful applicants 29

will be required to submit a copy of their organization’s Code of Conduct and describe the 30

methods they will use to ensure that all officers, employees, and agents of their organization are 31

aware of their Code of Conduct. An organization that submitted an application during Fiscal 32

Years 2011 or 2012 will not be required to submit another copy provided that their Code of 33

Conduct is current, and is listed on HUD’s Code of Conduct website: 34

http://www.hud.gov/offices/adm/grants/codeofconduct/cconduct.cfm. 35

36

37

j. Coordination among Critical Agencies. HUD encourages participation in statewide or 38

jurisdiction-wide strategic plans to eliminate childhood lead poisoning as a major public health 39

problem, or to assist in the development of a plan if your state or locality does not have such a 40

plan. Additionally, HUD encourages you to enter into collaborative arrangements with 41

childhood lead poisoning prevention programs, health agencies, housing agencies, community 42

development agencies, weatherization assistance agencies, community-based language assistance 43

organizations, fair housing organizations and code enforcement agencies (or equivalent) for your 44

target area(s). Also, we encourage grantees to work with State Medicaid agencies to collaborate 45

in conducting inspections of properties where a child has an elevated blood lead level. 46

13

1

k. Institutional Review Board (IRB).For the programs in this NOFA, funds should not be 2

used for research that could affect human subjects. 3

4

5

l. Waste Disposal. Applicants must handle waste disposal according to the requirements of the 6

appropriate local, state, and federal regulatory agencies. Applicants must handle disposal of 7

wastes from hazard control activities that contain lead-based paint, but are not classified as 8

hazardous in accordance with state or local law or the current HUD guidelines. The Guidelines 9

are available from the HUD website: 10

http://www.hud.gov/offices/lead/lbp/hudguidelines/index.cfm. 11

12

m. Worker Protection Procedures. Applicants must observe the procedures for worker 13

protection established in the current HUD guidelines, as well as the requirements of the 14

Occupational Health and Safety Administration (OSHA) (in particular, 29 CFR 1926.62, Lead 15

Exposure in Construction), or the state or local occupational safety and health regulations, 16

whichever are most protective. If other applicable requirements contain more stringent 17

requirements than the current HUD guidelines, the more rigorous standards must be followed. 18

19

n. Temporary Relocation. HUD expects that most temporary displacement (relocation) for 20

lead hazard control work would be for 10 days or less. Assisting temporary relocation of 21

families forced to vacate housing while lead hazard reduction measures are being conducted is an 22

eligible activity of the programs described in this NOFA. Tenant-occupants forced to vacate 23

housing while lead hazard reduction measures are being conducted pursuant to a program 24

described in this NOFA must be treated fairly and equitably. Such tenant-occupants are entitled 25

to receive temporary relocation assistance pursuant to the Uniform Relocation Assistance and 26

Real Property Acquisition Policies Act of 1970 (URA), 42 U.S.C. §§ 4601-4655, as described in 27

regulations at 49 CFR 24.2(a)(9)(ii)(D) and the corresponding Appendix A to Part 24. If 28

temporary relocation of a tenant-occupant lasts beyond one year, such tenant must be offered 29

permanent relocation assistance as a displaced person. Owner-occupants temporarily relocating 30

while lead hazard reduction measures are conducted pursuant to a program described in this 31

NOFA are not entitled to URA relocation assistance. You can access these regulations from the 32

Government Printing Office website at http://www.gpoaccess.gov/cfr/index.html. When tenant 33

occupants with physical disabilities are temporarily relocated, they must be offered housing that 34

can be approached, entered, and used by persons with physical disabilities . For additional 35

information on relocation requirements, see section III.C.4.i of the FY2013 General Section and 36

HUD Handbook 1378 (―Real Estate Acquisition and Relocation Policy and Guidance). 37

38

o. Notification Requirements. All lead-based paint testing results, summaries of lead-based 39

paint hazard control treatments, and clearances must be provided to the owner of the unit, 40

together with a notice describing the owner’s legal duty to disclose the results to tenants and 41

buyers (see 24 CFR 35.88 of the Lead Disclosure Rule). Grantees shall ensure that this 42

information is provided in a manner that is effective for persons with disabilities (24 CFR 8.6) 43

and that persons with limited English proficiency (LEP) will have meaningful access to it (see 44

Executive Order 13166 and Section III.C.4.c of the FY2013 General Section). 45

Grant files must contain verifiable evidence of providing lead hazard evaluation and control 46

14

reports to owners and tenants, such as a signed and dated receipt. Applicants should also 1

describe how they will provide owners with lead hazard evaluation and control information 2

generated by activities under this grant, so that the owner can comply with the Lead Disclosure 3

Rule (24 CFR part 35, subpart A, or the equivalent 40 CFR part 745, subpart F), the Lead Safe 4

Housing Rule (24 CFR part 35, subparts B–R), and the EPA’s Renovation, Repair, and Painting 5

(RRP) Rule (see 40 CFR 745 and http://www.epa.gov/lead/pubs/renovation.htm.) 6

7

p. Consolidated Plans.(This requirement does not apply to Native American Tribes whose 8

grant-funded activities are not located in jurisdictions with a Consolidated Plan.) The applicant 9

only needs to provide one Form_HUD2991. By signing the certification, the applicant certifies 10

that the work will be conducted in accordance with their, and other jusisdictions’ Consolidated 11

Plans for areas where the project will be carried out. Applicants must submit, as an attachment, 12

the current lead-based paint element from their approved Consolidated Plan. In lieu of 13

submitting a scanned copy of the lead-based paint element from the current Consolidated Plan, 14

you may substitute a web site address where the Consolidated Plan is located, and identify the 15

location of the lead-based paint element within the Plan (e.g., section/subsection number, page 16

number). The website must contain the lead-based paint element of the current Consolidated 17

Plan. Be sure to verify the web address is active. If you do not include a scanned copy of the 18

lead-based paint element, or if you refer to a web site that is not active or does not contain the 19

element when your application is reviewed, you will receive no credit for this Consolidated Plan 20

requirement. If the jurisdiction does not have a currently approved Consolidated Plan, but is 21

otherwise eligible for LBPHC and LHRD grant programs, you must include the jurisdiction’s 22

abbreviated Consolidated Plan, which includes a lead-based paint hazard control strategy 23

developed in accordance with 24 CFR 91.235. 24

25

q. Grantee Required Trainings. Applicants awarded under this NOFA will be required to 26

attend a one time, New Grantee Orientation and an annual Program Manager School. If your 27

grant agreement is not signed prior to the New Grantee Orientation, costs incurred to attend the 28

New Grantee Orientation are allowable in accordance with OMB’s regulation on cost principles 29

for State, local, and Indian tribal governments (2 CFR 225, especially Appendix B to part 225, 30

Selected Items of Cost, sections 31, Pre-award costs, and 43, Travel costs) and selected 31

applicants will be reimbursed for costs related to the new Grantee Orientation after the award 32

agreement is signed. HUD reserves the right to disallow costs that are not reasonable, allowable 33

and allocable in accordance with OMB Cost Principles. 34

35

r. Written Policies and Procedures. Awardees will be required to develop written policy and 36

procedures during the start up period of the new award. The policies and procedures should 37

describe how your program will handle items such as, but not limited, to; procurements 38

(contracting), unit eligibility, unit selection and prioritization, all phases of lead hazard 39

evaluation and control, including risk assessments, inspections, development of specifications for 40

contractor bids, pre-hazard control blood lead testing, financing, temporary relocation and 41

clearance examinations. Grantees, sub-contractors, sub-grantees, sub-recipients, and their 42

contractors must adhere to these policies and procedures. 43

44

s. Continued Availability of Lead-Safe Housing to Low-Income Families. Units in which 45

lead hazards have been controlled under this program shall be occupied by or continue to be 46

15

available to low-income residents as required by Title X (see section VIII.B in this NOFA). The 1

applicant is to describe previous efforts, if applicable, to maintain a registry (listing) of low- 2

income units in which lead hazards have been controlled (often called “lead-safe units”) as a 3

result of previous activities, and plans in conjunction with this grant for continuing an existing 4

registry or establishing a new registry, and procedures for ensuring that these units are 5

affirmatively marketed at turnover targeting low-income families with children less than six 6

years of age. 7

8

9

t. Environmental Requirements. 10 (1) Recipients of funding under this NOFA must comply with 24 CFR part 58, 11

Environmental Review Procedures for Entities Assuming HUD Environmental Responsibilities, 12

and must carry out environmental review responsibilities as a responsible entity under part 58. 13

Recipients must also meet environmental justice requirements noted earlier in the NOFA. 14

(2) Recipients of funding under this NOFA may conduct lead inspections and risk 15

assessments prior to receiving Environmental Review Clearance under the exemption allowed in 16

24 CFR 58.34(a)(5), which states that inspections and testing of properties for hazards or defects 17

are exempt activities. 18

19

u. Standards for Laboratory Analysis. All laboratory analysis in support of required testing 20

and evaluation under this NOFA must be conducted by a laboratory recognized for the analysis 21

by the EPA National Lead Laboratory Accreditation Program (NLLAP; 22

http://www.epa.gov/lead/pubs/nllap.htm.) 23

24

v. Control/Elimination Strategies. All lead-based paint hazards identified in housing units 25

and in common areas of multifamily housing enrolled in this grant program must be controlled or 26

eliminated by either of the following strategies or a combination of the two: 27

(1) Interim Controls. In accordance with the current HUD guidelines, interim controls 28

of lead-based paint hazards including lead-contaminated dust and soil in housing must include 29

specialized cleaning techniques to address lead dust. 30

(2) Abatement. Lead-based paint hazard abatement; however, see the restrictions on 31

conducting paint abatement in Section III.D.3.b(2)(b), Lead-Based Paint Abatement, below. 32

33 w. Compliance with Section 504 of the Rehabilitation Act. Facilities that may be used where 34

participants may come for assistance (i.e. intake and enrollment proceedings), pursuant to 35

funding from this NOFA, must be held in facilities that are accessible to persons with disabilities 36

in accordance with Section 504 of the Rehabilitation Act and its implementing regulations at 24 37

CFR Part 8, and with Titles II and III of the Americans with Disabilities Act, as applicable. Also, 38

all trainings and educational courses conducted pursuant to funding from this NOFA must be 39

held in facilities that are accessible to persons with disabilities. Where physical accessibility is 40

not achievable, recipients and sub recipients must give priority to alternative methods of product 41

delivery that offer such activities to qualified individuals with disabilitiesin the most integrated 42

setting appropriate in accordance with Section 504 of the Rehabilitation Act (29 U.S.C. § 794) 43

and its implementing regulations at 24 CFR Part 8, and with Titles II and III of the Americans 44

with Disabilities Act, as applicable. Grantees shall also ensure that information and 45

communications related to all activities conducted pursuant to this NOFA must be provided in a 46

16

manner that is effective for persons with hearing, visual, and other communication-related 1

disabilities. See 24 CFR 8.6. Further, HUD encourages its funding recipients to adopt the goals 2

and objectives of Section 508 of the Rehabilitation Act by ensuring, whenever electronic 3

information technology (EIT) is used, procured, or developed, that persons with disabilities have 4

access to and use the information and data made available through EIT on a comparable basis as 5

is made available to and used by persons without disabilities. See section III.C.4.f of the 6

General Section for more information 7

8 x. Other. The requirements above are in addition to all other applicable requirements, 9

including the fair housing and non-discrimination requirements specified in section III.C.4 of the 10

FY 2013 General Section. 11

3. Additional Program Requirements. 12 a. Allowable Costs and Activities. This section applies to both grant programs unless 13

otherwise specified. For each kind of organization, a set of Federal principles determines 14

allowable costs. Allowable costs shall be in accordance with the cost principles applicable to the 15

organization incurring the costs. Specifically, OMB Circular A-87 (2 CFR 225) - Cost Principles 16

for State, Local, and Indian Tribal Governments, can be accessed at the White House website, 17

http://www.whitehouse.gov/omb/circulars/index.html. 18

19

b. Lead Hazard Control Direct Costs. Lead hazard control direct costs are defined as costs 20

specifically related to the performance of lead hazard control activities, as defined below. When 21

preparing the budget, you must document how at least 65 percent of the requested grant amount 22

for the Lead-Based Paint Hazard Control Grant program, or at least 80 percent of the requested 23

grant amount for the Lead Hazard Reduction Demonstration Grant Program is dedicated 24

specifically for lead hazard control activities. Lead hazard control activities are defined as: 25

(1) Performing lead dust, soil and paint-chip testing, lead-based paint inspections, risk 26

assessments, clearance examination, and engineering and architectural activities that are required 27

for, and in direct support of, interim control and lead hazard control work, of eligible housing 28

units constructed prior to 1978 to determine the presence of lead-based paint and/or lead hazards 29

from paint, dust, or soil through the use of acceptable testing procedures. 30

(2) The control or elimination of all lead-based paint hazards identified in housing units 31

and in common areas of multi-family housing by either of the following strategies (or a 32

combination), including: 33

(a) Interim Controls. According to the current HUD guidelines for the 34

Evaluation and Control of Lead-Based Paint Hazards in Housing (“current HUD guidelines”), 35

interim controls of lead-based paint hazards (including paint-lead hazards, dust-lead hazards and 36

soil-lead hazards) in housing must include specialized cleaning techniques to address associated 37

lead dust. See Chapter 11 of the current HUD guidelines for more information 38

(http://www.hud.gov/offices/lead/lbp/hudguidelines/Ch11.pdf). 39

(b) Lead-Based Paint Abatement. Abatement of all lead-based paint is 40

generally authorized only in states or localities that require complete abatement by law. HUD 41

does not consider abatement of all lead-based paint to be cost effective in most circumstances; 42

therefore, a grantee must make a special request in writing prior to conducting complete 43

abatement of lead-based paint. Abatement of lead-contaminated soil should be limited to areas 44

with bare soil in the immediate vicinity of the structure (i.e., the drip line or foundation of the 45

unit being treated, and children’s play areas). 46

17

(3) Undertaking minimal housing intervention activities that are specifically 1

required to carry out effective hazard control, and without which the hazard control could 2 not be completed, maintained, and sustained. Refer to HUD Policy Guidance 2008-02 on the 3

OHHLHC website (http://www.hud.gov/offices/lead/library/lead/PGI-2008- 4

02_Doing_Minimal_Rehab.pdf) for further information on minimal rehabilitation activities. 5

(4) Carrying out temporary relocation for temporarily displaced families and 6

individuals while the remediation is conducted and until the time the affected unit receives 7 clearance for re-occupancy. When persons with physical disabilities are temporarily relocated, 8

they must be offered housing that can be approached, entered, and used by persons with physical 9

disabilities. For additional information on temporary relocation requirements, see Section 10

III.D.2.n of this NOFA. HUD expects that most temporary relocation for lead hazard control 11

work would be for 10 days or less. 12

(5) Lead Hazard Control-Specific Soft Project Costs. Activities that directly support 13

the undertaking of lead hazard control activities, and without such support activities, the lead 14

hazard control activities could not be conducted. These soft project costs may include: staff 15

costs for intake, review and approval of applications and preparation of documents to be signed 16

by applicants for lead remediation work; staff costs for arranging for temporary relocation; staff 17

costs associated with reimbursement, and providing assistance to residents in relation to lead 18

hazard control; and travel for staff that perform lead hazard control. 19

20 c. Other Allowable Direct Costs. Costs for the activities below are allowable Direct Costs, 21

but should not be counted as Lead Hazard Control Direct Costs: 22

(1) Purchasing or Leasing Equipment Having a Per-Unit Cost under $5,000. Award 23

recipients that purchase X-ray fluorescence (XRF) analyzers or other equipment in excess of 24

$5,000 apiece must complete the General Services Administration’s annual Tangible Personal 25

Property Report, if and after that report receives OMB approval under the Paperwork Reduction 26

Act of 1995 (see 75 Federal Register 14441-14442; March 25, 2010). This report has four 27

components: the Annual Report, the Final (Award Closeout) Report, and the Disposition 28

Report/Request, and, if needed, the Supplemental Sheet (see 29

http://www.whitehouse.gov/omb/grants_standard_report_forms). Generally, the average 30

estimated time to complete each of these components is 0.5 hours; it is likely to be less for this 31

grant program. 32

(2) Performing blood lead testing or air sampling to protect the health of the hazard 33

control workers, supervisors, and contractors. 34

(3) Conducting targeted outreach, affirmative marketing, education or outreach programs 35

on lead hazard control and lead poisoning prevention that will result in increased lead hazard 36

control activities or that are designed to increase the ability of the program to deliver lead hazard 37

control services, including educating owners of rental properties, tenants, and others on the 38

Residential Lead-Based Paint Hazard Reduction Act, Lead Safe Housing Rule (24 CFR part 35, 39

subparts BR), and applicable provisions of the Fair Housing Act, especially as it pertains to 40

familial status (e.g., families with children) and disability discrimination, providing meaningful 41

access to these program benefits and information to Limited English Proficient (LEP) individuals 42

through language assistance strategies and services, in accordance with Title VI of the Civil 43

Rights Act of 1964 and the Final Guidance to Federal Financial Assistance Recipients 44

Regarding Title VI, Prohibition Against National Origin Discrimination Affecting Limited 45

English Proficient Persons published on January 22, 2007 in the Federal Register (72 FR 2732) 46

18

(for more information, see section III.C.4.c of the FY2013 General Section), and providing 1

training on lead-safe maintenance and renovation practices and management. Upon request, this 2

also would include making all materials available in alternative formats to persons with 3

disabilities (e.g., Braille, audio, and large type) pursuant to 24 CFR Part 8.6(b) and Titles II and 4

III of the Americans with Disabilities Act, as applicable. Also, a registry of lead-safe units 5

should be developed and provided to families as part of the outreach program. 6

(4) Supporting data collection, analysis, and evaluation of grant program activities. This 7

includes compiling and delivering such data as may be required by HUD. 8

(5) Providing resources to build capacity for lead-safe housing and lead hazard control, 9

including free delivery of HUD-approved lead-safe work practices training courses for housing 10

rehabilitation contractors, rehabilitation workers, renovators, remodelers, homeowners, renters, 11

painters, maintenance staff, and others conducting renovation, rehabilitation, maintenance, 12

hazard control, or other work in private housing; free delivery of lead sampling technician 13

training, lead-based paint worker or contractor certification training; subsidies for licensing or 14

certification fees to low-income persons seeking credentials as lead-based paint workers or 15

contractors, lead sampling technicians or certified renovators; and completion of other HUD- 16

approved courses that further the effectiveness of lead hazard control interventions or promote 17

the integration of this grant program with housing rehabilitation, property maintenance, 18

weatherization, healthy homes initiatives, and housing-related health hazard interventions, such 19

as the Essentials for Healthy Homes Practitioners Course. 20

(6) Conducting planning, coordination, and training activities to comply with HUD’s 21

Lead Safe Housing Rule (24 CFR part 35, subparts B-R). These activities should support the 22

expansion of a workforce properly trained in lead-safe work practices that is available to conduct 23

interim controls on HUD-assisted housing covered by these regulations. 24

25

d. Lead Hazard Control Indirect Costs. 26 (1) Administrative Costs. Applicants can utilize up to 10 percent of HUD funds for 27

payments of reasonable grant administrative costs related to planning and executing the project, 28

preparation/submission of HUD reports, etc. Administrative costs must be reflected under the 29

appropriate line items (e.g., salaries, fringe, supplies, etc., of the Form HUD 424CBW) and a 30

detailed cost element breakdown in the budget narrative must be provided. Detailed 31

explanations of these costs are provided in the OMB Cost Principles circulars (A-21 Cost 32

Principles for Educational Institutions codified in 2 CFR Part 220 and found at 33

http://ecfr.gpoaccess.gov/cgi/t/text/text- 34

idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr220_main_02.tpl; A-87 Cost Principles for State, 35

Local, and Indian Tribal Governments, codified in 2 CFR Part 225 and found at 36

http://ecfr.gpoaccess.gov/cgi/t/text/text- 37

idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr225_main_02.tpl; and A-122 Cost Principles for Non- 38

profit Organizations, codified in 2 CFR Part 230 and found at 39

http://ecfr.gpoaccess.gov/cgi/t/text/text- 40

idx?c=ecfr&tpl=/ecfrbrowse/Title02/2cfr230_main_02.tpl. 41

42

e. Funding Restrictions. 43 (1) Administrative Costs. Administrative costs may not exceed 10 percent of the grant 44

award. 45

(2) Ineligible Costs and Activities. You may not use grant funds for any of the 46

19

following activities: 1

(a) Purchase of real property. 2

(b) Purchase or lease of equipment having a per-unit cost in excess of $5,000, 3

except for the purchase or lease of up to two X-ray fluorescence analyzers to be used exclusively 4

by the grant program. 5

(c) Chelation or other medical treatment costs related to children with elevated 6

blood lead levels (EBLs). Non-federal funds used to cover these costs may not be counted as part 7

of the matching contribution. 8

(d) Lead hazard evaluation or control activities in publicly-owned housing, or 9

project-based Section 8 housing (this housing stock is not eligible under Section 1011(a) of the 10

Lead-Based Paint Hazard Reduction Act). 11

(e) Lead hazard evaluation or control activities in rental housing covered by a 12

pending or final HUD, EPA, and/or Department of Justice settlement agreement, consent decree, 13

court order or other similar action regarding violation of the Lead Disclosure Rule (24 CFR part 14

35, Subpart A, or the equivalent 40 CFR part 745, subpart F), or by HUD regarding the Lead 15

Safe Housing Rule (24 CFR part 35, subparts B–R). 16

(f) Activities that do not comply with the Coastal Barrier Resources Act (16 17

U.S.C. § 3501) 18

(g) Lead-hazard control or rehabilitation of a building or manufactured home that 19

is located in an area identified by the Federal Emergency Management Agency (FEMA) under 20

the Flood Disaster Protection Act of 1973 (42 U.S.C. §§ 4001– 4128) as having special flood 21

hazards unless: 22

i. The community in which the area is situated is participating in the 23

National Flood Insurance Program in accordance with the applicable regulations (44 CFR parts 24

59–79), or less than a year has passed since FEMA notification regarding these hazards; and 25

ii. Where the community is participating in the National Flood Insurance 26

Program, flood insurance on the property is obtained in accordance with section 102(a) of the 27

Flood Disaster Protection Act (42 U.S.C. § 4012a(a)). You are responsible for assuring that 28

flood insurance is obtained and maintained for the appropriate amount and term. 29

(h) Demolition of housing units or detached buildings as a means of lead hazard 30

control and/or the replacement of such structures. 31

32

IV. APPLICATION AND SUBMISSION INFORMATION 33

34

A. Address to Request Application Package: 35 See the FY2013 General Section for specific procedures concerning the electronic application 36

submission requirements. The application and instructions are available at 37

http://www.grants.gov/applicants/apply_for_grants.jsp. Applicants that have difficulty accessing 38

the information may call the help desk help line at 800-518-GRANTS or e-mail 39

support@grants.gov. Hearing- or speech-impaired individuals may access this telephone number 40

through TTY by calling the toll-free Federal Relay Service at 800-877-8339. 41

42

B. Content and Form of Application Submission: 43 Applicants eligible to apply under this NOFA must follow the submission requirements 44

described below: 45

46

20

1. Complete Application Format. 1 a. Standard Form 424 (SF424) Application for Federal Assistance. Applicants must include 2

the nine digit zip code—zip code plus four digits—associated with the applicant address in box 3

8d of the SF424. Applicant contributions reported on the SF424 in lines 18b-f should correspond 4

to what is reported on the Form HUD_424_CBW: HUD Detailed Budget Worksheet. Failure to 5

adequately and accurately document matching contributions will adversely affect the threshold 6

evaluation of your application. (See Instructions to SF424) 7

b. Form HUD_424_CBW: HUD Detailed Budget Worksheet including Total Budget 8 (Federal Share and Match Commitment) and Budget Justification Narrative. Failure to 9

satisfy minimum eligible matching fund requirements for the program for which you are 10

applying will disqualify the applicant (See Section III.C, Cost Sharing or Matching, for 11

additional information on match resources). 12

c. Abstract. A 2 page abstract shall contain the information detailed below: 13

(1) Applicants should specify what program in the NOFA you are applying for grant funds 14

under (LBPHC or LHRD); 15

(2) Indicate if the applicant is a new applicant or a current/prior grantee under any program 16

in this NOFA; if a current or prior grantee, list the fiscal year and program of each award and 17

grant award number; and, 18

(3) For LBPHC applicants, indicate in the narrative whether the application includes a 19

request for the promotion and development of healthy housing intervention funding (as per 20

Section I.A.1), the amount of funding being requested and a discussion of the proposed uses of 21

the Healthy Homes Supplemental request. 22

23 d. Narrative Response. The narrative to the Rating Factors is limited to a maximum of 40 24

pages (excluding appendices, budget forms/narrative, and worksheets) of size 8-1/2 x 11 using a 25

12-point (minimum) Times New Roman font, double-spaced, with margins not less than 1 inch 26

on all sides. While the 40-page rating factor response does not include attachments, tables, 27

appendices, and other required forms, the applicant should not rely on excessive appendices to 28

address the rating factors – this information should be clearly described in the rating factor 29

narrative. Applicants should be aware that any narrative information submitted in response to 30

the Rating Factors that exceeds the 40-page limit will not be reviewed. 31

32 e. Budget Narrative. This section should include a brief budget narrative providing details on 33

administrative costs (maximum of 10 percent of the federal requested amount—excluding 34

Healthy Homes Supplemental request amount for LBPHC applicants making the request), 35

staffing costs and details on which costs are included in the 65 percent (LBPHC) or 80 percent 36

(LHRD) direct lead hazard control minimum cost requirement. Include a description of how the 37

healthy housing initiative funding will be allocated including the number of housing units 38

affected. 39

40

f. Form_HUD2991_Certification_of_Consistency_with_the_Consolidated_Plan. 41 Form_HUD2991_Certification_of_Consistency_with_the_Consolidated_Plan (and references to 42

need for lead-based paint treatment in the Analysis of Impediments to Fair Housing Choice 43

(AI)). Tribal government applicants are exempt from this requirement. 44

45

g. Consolidated Plan Lead-Based Paint Element. Copy of Consolidated Plan’s Lead-Based 46

21

Paint Element (or link to website identifying where the Lead-Based Paint Element can be found). 1

Tribal government applicants are exempt from this requirement. 2

3

h. Appendices. Materials provided in the appendices should directly refer to the specific rating 4

factor narrative. Material provided in the appendices must support narrative information but will 5

not be used in lieu of information provided in response to the Rating Factors. Applicants are 6

strongly urged to not submit information that is not required and/or requested in the NOFA or 7

relevant to a specific narrative response. All attachments must identify the related Rating Factor 8

in the footer by providing the Rating Factor and the page number (e.g., Factor 1 Attachment, 9

page 1). 10

11

i. Other Application Materials (as applicable): 12

(1) Form HUD_2995_Certification of Consistency with Sustainable Communities 13 Planning and Implementation. If applicable. Please refer to the FY2013 General Section for 14

information regarding your eligibility to receive Bonus Points in accordance with the Preferred 15

Sustainable Communities Status Bonus Points. 16

(2) Form_HUD2880_Applicant-Recipient_Disclosure-Update_Report 17 (3) SFLLL_Disclosure_of_Lobbying_Activities. If not applicable, indicate “not 18

applicable” on the form. 19

20

C. Receipt Dates and Times. 21 1. Deadline Date. The application deadline is 11:59:59 p.m. eastern time on February 4, 22

2013. Applications must be received by Grants.gov no later than 11:59:59 p.m. eastern time on 23

the application deadline date. HUD may modify the due date for this Notice to the extent a final 24

appropriations bill for FY2013 is enacted. HUD will issue a technical correction to the NOFA if 25

appropriations are enacted that require HUD to modify the funding criteria or application 26

requirements, or if HUD determines that adjustments to estimated award amounts or timelines 27

are necessary. Any such technical correction will provide detailed instructions for applicants to 28

permit them to resubmit the application to address the revised NOFA requirements. 29

30

2. Only One Application. Only one application will be accepted from any given organization 31

under this NOFA (i.e., apply to either the LBPHC grant program or the LHRD grant program, 32

but not both). If more than one application is received from an organization, the application that 33

was received last in accordance with the timely receipt requirements will be the one reviewed by 34

HUD. 35

36

3. Applicants are encouraged to submit their application early to Grants.gov. 37

38

4. Please see the FY2013 General Section for instructions for timely receipt, including actions 39

to take if the application is rejected. Applicants should carefully read the section titled 40

INSTRUCTIONS ON HOW TO DOWNLOAD APPLICATION PACKAGE AND 41

APPLICATION INSTRUCTIONS in the FY2013 General Section that contains information on 42

using Adobe Reader, HUD’s timely receipt policies, and other application information. 43

44

D. Intergovernmental Review. Not required. 45

46

22

E. Other Submission Requirements. 1 1. Applications must be submitted via the Grants.gov website at 2

http://www.grants.gov/applicants/apply_for_grants.jsp and be received no later than the 3

established submission deadline date and time. See the FY2013 General Section for further 4

information. Applicants interested in applying for funding under this NOFA must submit their 5

applications electronically, unless they have requested and been granted a waiver from the 6

electronic submission requirement. Applicants must submit their electronic submission waiver 7

requests in writing using email. Electronic submission waiver requests must be submitted no 8

later than 15 days prior to the application deadline date and must be submitted to 9

Michelle.M.Miller@HUD.gov. If the applicant is granted an electronic submission waiver, the 10

notification will provide instructions on where and to whom to submit the application, and how 11

many copies are required. Paper copy applications must be received by 3:59:59 PM eastern time 12

on the submission deadline date. All times for receipt of applications are Eastern Time. In the 13

event that the OHHLHC office or HUD’s Weaver Building is closed due to unforeseen 14

circumstances on the application due date, HUD will issue a technical correction and extend the 15

deadline due to the problem. HUD will not accept a paper application without an electronic 16

submission waiver being granted. See the FY2013 General Section for detailed submission and 17

timely receipt instructions. 18

19

2. Address for Submitting Applications. See the FY2013 General Section for specific 20

procedures concerning the electronic application submission requirements. The application and 21

instructions are available at http://www.grants.gov/applicants/apply_for_grants.jsp. Applicants 22

who have difficulty accessing the information may call the help desk help line at 800-518- 23

GRANTS or e-mail support@grants.gov. Hearing- or speech-impaired individuals may access 24

this number through TTY by calling the toll-free Federal Relay Service at 800-877-8339. 25

26

V. APPLICATION REVIEW INFORMATION 27

28 A. Criteria. The following section applies to all applicants unless otherwise specified. 29

30

1. Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience (20 31

points maximum for all applicants) 32 33

If you have not had a LBPHC or LHRD grant (even though you may have been a subgrantee), or 34

your most recent LBPHC or LHRD grant had a period of performance ending before October 1, 35

2005, respond to subparagraphs a and b of this Section V.A.1. If you had or have an LBPHC or 36

LHRD grant with a period of performance ending before October 1, 2005, respond to 37

subparagraph c of this Section V.A.1. 38

39

a. Capacity of the Applicant (only for applicants that have not had a LBPHC or LHRD 40

grant, or whose most recent LBPHC or LHRD grant had a period of performance ending 41

before October 1, 2005; 10 points). 42 The applicant must demonstrate that its organization has sufficient qualified personnel or will 43

actively retain qualified experts or professionals and is prepared to perform lead-based paint 44

hazard evaluation, lead-based paint hazard control intervention work, and other proposed 45

activities within 60 days of the grant award to successfully implement and complete the project. 46

23

(1) Key Personnel. Key personnel must include, at a minimum, a Project Director (PD) 1

and a Program Manager (PM). Unless financial management of the grant falls under the 2

responsibility of the PD or PM, the applicant should also identify the person responsible for the 3

financial management of the grant. The applicant must provide resumes, no longer than 3 pages, 4

of the key personnel and job descriptions for planned key personnel, including the person 5

responsible for the financial management of the grant. You must describe the roles and 6

responsibilities of each key personnel for the project. Please do not include the Social Security 7

Numbers (SSN) of any person. The day-to-day Program Manager must be experienced in 8

housing rehabilitation, lead hazard control, or other work related to the project. The Program 9

Manager should have demonstrated project management experience and must dedicate at least 75 10

percent of his/her time for the proposed project. If you have not yet hired a Program Manager, 11

please include the job announcement for this position as an Appendix to your application. 12

Applications that propose key personnel that do not meet the minimum qualifications described 13

above will not receive full points under this subfactor. 14

In addition, to receive full points under this subfactor, you must address the following in 15

your application: 16

(a) List and describe sub-grantees, sub-contractor organizations, sub-recipients 17

and consultants that will provide services and carry out critical activities for the proposed grant 18

program, 19

(b) Detail each sub-entity’s experience in initiating and implementing related 20

environmental, health, or housing projects, 21

(c) List the key personnel from each sub-entity organization and their respective 22

roles and responsibilities, and 23

(d) Provide the percentage of time commitment to the proposed program for all 24

key personnel identified. 25

(2) Program Administration. Describe how the program will be administered. Include 26

details on how oversight and financial management will be conducted. Provide details on 27

contract administration and how funding will flow from the grantee to those who will perform 28

work under the proposed program. Also describe how routine monitoring of all sub-grantees and 29

vendors (contractors) will ensure conformity to the terms, conditions and specifications of 30

contracts or other formal agreements and requirements, and the requirements found in this 31

NOFA. Applicants that do not describe significant experience providing oversight and 32

management of federal and state grant programs, including financial management, in addressing 33

childhood lead poisoning will not receive full points. Past performance in the administration of 34

federal grants will also be considered. 35

(3) Engagement with External Agencies. Describe your involvement in coordination 36

among critical agencies, including participation in the statewide or jurisdiction-wide strategic 37

plan to eliminate childhood lead poisoning as a major health problem. Applicants that do not 38

describe strong engagement with external agencies in addressing childhood lead poisoning will 39

not receive full points. Past performance in the coordination among external agencies will also 40

be considered. 41

(4) Engagement with Other Organizations. Describe the proposed involvement of 42

grassroots community-based non-profit organizations, including faith-based organizations, in the 43

program activities. These activities may include outreach, community education, marketing, and 44

lead-based paint inspections/risk assessments and lead hazard control work. Applicants that do 45

not describe strong engagement with external non-profit organizations in addressing childhood 46

24

lead poisoning will not receive full points. Past performance in the coordination among non- 1

profit organizations will also be considered. 2

3

b. Relevant Organization Experience (only for applicants that have not had a LBPHC or 4

LHRD grant, or whose most recent LBPHC or LHRD grant had a period of performance 5

ending before October 1, 2005; 10 points). 6 1) Describe the organization’s prior experience in initiating and implementing lead 7

hazard control or related environmental, health or housing programs. Include information that 8

lists the relevant and most recent experience (last three years) in initiating and implementing lead 9

hazard control or related environmental, health or housing projects. Applicants that do not 10

describe strong prior experience in initiating and implementing lead hazard control or related 11

environmental, health or housing programs will not receive full points. 12

2) Provide examples of relevant programs that the organization currently manages or has 13

previously managed within the past three years (e.g., Community Development Block Grant 14

(CDBG) Housing Rehabilitation, Childhood Lead Poisoning Prevention Program, Healthy 15

Homes Demonstration, Weatherization, etc). Applicants that do not describe prior successful 16

experience in initiating and implementing lead hazard control or related environmental, health or 17

housing programs will not receive full points. 18

19

c. Capacity and Relevant Organization Experience (only for current LBPHC or LHRD 20

grantees, or applicants with a prior LBPHC or LHRD grant having a period of 21

performance ending on or after October 1, 2005; (20 points). 22 (1) The applicant must provide a description of the organization’s progress and 23

performance implementing the most recent grant award including the total number of housing 24

units enrolled, assessed, and completed and cleared as a result of program efforts. The OHHLHC 25

will review performance under the most recent OHHLHC grant award(s), as a current or 26

previous grantee, to evaluate capacity and relevant organization experience. The applicant must 27

also describe outcomes, capacity building efforts and impediments experienced during previous 28

program(s). Applicants with a documented history of implementation, compliance or 29

performance deficiencies will not receive full points (10 points). 30

(2) Describe and provide data demonstrating positive contributions to the community, 31

supplemented with specific examples if necessary, and indicate what activities were undertaken 32

to develop, enhance or expand the local infrastructure through collaboration. Applicants that do 33

not describe meaningful and documented positive impacts and infrastructure development will 34

not receive full points (2 points). 35

(3) The applicant must provide resumes, no longer than 3 pages, for the key personnel 36

and job descriptions for planned key personnel, including the person responsible for the financial 37

management of the grant. You must describe the roles and responsibilities of each key personnel 38

for the project. The Program Manager must have demonstrated experience in project 39

management, housing rehabilitation, and lead hazard control and must dedicate at least 75 40

percent of his/her time for this proposed project. NOTE: If you have a current grant from 41

OHHLHC, you must describe how both grants will be managed, given that each grant requires at 42

least 75 percent of the Program Manager’s time per grant. An additional Program Manager 43

should be retained. The applicant will be required to periodically submit timesheets 44

documenting the Program Manager’s time commitment. If you have not yet hired a Program 45

Manager, please include the job announcement for this position as an Appendix to your 46

25

application. (5 points). 1

(4) Current Lead-Based Paint Hazard Control grantees must also describe their plans to 2

concurrently implement lead hazard control activities under this NOFA with other ongoing, as 3

applicable, Lead-Based Paint Hazard Control grant program funds, especially in describing the 4

time frame in which concurrent grant programs will be conducted, in allocating staff and other 5

program costs or resources for all Lead-Based Paint Hazard Control grant program funds, and 6

describing the safeguards in place to avoid co-mingling of funds while performing the new grant 7

concurrently with existing Lead-Based Paint Hazard Control grant work. Similarly, applicants 8

performing lead hazard control work under other programs, whether funded by HUD, other 9

federal agencies, or other sources, must describe the safeguards in place to avoid commingling of 10

funds (3 points). 11

12

2. Rating Factor 2: Need/Extent of the Problem (15 points for all applicants). 13 14

Applicants will be scored in this rating factor based on documented need as evidenced by the 15

submission of the most current, thorough, credible, and appropriate data and information. There 16

must be a direct and substantial relationship between the proposed lead hazard control activities, 17

the Consolidated Plan’s lead-based paint element, and documented community needs. The data 18

submitted in response to this rating factor will be verified using data available from the Census, 19

HUD USER, and other data available to HUD and CDC and the applicant should indicate what 20

source of data is being used. Applicants should ensure that the current residents of the target 21

area, whose demographic characteristics constitute the data for this rating factor, are the 22

individuals and families that should receive priority for the benefits of the funded programs and 23

this should be addressed in the remainder of the application. 24

25

Points will be awarded in this rating factor based on the applicant’s response to the 26

information requested below. Please provide data responses in simple table format. (NOTE: 27

Data should be provided that is within the jurisdiction/target area – do not provide data that 28

overlaps into another jurisdiction unless you specify that jurisdiction/target level data is not 29

available). 30

a. Population data. (5 points maximum). 31 (1) Total population of the Target Area, 32

(2) Total population under the age of six (6), 33

(3) Number and percentage of population under the age of six (6) with an elevated blood 34

lead level, and, 35

(4) Area Median Income, percentage of population at or below 80 percent of the area 36

median income level, and percentage of population at or below 50 percent of the area median 37

income level. 38

b. Housing data. (5 points maximum). 39 (1) Number of housing units built before 1978, 40

(2) Number of housing units built before 1940 (for LHRD applicants), and, 41

(3) Number and percentage of housing units that are rental and owner occupied. 42

c. Other Factors Contributing to Need. (5 points maximum). 43 (1) Unemployment rate of the target area or the metropolitan area that encompasses the 44

target area, 45

(2) Number and percentage of children/families receiving Medicaid benefits in the target 46

26

area, 1

(3) Number and percentage of families receiving assistance through the Women, Infants, 2

and Children (WIC) program, Head Start, or the Supplemental Nutrition Assistance Program, 3

and, 4

(4) Data in the Consolidated Plan and Lead Based Paint Element. 5

6

7

8

9

3. Rating Factor 3: Soundness of Approach. (55 points maximum for all applicants) 10 11

The activities supported by the grant programs of the OHHLHC represent some of the most 12

important elements of the national effort to achieve the goal of eliminating childhood lead 13

poisoning as a major public health problem, and to respond to other important housing-related 14

health hazards. The degree of success achieved by grantees will significantly shape the success 15

of the national effort. This factor addresses the quality and cost-effectiveness of your proposed 16

work plan. In general, there are four key stages in the life of a grant: application, start-up, 17

implementation, and close-out. You must describe in detail your work plan to address start-up 18

and implementation phases of the grant that includes specific, measurable and time-phased 19

objectives for each major program activity. Your response to this factor must include the 20

elements described below in the program description. 21

22

Applicants will be rated on: (a) the documented ability to implement the work plan; and (b) 23

the quality of their work plan, including identifying specific, measurable, and time-phased 24

objectives for each major program activity that reflect benchmark performance standards for unit 25

evaluation, unit enrollment, unit production, LOCCS draw down, community outreach and 26

education, skills training, and other activities. Proposed benchmarks should be included in a table 27

as part of the narrative. This information is also required for Factor 5. 28

29

a. Lead Hazard Control Work Plan Strategy (25 points maximum for all applicants). 30 Applicants will be evaluated on describing the overall strategy for conducting lead hazard 31

reduction work, including specific work plan goals and a time-phased strategy to complete work 32

within the 36-month period of performance. Applicants should describe the methods, including 33

schedule and milestones that will be used to identify and control lead-based paint hazards and 34

how the desired project benchmarks will be achieved. The work plan should include information 35

about the estimated numbers of families to be contacted, units enrolled, units to receive paint 36

inspections/risk assessments, units to receive lead hazard control work, and individuals/groups to 37

be reached through education and/or outreach activities and the number of individuals trained. 38

Applicants should discuss how education, training, outreach, and intake activities will be 39

conducted in a manner that ensures effective communication to persons with disabilities and 40

meaningful access to those opportunities for LEP individuals. 41

42

Applicants must provide estimates for the number of units to receive lead hazard control 43

work that are obtainable based on your capacity and expected accomplishments. Unit completion 44

estimates should consider potential impediments and unforeseen delays, remembering that, if 45

awarded a grant, grantees are held to production commitments. Applicants should describe the 46

27

start-up and implementation phases of the proposed program. Applicants should describe 1

program start-up activities during the first 60 days of the grant (hiring/training staff, establishing 2

qualified contractor pool, written policies and procedures, environmental review procedures, and 3

plans for implementing outreach/education and unit enrollment activities). Applicants should 4

provide information about internal and external capacity-building steps necessary to ensure a 5

smooth and timely start-up phase. 6

7

Outreach, Recruitment, Intake, Enrollment, Unit/Income Eligibility. Applicants 8

must describe the methods and strategies, including the individuals and/or sub-grantees, sub- 9

recipients or contractors responsible for affirmative marketing and outreach to those least likely 10

to benefit from the program without such outreach, to other intended target area(s) and/or 11

residents, including recruitment and enrollment activities, to supply the program with sufficient 12

numbers of eligible units within an established timeframe (see Sections III.C.5.c and III.C.5.b of 13

the General Section for more information on how to conduct these marketing and outreach 14

activities in accordance with Limited English Proficient guidelines and affirmatively furthering 15

fair housing obligations specific to marketing and outreach activities, respectively). Describe 16

measures the program will take to sustain recruitment and identify the staff responsible for both 17

monitoring recruitment activities and implementing the measures identified to sustain 18

recruitment. 19

20

(1) Coordination. Applicants must discuss the coordination with State and local housing 21

agencies, health or childcare providers, State Medicaid agencies, or other partner organizations. 22

Applicants should describe how referrals from the Section 8, Housing Choice Voucher program 23

and other agencies that provide assistance to low-income households with children (including 24

CDBG, HOME Investment Partnerships Program-funded housing programs, weatherization, 25

health departments or other sources) will be received and processed. 26

(2) Selection/Prioritization/Enrollment of Units. Applicants must describe how 27

eligible housing units will be identified, selected, prioritized and enrolled, especially those 28

known to house children with an elevated blood lead level. Applicants should include the 29

estimated number of eligible privately-owned housing units to be enrolled, including owner- 30

occupied, rental, vacant, single and/or multi-family units. 31

(3) Planned Approach. Applicants must describe the planned approach to control lead- 32

based paint hazards in vacant and/or occupied units where children are present but have not been 33

identified with an elevated blood lead level and how these units will be prioritized. 34

(4) Compliance with HIPAA. Applicants must explain how data will be obtained, and 35

secured once obtained, from state and/or local health departments, Childhood Lead Poisoning 36

Prevention Programs (CLPPP) and other health care agencies (if applicable) for purposes of 37

recruiting and enrolling housing units, especially on housing units in which children have been 38

identified as having an elevated blood lead level. 39

40

b. Technical Approach/Lead Hazard Control Interventions (15 points maximum). 41 Applicants will be evaluated on the proposed technical approach for evaluating and controlling 42

lead-based paint hazards (and associated costs), including the approach for testing units for lead- 43

based paint hazards, conducting blood-lead testing of children in enrolled units, performing lead 44

hazard control interventions and associated hazard reduction strategies, occupant protection, and 45

temporary displacement (relocation). Applicants should describe the number of single and 46

28

multi-family units that will be treated and proposed lead hazard control intervention for each, if 1

this will vary. Applicants should describe the strategy to ensure that the units are maintained 2

lead safe after clearance is achieved. NOTE: In selecting lead hazard control interventions, 3

applicants should consider several factors: the relative costs and durability of the treatments, the 4

characteristics of the unit, and the condition and projected durability of the component(s) treated. 5

Applicants should choose appropriate control methods using best judgment in each case. 6

However, complete abatement of all lead-based painted surfaces in units is not generally a cost 7

effective strategy and is discouraged in these programs. In cases where only a few surfaces have 8

identified lead-based paint hazards and complete paint abatement is therefore cost-effective, 9

grantees must provide a detailed rationale for selecting complete paint abatement as a strategy. 10

Applicants are encouraged to review the National Evaluation of lead hazard control methods 11

provided at http://www.hud.gov/offices/lead/library/misc/NatEval.pdf. 12

13

(1) Sequencing Key Program Activities. 14 (a) Schedule. Applicants should provide a realistic schedule for completing key 15

program activities and outputs by calendar quarter, so that all activities and outputs can be 16

completed before or within the grant period of performance. Key production activities include 17

unit enrollment, lead-based paint inspection and risk assessments, hazard control and clearance 18

of units. In addition, applicants should describe the estimated timeframe for treating a typical 19

unit from referral and intake to hazard control and clearance. Applicants should explain how the 20

program will accommodate emergency referrals (e.g., units occupied by a child under six years 21

of age with an EBL). 22

(b) Production Process. Applicants should describe the production process from 23

intake to unit completion/clearance and follow-up testing (if applicable), including identifying 24

the agency/person responsible for each phase, the timeline to complete each phase and how 25

monitoring will be performed to both prevent and resolve production impediments. 26

(c) Intake, Enrollment, Unit/Income Eligibility. Applicants should describe 27

the process to determine unit and income eligibility, prioritization scheduling of paint 28

inspection/risk assessments, and enrolling units in the program. Applicants should discuss the 29

lead hazard control financing strategy (i.e., the type of assistance - grants, deferred/forgivable 30

loans, etc), including verification of income eligibility requirements, terms, conditions, dollar 31

limits, amounts available for lead hazard control work in the various categories of housing (e.g., 32

single-family, multi-family, vacant, owner or tenant-occupied), who is responsible for 33

establishing, administering and overseeing this aspect of the program, and the role of other 34

resources such as private sector financing and matching, if any, from rental property owners. 35

Applicants should describe how the recapture of grant or loan funds to owners of assisted units 36

will occur if recipients fail to comply with any terms and conditions of the financing 37

arrangement (e.g., failure tocomply with fair housing and civil rights requirements,affordability, 38

affirmative marketing and providing priority to renting units to families with children under six 39

years of age, sale of property requirements, etc.) 40

(2) Blood Lead Testing Prior to Lead Hazard Control Work. Applicants should 41

describe the methods, measures and cost for performing blood lead testing of children less than 42

six years of age and efforts to perform blood lead testing of children within the target area(s) and 43

other screening efforts. Applicants should describe how all children less than six years of age 44

who occupy units to be assisted with lead hazard control work will receive blood lead testing 45

within six months before commencement of lead hazard control work on the unit, except when a 46

29

parent or guardian chooses to decline such testing of the child. 1

Applicants should identify the individual responsible to ensure that children identified with 2

an elevated blood-lead level are referred to appropriate medical care and how patient 3

confidentiality will be maintained and the security of medical information will be protected in 4

accordance with HIPAA. 5

(3) Paint Inspection/Risk Assessment. Applicants should describe testing methods, 6

schedules, and estimated costs for lead-based paint inspections, risk assessments and clearance 7

examinations. If applicants propose to use a more restrictive standard than the HUD/EPA 8

thresholds, applicants should provide the standard(s) that will be used. All testing shall be 9

performed in accordance with applicable regulations. Applicants should also describe how they 10

will provide owners with lead hazard evaluation and control information generated by activities 11

under this grant, so that the owner can comply with the Lead Disclosure Rule (24 CFR part 35, 12

subpart A, or the equivalent 40 CFR part 745, subpart F) and the Lead Safe Housing Rule (24 13

CFR part 35, subparts B–R). 14

(4) Lead Hazard Control Work Specification Development Process. Applicants 15

should describe the process for developing the work specifications, and the lead hazard control 16

contractor bid and selection process for properties enrolled for lead hazard control work, and 17

indicate the individual or entity responsible for this ensuring the integrity of this process. 18

(5) Lead Hazard Control Interventions. Applicants should describe the interim control 19

and hazard abatement methods to be used (include average cost estimates for units to receive 20

lead hazard control work). Applicants should describe how contractors, property owners and 21

maintenance personnel performing interim controls and lead hazard abatement work will be 22

properly trained and/or certified, and how work will be monitored and supervised to ensure that 23

contractors perform work of acceptable quality in compliance with work specifications and 24

applicable federal/state/local regulations, including, but not limited to HUD’s Lead Safe Housing 25

Rule and the EPA’s Renovation, Repair, and Painting (RRP) Rule (found within 40 CFR 745; 26

see http://www.epa.gov/lead/pubs/renovation.htm). 27

Applicants should describe the coordination of relevant lead hazard control activities with 28

rehabilitation, weatherization, healthy homes initiatives, and other housing improvement 29

activities. Applicants should describe the sequencing of the work done in conjunction with lead 30

hazard control. 31

(6) Temporary Relocation. HUD expects that most temporary relocation for lead 32

hazard control work would be for 10 days or less. Assisting temporary relocation of families 33

forced to vacate while lead hazard reduction measures are being conducted is an eligible activity 34

for which funding under the programs described in this NOFA may be used. (See section 35

III.C.2.n, Temporary Relocation). Applicants should describe plans for the relocation of 36

occupants of units selected for remediation if temporary relocation is necessary. If temporary 37

relocation is necessary, applicants should describe the process (e.g., the uses of lead-safe houses 38

and other lead-safe housing arrangements, storage of household goods, incentives, etc.), and the 39

source of funding for relocation. Applicants should describe plans for ensuring the right of 40

return and/or first referral of occupants who have had to be temporarily relocated for the lead 41

hazard control work to be performed, and should also describe plans for ensuring the 42

accessibility of relocation or replacement housing for persons with disabilities in accordance 43

with Section 504, and its implementing regulations at 24 CFR Part 8, and with Titles II and III of 44

the Americans with Disabilities Act, as applicable, and HUD requirements. If temporary 45

relocation is not necessary, applicants should describe measures to protect the occupants during 46

30

remediation. 1

(7) Occupant Protection Measures. If temporary relocation is not necessary, applicants 2

should describe measures to protect the occupants during remediation. 3

(8) Clearance Examinations. Applicants should describe the timeline for completing 4

clearance examinations and related processes (i.e., laboratory analysis, receipt of test results and 5

re-occupancy of unit or area). Applicants should describe the responsibility and payment of 6

additional costs if a unit does not meet the clearance standards for re-occupancy. 7

(9) Post-Lead Hazard Control Maintenance of Units. Applicants should describe how 8

the unit will be monitored and evaluated to ensure that units comply with the terms and 9

conditions of the financing of the work and that the unit remains lead safe. 10

(10) Lead-Safe Housing Registry-Availability of Lead-Safe Housing to Low-Income 11 Families. Applicants should describe how units in which lead-based paint hazards have been 12

controlled under the program shall be occupied by, or continue to be available to low-income 13

residents as required by Title X (see section VIII.B in this NOFA), and any plans to increase the 14

length of use restrictions above and beyond the three years mandated by law. Applicants should 15

describe efforts to either develop or maintain a registry (listing) of low-income units in which 16

lead-based paint hazards have been controlled (“lead-safe units”) as well as procedures for 17

ensuring that these units are affirmatively marketed at turnover targeting low-income families 18

with children less than six years of age. 19

(11) Healthy Homes Supplemental Funding (LBPHC Applicants Only). Because of 20

the growing prevalence of housing-related diseases and injuries (e.g., asthma, falls, fires, etc.), 21

HUD is encouraging applicants to examine the benefits of incorporating healthy homes activities 22

in remediation activities (see http://www.hud.gov/offices/lead/healthyhomes/index.cfm for more 23

information). 24

Applicants to the LBPHC Program only may request up to $200,000 in additional Healthy 25

Homes Supplemental funding to assist in identification and remediation of multiple housing- 26

related health hazards with lead hazard control intervention work using the Healthy Homes 27

Rating System (see http://portal.hud.gov/hudportal/HUD?mode=disppage&id=HHRS_NEW). 28

The purpose of this funding is to reduce significant health and safety hazards in the home 29

through hazard evaluation and control work done in conjunction with lead hazard control 30

activities. 31

32

The applicant must specify the total amount requested for this effort, including the amount in the 33

total budget request and forms (Form_HUD424CBW) and narrative justification. Applicants 34

must: identify the number of units that will have multiple-housing-related hazards addressed; 35

provide a description of the technical approach, sequencing, and associated costs for addressing 36

housing-related health hazards in addition to lead hazard control measures provided in units; and 37

provide a realistic timeline for completion of interventions by quarter. 38

39

c. Program Administration and Financial Management (2 points maximum). Applicants 40

should describe how the program will be administered, including addressing oversight and 41

financial management. Applicants should describe staff and procedures to ensure proper project 42

oversight/monitoring, contract administration (routine monitoring of all sub-grantees and 43

contractors to ensure conformity to the terms, conditions and specifications of contracts or other 44

formal agreements), and how funding will flow from the grantee to those who will perform work 45

under the proposed program. 46

31

1 d. Economic Opportunity (1 point maximum). Applicants should describe how newly 2

created employment, training, and contracting opportunities will be provided to Section 3 3

residents and Section 3 businesses within the target area, in compliance with Section 3 of the 4

Housing and Urban Development Act of 1968 (12 U.S.C. § 1701u) and HUD’s implementing 5

rules at 24 CFR Part 135. Applicants should describe how Section 3 requirements will be 6

accomplished by identifying the number of new jobs, contracts, and training opportunities that 7

your project will generate; strategies for targeting Section 3 residents and businesses for such 8

economic opportunities, the schedule for delivering said training to low and very low-income 9

persons living within your jurisdiction, and how trained individuals will be linked to new 10

employment opportunities with covered contractors, and how efforts will be made to ensure that 11

10 percent of the total dollar amount of construction contracts will be awarded to businesses 12

owned by and/or employing low and very-low-income persons living within your jurisdiction. 13

NOTE: While contractors, subcontractors or sub-grantees receiving contracts under the grant 14

totaling $100,000 or less need not meet the Section 3 requirements as a regulatory mandate (see 15

section III.C.2.g of this NOFA), all grantees that receive awards exceeding $200,000 are required 16

to comply with Section 3. Additional information regarding all Section 3 requirements can be 17

found in Section III.C.4.d of the General Section. 18

19

e. Lead Hazard Control Outreach (3 points maximum – each subpart below is 1 point 20

maximum). 21 (1) Collaborative Agreements/Arrangements. Applicants should describe involvement 22

in collaborative agreements or arrangements, or plans to develop these, with state or local health, 23

housing, and code enforcement agencies, and community and/or faith based organizations for the 24

target area(s) for performing outreach activities including affirmative marketing. If this 25

information is detailed in letters of commitments, MOAs, or MOUs that are included in the 26

application, it can be briefly summarized in this section. 27

(2) Outreach Activities and Outcomes. Applicants should discuss proposed outreach 28

activities and expected outcomes, as it relates to unit enrollment or reducing childhood lead 29

poisoning in the target area. Applicants should describe how the intended education program(s) 30

will be culturally sensitive, targeted, and linguistically appropriate and identify the means 31

available to supply the educational materials in other languages (identify all that apply) common 32

to the community. (For more information on obligations with respect to outreach activities 33

involving Limited English Proficient (LEP) persons, see section III.C.4.(b) and (c) of the 34

General Section)Outreach should also be provided in alternative formats for people with 35

disabilities (See 24 CFR 8.6). Applicants should include the estimated number of individuals to 36

receive the intended education and the estimated number of events to be delivered. 37

(3) Affirmatively Furthering Fair Housing. Applicants should describe strategies and 38

methodologies to affirmatively further fair housing (see section III.C.4.b of the FY2013 General 39

Section) and to increase access to lead-safe housing for all segments of the population: 40

homeowners, owners of rental properties, and tenants. These strategies may include, but are not 41

limited to: expanded fair housing choice by affording greater opportunities for families in 42

obtaining affordable, lead-safe and sustainable housing in a revitalized area, creation of lead-safe 43

housing for individuals least likely to know of, or apply for, housing opportunities in the 44

revitalized area, and that lead-safe housing will be available to families with young children for 45

the greatest possible length of time. Applicants should identify how to ensure that the program 46

32

will continue to affirmatively market and match treated units with low-income families with 1

children less than six years of age in the future. Applicants will not receive full points for this 2

subfactor if the applicant does not include a narrative response to the affirmatively further fair 3

housing requirements described above and in the General Section at Section III.C.5.b. 4

5

f. Data Collection and other Program Support Activities (1 point maximum). Applicants 6

should identify and discuss the methods that will be used to document activities, progress, and 7

program effectiveness. Applicants should explain how modifications will be made to improve 8

progress if delays or problems occur. 9

10

g. Budget Proposal (4 point maximum). 11 (1) Budget Estimate of Costs. Applicants should thoroughly estimate all applicable 12

costs (direct, indirect, and administrative), and present them in a clear and coherent format in 13

accordance with the requirements listed in the FY2013 General Section. HUD is not required to 14

approve or fund all proposed activities. Applicants should thoroughly document and justify all 15

budget categories and costs and all major tasks, the applicant organization, sub-recipients, major 16

sub-contractors, joint venture participants, or others contributing resources to the project. A 17

separate budget must be provided for each partner who is proposed to receive more than 10 18

percent of the federal budget request. Applicants must provide clear details on administrative 19

costs (maximum 10 percent of grant), staffing costs and details on which costs are included and 20

not included in the direct lead hazard control minimum cost requirement. Applicants will be 21

evaluated on the extent to which resources are appropriate for the scope of the proposed project. 22

NOTE: The direct lead hazard control minimum cost requirement for the Lead-Based Paint 23

Hazard Control Grant Program is 65 percent; for the Lead Hazard Reduction Demonstration 24

Grant Program, 80 percent. 25

(2) Budget Narrative. Applicants should submit the budget narrative justification 26

associated with these budgeted costs as part of the Total Budget (Federal Share and Matching). 27

Separate narrative justification must be submitted for partners that are submitting separate 28

budgets or who will receive 10 percent or more of the federal award amount. Applicants should 29

clearly identify the funding or cash equivalent amounts being provided as match resources. 30

These funds should reflect the numbers and contributions provided in response to Section III.C, 31

Cost Sharing or Matching . 32

33

h. Implementing HUD’s Strategic Framework and Demonstrating Results (4 points 34 maximum). In FY2013, HUD’s Policy Priorities reflect the emphasis on sustainability, using 35

housing as a platform for improving other outcomes which improve the health, safety and 36

economic well-being of community residents, promote energy-efficient, environmentally 37

friendly construction and rehabilitation in our communities, and increase capacity and 38

knowledge sharing to improve outcomes and track improvements made in the areas of housing, 39

health, safety, self-sufficiency, transportation and the living environment. For further 40

information on HUD’s FY2013-2015 Strategic Plan and FY2013 Policy Priorities see sections 41

I.A and B of the FY2013 General Section. To receive points for these policy priorities 42

applicants must address the policy priorities described in paragraphs (1) and (2) below. 43

(1) Utilize Housing as a Platform for Improving Quality of Life (up to 2 points). Promote 44

housing management practices that protect the health of residents (HUD’s Strategic Plan 45

Subgoal 3B). 46

33

1

To receive points under this policy priority, applicants must identify in their application specific 2

projects and activities that will comprehensively assess housing units for rehabilitation, health 3

and energy deficiencies and coordinate interventions across multiple disciplines. Examples of 4

approaches for such work are included in paragraphs (a) and (b) below. 5

Specific measures of success or performance for this policy priority include the number of 6

housing units rehabilitated in a comprehensive approach where lead hazard control or other 7

healthy homes interventions such as allergen reduction, mold and moisture remediation are 8

coordinated with housing rehabilitation and energy efficiency. 9

(a) Delivery of housing services across the housing, health and energy disciplines in a 10

coordinated manner including the use of common assessment tools, cross training of staff in 11

multiple competencies, standardization of intake forms and processes. For more information on 12

mitigating housing-related health hazards, applicants should review HUD’s Healthy Homes 13

Strategic Plan, http://www.hud.gov/offices/lead/library/hhi/hh_strategic_plan.pdf, and the HUD- 14

CDC Healthy Housing Reference Manual 15

http://www.cdc.gov/nceh/publications/books/housing/housing.htm. 16

(b) Partnering with State or local programs, non-profit organizations, or 17

community-based or faith-based organizations to deliver multiple services across the housing, 18

health and energy disciplines. Of particular importance is the coordination of complementary 19

services where one housing intervention enhances one or more other interventions. 20

(3) Sustainability (up to 2 points). Promote coordinated planning, integrating federal 21 resources, and targeting technical assistance at the local, state, and regional levels for sustainable 22 housing and communities (HUD Strategic Plan Subgoal 4B). 23

24

To receive points under this policy priority, applicants must identify in their application specific 25

systems and activities that will ensure residents have access to a broad range of housing-related 26

services through a single point of access. This single point of access for citizens may be located 27

in different agencies (for example a lead hazard control program working collaboratively with a 28

weatherization program can each maintain their intake function as long as citizens have access to 29

all program services in either location). Applicants should describe the extent to which citizens 30

in need of housing services will be provided access to services in a range of disciplines that may 31

include lead hazard control, allergen reduction, integrated pest management, residential energy 32

efficiency, in home health education, home safety (for example CO hazards and alarms), and 33

general housing rehabilitation. Examples of approaches for such work are included in 34

paragraphs (a) and (b) below. 35

36

Specific measures of success or performance for this policy priority include the number of 37

residents with multiple housing deficiencies served through coordinated home, health and energy 38

disciplines. 39

(a) Establishing and implementing a common intake application that can be 40

utilized over multiple programs. 41

(b) Establishing and implementing a routine process for assessing multiple 42

housing-related hazards simultaneously, prioritizing these hazards based on the 43

occupants, and establishing a schedule to remediate the priority hazards. 44

45

4. Rating Factor 4: Achieving Results and Program Evaluation (10 points maximum). 46

34

1

Completion of the e-logic model is not required for this NOFA. This rating factor reflects HUD’s 2

goal to embrace high standards of ethics, management, and accountability. This factor 3

emphasizes HUD’s commitment to ensuring that applicants achieve the goals outlined in their 4

work plan and other benchmark standards and assess their performance to ensure performance 5

goals are met during the period of performance. The applicant is required to clearly identify the 6

benefits or outcomes of their proposed program. 7

a. Applicants should describe program activities, outputs and yearly outcomes for the entire 8

period of performance. (8 points) 9

(1) Applicants should state clearly the project goals and activities (e.g., outreach, 10

training, enrollment, housing evaluations, housing unit production, etc.) to achieve these goals. 11

Performance indicators should be objectively quantifiable and measure actual achievements 12

against anticipated achievements. The activities and associated minimum completion 13

percentages per quarter in the table below represent benchmarks for which the applicant will be 14

held accountable to report on each quarter. Applicants should complete Workplan table, below, 15

in your narrative based on the project goals established. This data will be incorporated into the 16

Benchmark Performance Standards Worksheet, below, that has been established for this program 17

during award negotiations for inclusion into the grant agreement. 18

19

Benchmark Performance Standards Worksheet

ACTIVITY Q1 Q2 Q3 Q4 Q5 Q6 Q7 Q8 Q9 Q10 Q11 Q12 Q13

Units Enrolled 5% 15% 30% 45% 55% 65% 85% 95% 100%

Assessments

Completed

5% 10% 20% 30% 45% 55% 65% 85% 95% 100%

Units

Completed

2% 5% 15% 30% 45% 55% 65% 85% 95% 100%

LOCCS Drawdowns 1% 3% 5% 10% 15% 20% 30% 45% 60% 80% 95% 100%

Community Outreach

/ Education- Training

20

(2) Applicants should identify the procedures that will be followed to monitor and make 21

adjustments to improve performance if benchmarks are not met within established timeframes. 22

In evaluating this factor, HUD will consider how you have described outcome performance 23

measures and benefits of your program including: 24

(a) In terms of impacting your unit production goals, the degree to which lead 25

hazard control work will be done in conjunction with other housing-improvement activities (i.e., 26

rehabilitation, weatherization, correction of code violations, green and healthy home initiatives, 27

and other similar work), or your plan for the integration and coordination of lead hazard control 28

35

activities into those activities in the future. 1

(b) Plans to develop public/private lending partnerships to finance lead hazard 2

control or related work and how this will assist in your unit production goals. 3

4 b. Applicants should describe what you are going to measure, how you are going to measure it, 5

how you will record/document it, and the steps you have in place to make adjustments to your 6

work plan if performance targets are not met within established timeframes. (2 points) 7

(1) The applicant is to describe how the program will be held accountable for meeting 8

program goals, objectives, and the actions undertaken in implementing the grant program. 9

(2) Applicants should provide a description of the mechanism to assess progress and 10

track performance in meeting the goals and objectives outlined in the work plan. Applicants 11

should provide assurances that work plans and performance measures developed for the program 12

will assist intended beneficiaries, and that work will be conducted in a timely and cost-effective 13

manner. This evaluation should explore how well the technical strategy meets the conditions and 14

needs found in the grantee’s jurisdiction. 15

In evaluating this factor, HUD will consider how you have described your measures and benefits 16

of your program including: 17

(a) The feasibility of the measures to assure accountability. 18

(b) The appropriateness of the work plan to accomplish stated goals. 19

20

5. Bonus Points (2 points maximum) 21 a. Preferred Sustainable Communities Status Bonus Points. In FY2013, HUD will 22

award 2 bonus points to applicants that are working with the Preferred Sustainability Status 23

recipients. Please refer to the FY2013 General Section for information on how to obtain these 24

bonus points. 25

26

B. Reviews and Selection Process. Please refer to the FY2013 General Section. 27

28

a. Applications that meet all of the threshold requirements will be eligible for review and rating. 29

b. Minimum Score. Applications scoring 75 points or more will be eligible to receive an award. 30

c. Applications will be scored and ranked, based on the total number of points allocated for each 31

of the rating factors described in Section V.A of this NOFA. 32

d. Remaining Funds. Refer to the FY2013 General Section for HUD’s procedures if funds 33

remain after all selections have been made within a category. 34

e. Maximum Number of Points. The maximum number of points to be awarded is 102. This 35

maximum includes two bonus points as described in the FY2013 General Section and above. 36

f. The factors for rating and the maximum points for each factor are stated below: 37

38

Rating Factor Maximum Score

1. Capacity of the Applicant and Relevant

Organizational Experience

20

2. Need/Extent of the Problem 15

3. Soundness of Approach 55

4. Achieving Results and Program Evaluation 10

Preferred Sustainable Communities Status 2

Bonus Points

2

36

Total 102

1

VI. AWARD ADMINISTRATION INFORMATION 2

3

A. Notice of Award. 4 1. Applicants Selected for Award. Successful applicants will receive a letter from the Office 5

of Healthy Homes and Lead Hazard Control providing details regarding the effective start date of 6

the grant agreement and any conditions, additional data and information to be submitted to 7

execute the grant. Applicants will then participate in negotiations to determine the specific terms 8

of the grant agreement, budget, work plan, Benchmarks, or other requirements. Should HUD not 9

be able to successfully conclude negotiations with a selected applicant within a period 10

determined by HUD, an award will not be made. If you accept the terms and conditions of the 11

grant agreement, you must return a signed grant agreement by the date specified. Instructions on 12

how to have the grant agreement account entered into HUD’s Line of Credit Control System 13

(LOCCS) payment system will be provided. Other forms and program requirements will be 14

provided. In accordance with OMB Circular A-133 (Audits of States, Local Governments and 15

Nonprofit Organizations), if you expend $500,000 in federal funds in a single year, you must 16

follow the requirements of the Single Audit Act and must submit your completed audit-reporting 17

package along with the Data Collection Form (SF-SAC) to the Single Audit Clearinghouse. The 18

address can be obtained from their website. The SF-SAC can be downloaded at: 19

http://harvester.census.gov/sac/. 20

21

2. Debriefing. Refer to the FY2013 General Section for additional details. 22

23

3. Negotiation. Refer to the FY2013 General Section for additional details. 24

25

4. Adjustments to Funding. Refer to the FY2013 General Section for additional details. 26

27

B. Administrative and National Policy Requirements. Refer to the FY2013 General 28

Section, Section III.C, Other Requirements and Procedures Applicable to All Programs, for 29

additional details regarding the Administrative and National Policy Requirements applicable to 30

HUD Programs. 31

32

1. National Historic Preservation Act. The National Historic Preservation Act of 1966 (16 33

U.S.C. § 470) and the regulations at 36 CFR Part 800 apply to the lead-hazard control or 34

rehabilitation activities that are undertaken pursuant to this NOFA. 35

36

2. Davis-Bacon Wage Rates. The Davis-Bacon wage rates are not applicable to these 37

programs. However, if you use grant funds in conjunction with other federal programs, Davis- 38

Bacon requirements may apply to the extent required under the other federal programs. 39

40

3. Procurement of Recovered Materials. See the FY2013 General Section for information 41

concerning this requirement. 42

43 C. Reporting Requirements. Reports shall comply with the FY2013 General Section and 44

specific program reporting requirements as described below. 45

37

1

1. Successful applicants will be required to submit applicable quarterly, annual, and final 2

program and financial reports according to the requirements of the OHHLHC, including new 3

Transparency Act Reporting requirements (see 2013 General Section). Specific guidance and 4

additional details will be provided to successful applicants in the grant agreement. OHHLHC 5

will include these reporting requirements in its terms and conditions as part of the grant 6

agreement in its 2013 awards. 7

8

2. All grant recipients must comply with reporting requirements of subpart E (Section 3 of the 9

Housing and Urban Development Act of 1968, 12 U.S.C. §1701u (Economic Opportunities for 10

Low- and Very Low-Income Persons in Connection with Assisted Projects)) and the HUD 11

regulations at 24 CFR Part 135 (See section III.C.4.d of this NOFA). All grant recipients 12

providing program benefits to individuals and families must also report race and ethnicity data as 13

specified in sections VI.C.3 of the FY 2013 General Section). 14

15

3. Grant recipients who purchase X-ray fluorescence (XRF) analyzers or other equipment in 16

excess of $5,000 apiece must complete the General Services Administration’s annual Tangible 17

Personal Property Report, if and after that report receives OMB approval under the Paperwork 18

Reduction Act of 1995 (see 75 Federal Register 14441-14442; March 25, 2010). This report has 19

four components: the Annual Report, the Final (Award Closeout) Report, the Disposition 20

Report/Request, and, if needed, the Supplemental Sheet (see 21

http://www.whitehouse.gov/omb/grants_standard_report_forms). Generally, the average 22

estimated time to complete each of these components is 0.5 hours; it is likely to be less for this 23

grant program. 24

25

4. The applicant must collect demographic data by using the HUD approved Race/Ethnic 26

Form (HUD-27061), in accordance with the requirements of the General Section, Section VI, 27

Award Administration Information. 28

29

5. Transparency Act Reporting. Recipient Reporting to Meet the Requirements of the 30

Federal Funding Accountability and Transparency Act of 2006. See Section III.C.4.v of the 31

FY2013 General Section. 32

33

6. Compliance with Section 872 of the Duncan Hunter National Defense Authorization Act 34 for Fiscal Year 2009 (Pub. L. 110-417), hereafter referred to as “Section 872.” Section 872 35

requires the establishment of a governmentwide data system - the Federal Awardee Performance 36

and Integrity Information System (FAPIIS) - to contain information related to the integrity and 37

performance of entities awarded federal financial assistance and making use of the information 38

by federal officials in making awards. OMB is in the process of issuing regulations regarding 39

federal agency implementation of Section 872 requirements for grants. A technical correction to 40

this NOFA may be issued when such regulations are promulgated. 41

42

7. Registration at SAM.gov Requirement. Applicants must register or update a current 43

registration in the Central Contractor Registration now part of the System for Award 44

Management (SAM), found at https://www.sam.gov/portal/public/SAM. Applicants must have 45

an active registration to receive funding from HUD. 46

38

1

VII. AGENCY CONTACTS. 2

3 For programmatic questions, you may contact: Michelle Miller, Director, Programs Division, 4

Office of Healthy Homes and Lead Hazard Control: Department of Housing and Urban 5

Development; 451 Seventh Street, SW, Room 8236, Washington, DC 20410-3000; telephone 6

202-402-5769 (this is not a toll-free number); facsimile 202-755-1000; or email 7

Michelle.M.Miller@hud.gov. 8

9

For administrative questions, you may contact Nadine L. Heath, Director, Grants Services 10

Division, at the address above or by telephone at 202-402-7680 (this is not a toll-free number); 11

facsimile 202-755-1000; or email Nadine.L.Heath@hud.gov. 12

13

If you are a hearing- or speech-impaired person, you may reach the above telephone numbers via 14

TTY by calling the toll-free Federal Relay Service at 800-877-8339. 15

16

VIII. OTHER INFORMATION. 17

18 A. General. For additional general, technical, and grant program information pertaining to the 19

Office of Healthy Homes and Lead Hazard Control, visit: http://www.hud.gov/offices/lead/. 20

21 B. Authority. “Residential Lead-Based Paint Hazard Reduction Act of 1992 (Title X of the 22

Housing and Community Development Act of 1992), Section 1011, as amended: 23

―Section 1011. Grants for Lead-Based Paint Hazard Reduction in Target Housing. 24

(a) General Authority. The Secretary is authorized to provide grants to eligible applicants 25

to evaluate and reduce lead-based paint hazards in housing that is not federally assisted 26

housing, federally owned housing, or public housing, in accordance with the provisions of 27

this section. Grants shall only be made under this section to provide assistance for housing 28

that meets the following criteria: 29

(1) For grants made to assist rental housing, at least 50 percent of the units must be 30

occupied by or made available to families with incomes at or below 50 percent of the area 31

median income level and the remaining units shall be occupied or made available to families 32

with incomes at or below 80 percent of the area median income level, and in all cases the 33

landlord shall give priority in renting units assisted under this section, for not less than 3 years 34

following the completion of lead abatement activities, to families with a child under the age of 35

six years, except that buildings with five or more units may have 20 percent of the units occupied 36

by families with incomes above 80 percent of area median income level; 37

(2) For grants made to assist housing owned by owner-occupants, all units assisted with 38

grants under this section shall be the principal residence of families with income at or below 80 39

percent of the area median income level, and not less than 90 percent of the units assisted with 40

grants under this section shall be occupied by a child under the age of six years or shall be units 41

where a child under the age of six years spends a significant amount of time visiting.” 42

43

C. Paperwork Reduction Act. The information collection requirements contained in this 44

document have been approved by the Office of Management and Budget (OMB) under the 45

Paperwork Reduction Act of 1995 (44 U.S.C. §§ 3501–3520) and assigned OMB control 46

39

number 2539-0015. In accordance with the Paperwork Reduction Act, HUD may not conduct or 1

sponsor, and a person is not required to respond to, a collection of information unless the 2

collection displays a currently valid OMB control number. Public reporting burden for the 3

collection of information is estimated to average 80 hours to prepare the application, 16 hours to 4

finalize the grant agreement, and 32 hours per annum for grant administration (progress 5

reporting) per respondent. This includes the time for collecting, reviewing, and reporting the 6

data for the application, quarterly reports, and final report. The information will be used for 7

awardee selection and monitoring the administration of funds. Response to this request for 8

information is required in order to receive the benefits to be derived. 9

10

D. Environmental. A Finding of No Significant Impact (FONSI) with respect to the 11

environment has been made for this NOFA in accordance with HUD regulations at 24 CFR Part 12

50, which implement section 102(2)(C) of the National Environmental Policy Act of 1969 (42 13

U.S.C. § 4332(2)(C)). The FONSI will be posted at HUD’s funds available page at 14

http://portal.hud.gov/hudportal/HUD?src=/program_offices/administration/grants/fundsavail 15

under the FY2013 Programs section with the Lead-Based Paint Hazard Control Grant Program 16

and Lead Hazard Reduction Demonstration Grant Programs issued under this NOFA. 17

18

19

20 [FR-5700-N-04] 21

HUD Lead-Based Paint Hazard Control Grant 2013-2016 Target Area

LAND

ATHENS

BELMONT

CARROLL

COLUMBIANA

COSHOCTON

DELAWARE

GALLIA

HARRISON

HOCKING

JACKSON

LAWRENCE

MEIGS

MONROE

MORGAN

MUSKINGUM

NOBLE PERRY

PIKE

ROSS

SCIOTO

TUSCA-

VINTON

WASHINGTON

MONT

JEFFER-

SON RAWAS

ADAMS BROWN

FAYETTE

HIGHLAND

GOMERY

HOLMES

GUERNSEY

OTTAWA

WILLIAMS FULTON LUCAS

ASH-

ASHTABULA

CRAWFORD

CUYAHOGA

HURON

LAKE

MAHONING

MEDINA

PORTAGE

RICHLAND

SENECA

STARK

SUMMIT

TRUMBULL

WAYNE WYANDOT

HANCOCK

PAULDING

PUTNAM

WOOD

GEAUGA

DEFIANCE ERIE LORAIN SANDUSKY HENRY

FAIRFIELD

FRANKLIN

HARDIN

KNOX

LICKING

MARION MORROW

PICKAWAY

MONT-

ALLEN

AUGLAIZE

BUTLER

CHAMPAIGN

CLARK

CLINTON

DARKE

GREENE

HAMILTON

LOGAN

MERCER

MIAMI

PREBLE

SHELBY UNION

VAN WERT

WARREN

CLER-

SON MADI-

vFinal (09/11)

Page 1 of 2

STANDARD AFFIRMATION AND DISCLOSURE FORM

EXECUTIVE ORDER 2011-12K

Governing the Expenditure of Public Funds on Offshore Services

All of the following provisions must be included in all invitations to bid, requests for proposals, state term schedules, multiple award contracts, requests for quotations, informal quotations, and statements of work. This information is to be submitted as part of the response to any of the procurement methods listed.

By the signature affixed hereto, the Contractor affirms, understands and will abide by the requirements of Executive Order 2011-12K. If awarded a contract, both the Contractor and any of its subcontractors shall perform no services requested under this Contract outside of the United States. The Contractor shall provide all the name(s) and location(s) where services under this Contract will be performed in the spaces provided below or by attachment. Failure to provide this information may subject the Contractor to sanctions. If the Contractor will not be using subcontractors, indicate “Not Applicable” in the appropriate spaces.

1. Principal location of business of Contractor: (Address) (City, State, Zip) Name/Principal location of business of subcontractor(s): (Name) (Address, City, State, Zip) (Name) (Address, City, State, Zip)

2. Location where services will be performed by Contractor: (Address) (City, State, Zip) Name/Location where services will be performed by subcontractor(s): (Name) (Address, City, State, Zip) (Name) (Address, City, State, Zip)

vFinal (09/11)

Page 2 of 2

3. Location where state data will be stored, accessed, tested, maintained or backed-up, by Contractor:

(Address) (Address, City, State, Zip) Name/Location(s) where state data will be stored, accessed, tested, maintained or backed-up by subcontractor(s): (Name) (Address, City, State, Zip)

(Name) (Address, City, State, Zip) (Name) (Address, City, State, Zip) (Name) (Address, City, State, Zip) (Name) (Address, City, State, Zip)

Contractor also affirms, understands and agrees that Contractor and its subcontractors are under a duty to disclose to the State any change or shift in location of services performed by Contractor or its subcontractors before, during and after execution of any Contract with the State. Contractor agrees it shall so notify the State immediately of any such change or shift in location of its services. The State has the right to immediately terminate the contract, unless a duly signed waiver from the State has been attained by the Contractor to perform the services outside the United States. On behalf of the Contractor, I acknowledge that I am duly authorized to execute this Affirmation and Disclosure form and have read and understand that this form is a part of any Contract that Contractor may enter into with the State and is incorporated therein. By: __________________________________ Contractor Print Name: ___________________________ Title: __________________________________ Date: __________________________________

vFinal (09/11)

Page 1 of 1

STANDARD TERMS AND CONDITIONS

EXECUTIVE ORDER 2011-12K

Governing the Expenditure of Public Funds on Offshore Services The Contractor affirms to have read and understands Executive Order 2011-12K and shall abide by those requirements in the performance of this Contract. Notwithstanding any other terms of this Contract, the State reserves the right to recover any funds paid for services the Contractor performs outside of the United States for which it did not receive a waiver. The State does not waive any other rights and remedies provided the State in this Contract.

INSTRUCTIONS TO PRINTERSFORM W-9, PAGE 1 of 4MARGINS: TOP 13mm (1⁄ 2 "), CENTER SIDES. PRINTS: HEAD to HEADPAPER: WHITE WRITING, SUB. 20. INK: BLACKFLAT SIZE: 216mm (81⁄ 2 ") 3 279mm (11")PERFORATE: (NONE)

Give form to therequester. Do notsend to the IRS.

Form W-9 Request for TaxpayerIdentification Number and Certification

(Rev. October 2007) Department of the TreasuryInternal Revenue Service Name (as shown on your income tax return)

List account number(s) here (optional)

Address (number, street, and apt. or suite no.)

City, state, and ZIP code

Pri

nt o

r ty

pe

See

Sp

ecifi

c In

stru

ctio

ns o

n p

age

2.

Taxpayer Identification Number (TIN)

Enter your TIN in the appropriate box. The TIN provided must match the name given on Line 1 to avoidbackup withholding. For individuals, this is your social security number (SSN). However, for a residentalien, sole proprietor, or disregarded entity, see the Part I instructions on page 3. For other entities, it isyour employer identification number (EIN). If you do not have a number, see How to get a TIN on page 3.

Social security number

or

Requester’s name and address (optional)

Employer identification number Note. If the account is in more than one name, see the chart on page 4 for guidelines on whosenumber to enter. Certification

1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me), and I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the InternalRevenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS hasnotified me that I am no longer subject to backup withholding, and

2.

Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backupwithholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply.For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirementarrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the Certification, but you mustprovide your correct TIN. See the instructions on page 4. SignHere

Signature ofU.S. person ©

Date ©

General Instructions

Form W-9 (Rev. 10-2007)

Part I

Part II

Business name, if different from above

Cat. No. 10231X

Check appropriate box:

Under penalties of perjury, I certify that:

13 I.R.S. SPECIFICATIONS TO BE REMOVED BEFORE PRINTING

DO NOT PRINT — DO NOT PRINT — DO NOT PRINT — DO NOT PRINT

TLS, have youtransmitted all R text files for this cycle update?

Date

Action

Revised proofsrequested

Date

Signature

O.K. to print

Use Form W-9 only if you are a U.S. person (including aresident alien), to provide your correct TIN to the personrequesting it (the requester) and, when applicable, to: 1. Certify that the TIN you are giving is correct (or you arewaiting for a number to be issued), 2. Certify that you are not subject to backup withholding, or

3. Claim exemption from backup withholding if you are a U.S.exempt payee. If applicable, you are also certifying that as aU.S. person, your allocable share of any partnership income froma U.S. trade or business is not subject to the withholding tax onforeign partners’ share of effectively connected income.

3. I am a U.S. citizen or other U.S. person (defined below).

A person who is required to file an information return with theIRS must obtain your correct taxpayer identification number (TIN)to report, for example, income paid to you, real estatetransactions, mortgage interest you paid, acquisition orabandonment of secured property, cancellation of debt, orcontributions you made to an IRA.

Individual/Sole proprietor

Corporation

Partnership

Other (see instructions) ©

Note. If a requester gives you a form other than Form W-9 torequest your TIN, you must use the requester’s form if it issubstantially similar to this Form W-9.

● An individual who is a U.S. citizen or U.S. resident alien, ● A partnership, corporation, company, or association created or

organized in the United States or under the laws of the UnitedStates, ● An estate (other than a foreign estate), or

Definition of a U.S. person. For federal tax purposes, you areconsidered a U.S. person if you are:

Special rules for partnerships. Partnerships that conduct atrade or business in the United States are generally required topay a withholding tax on any foreign partners’ share of incomefrom such business. Further, in certain cases where a Form W-9has not been received, a partnership is required to presume thata partner is a foreign person, and pay the withholding tax.Therefore, if you are a U.S. person that is a partner in apartnership conducting a trade or business in the United States,provide Form W-9 to the partnership to establish your U.S.status and avoid withholding on your share of partnershipincome. The person who gives Form W-9 to the partnership forpurposes of establishing its U.S. status and avoiding withholdingon its allocable share of net income from the partnershipconducting a trade or business in the United States is in thefollowing cases: ● The U.S. owner of a disregarded entity and not the entity,

Section references are to the Internal Revenue Code unlessotherwise noted.

● A domestic trust (as defined in Regulations section301.7701-7).

Limited liability company. Enter the tax classification (D=disregarded entity, C=corporation, P=partnership) ©

Exempt payee

Purpose of Form

INSTRUCTIONS TO PRINTERSFORM W-9, PAGE 2 of 4MARGINS: TOP 13 mm (1⁄ 2"), CENTER SIDES. PRINTS: HEAD to HEADPAPER: WHITE WRITING, SUB. 20. INK: BLACKFLAT SIZE: 216 mm (81⁄ 2") 3 279 mm (11")PERFORATE: (NONE)

Form W-9 (Rev. 10-2007) Page 2

Sole proprietor. Enter your individual name as shown on yourincome tax return on the “Name” line. You may enter yourbusiness, trade, or “doing business as (DBA)” name on the“Business name” line.

13 I.R.S. SPECIFICATIONS TO BE REMOVED BEFORE PRINTING

DO NOT PRINT — DO NOT PRINT — DO NOT PRINT — DO NOT PRINT

Other entities. Enter your business name as shown on requiredfederal tax documents on the “Name” line. This name shouldmatch the name shown on the charter or other legal documentcreating the entity. You may enter any business, trade, or DBAname on the “Business name” line.

If the account is in joint names, list first, and then circle, thename of the person or entity whose number you entered in Part Iof the form.

Specific Instructions Name

Exempt Payee

5. You do not certify to the requester that you are not subjectto backup withholding under 4 above (for reportable interest anddividend accounts opened after 1983 only). Certain payees and payments are exempt from backupwithholding. See the instructions below and the separateInstructions for the Requester of Form W-9.

Civil penalty for false information with respect towithholding. If you make a false statement with no reasonablebasis that results in no backup withholding, you are subject to a$500 penalty. Criminal penalty for falsifying information. Willfully falsifyingcertifications or affirmations may subject you to criminalpenalties including fines and/or imprisonment.

Penalties Failure to furnish TIN. If you fail to furnish your correct TIN to arequester, you are subject to a penalty of $50 for each suchfailure unless your failure is due to reasonable cause and not towillful neglect.

Misuse of TINs. If the requester discloses or uses TINs inviolation of federal law, the requester may be subject to civil andcriminal penalties.

If you are an individual, you must generally enter the nameshown on your income tax return. However, if you have changedyour last name, for instance, due to marriage without informingthe Social Security Administration of the name change, enteryour first name, the last name shown on your social securitycard, and your new last name.

If you are exempt from backup withholding, enter your name asdescribed above and check the appropriate box for your status,then check the “Exempt payee” box in the line following thebusiness name, sign and date the form.

4. The IRS tells you that you are subject to backupwithholding because you did not report all your interest anddividends on your tax return (for reportable interest anddividends only), or

3. The IRS tells the requester that you furnished an incorrectTIN,

2. You do not certify your TIN when required (see the Part IIinstructions on page 3 for details),

You will not be subject to backup withholding on paymentsyou receive if you give the requester your correct TIN, make theproper certifications, and report all your taxable interest anddividends on your tax return.

1. You do not furnish your TIN to the requester,

What is backup withholding? Persons making certain paymentsto you must under certain conditions withhold and pay to theIRS 28% of such payments. This is called “backup withholding.” Payments that may be subject to backup withholding includeinterest, tax-exempt interest, dividends, broker and barterexchange transactions, rents, royalties, nonemployee pay, andcertain payments from fishing boat operators. Real estatetransactions are not subject to backup withholding.

Payments you receive will be subject to backupwithholding if:

If you are a nonresident alien or a foreign entity not subject tobackup withholding, give the requester the appropriatecompleted Form W-8.

Example. Article 20 of the U.S.-China income tax treaty allowsan exemption from tax for scholarship income received by aChinese student temporarily present in the United States. UnderU.S. law, this student will become a resident alien for taxpurposes if his or her stay in the United States exceeds 5calendar years. However, paragraph 2 of the first Protocol to theU.S.-China treaty (dated April 30, 1984) allows the provisions ofArticle 20 to continue to apply even after the Chinese studentbecomes a resident alien of the United States. A Chinesestudent who qualifies for this exception (under paragraph 2 ofthe first protocol) and is relying on this exception to claim anexemption from tax on his or her scholarship or fellowshipincome would attach to Form W-9 a statement that includes theinformation described above to support that exemption.

Note. You are requested to check the appropriate box for yourstatus (individual/sole proprietor, corporation, etc.).

4. The type and amount of income that qualifies for theexemption from tax. 5. Sufficient facts to justify the exemption from tax under theterms of the treaty article.

Nonresident alien who becomes a resident alien. Generally,only a nonresident alien individual may use the terms of a taxtreaty to reduce or eliminate U.S. tax on certain types of income.However, most tax treaties contain a provision known as a“saving clause.” Exceptions specified in the saving clause maypermit an exemption from tax to continue for certain types ofincome even after the payee has otherwise become a U.S.resident alien for tax purposes. If you are a U.S. resident alien who is relying on an exceptioncontained in the saving clause of a tax treaty to claim anexemption from U.S. tax on certain types of income, you mustattach a statement to Form W-9 that specifies the following fiveitems: 1. The treaty country. Generally, this must be the same treatyunder which you claimed exemption from tax as a nonresidentalien. 2. The treaty article addressing the income.

3. The article number (or location) in the tax treaty thatcontains the saving clause and its exceptions.

Also see Special rules for partnerships on page 1.

Foreign person. If you are a foreign person, do not use FormW-9. Instead, use the appropriate Form W-8 (see Publication515, Withholding of Tax on Nonresident Aliens and ForeignEntities).

● The U.S. grantor or other owner of a grantor trust and not thetrust, and ● The U.S. trust (other than a grantor trust) and not thebeneficiaries of the trust.

Limited liability company (LLC). Check the “Limited liabilitycompany” box only and enter the appropriate code for the taxclassification (“D” for disregarded entity, “C” for corporation, “P” for partnership) in the space provided. For a single-member LLC (including a foreign LLC with adomestic owner) that is disregarded as an entity separate fromits owner under Regulations section 301.7701-3, enter theowner’s name on the “Name” line. Enter the LLC’s name on the“Business name” line. For an LLC classified as a partnership or a corporation, enterthe LLC’s name on the “Name” line and any business, trade, orDBA name on the “Business name” line.

INSTRUCTIONS TO PRINTERSFORM W-9, PAGE 3 of 4MARGINS: TOP 13 mm (1⁄ 2"), CENTER SIDES. PRINTS: HEAD to HEADPAPER: WHITE WRITING, SUB. 20. INK: BLACKFLAT SIZE: 216 mm (81⁄ 2") 3 279 mm (11")PERFORATE: (NONE)

I.R.S. SPECIFICATIONS TO BE REMOVED BEFORE PRINTING

DO NOT PRINT — DO NOT PRINT — DO NOT PRINT — DO NOT PRINT

Form W-9 (Rev. 10-2007) Page 3

13

Part I. Taxpayer IdentificationNumber (TIN) Enter your TIN in the appropriate box. If you are a residentalien and you do not have and are not eligible to get an SSN,your TIN is your IRS individual taxpayer identification number(ITIN). Enter it in the social security number box. If you do nothave an ITIN, see How to get a TIN below.

How to get a TIN. If you do not have a TIN, apply for oneimmediately. To apply for an SSN, get Form SS-5, Applicationfor a Social Security Card, from your local Social SecurityAdministration office or get this form online at www.ssa.gov. Youmay also get this form by calling 1-800-772-1213. Use FormW-7, Application for IRS Individual Taxpayer IdentificationNumber, to apply for an ITIN, or Form SS-4, Application forEmployer Identification Number, to apply for an EIN. You canapply for an EIN online by accessing the IRS website atwww.irs.gov/businesses and clicking on Employer IdentificationNumber (EIN) under Starting a Business. You can get Forms W-7and SS-4 from the IRS by visiting www.irs.gov or by calling1-800-TAX-FORM (1-800-829-3676). If you are asked to complete Form W-9 but do not have a TIN,write “Applied For” in the space for the TIN, sign and date theform, and give it to the requester. For interest and dividendpayments, and certain payments made with respect to readilytradable instruments, generally you will have 60 days to get aTIN and give it to the requester before you are subject to backupwithholding on payments. The 60-day rule does not apply toother types of payments. You will be subject to backupwithholding on all such payments until you provide your TIN tothe requester.

If you are a sole proprietor and you have an EIN, you mayenter either your SSN or EIN. However, the IRS prefers that youuse your SSN. If you are a single-member LLC that is disregarded as anentity separate from its owner (see Limited liability company(LLC) on page 2), enter the owner’s SSN (or EIN, if the ownerhas one). Do not enter the disregarded entity’s EIN. If the LLC isclassified as a corporation or partnership, enter the entity’s EIN. Note. See the chart on page 4 for further clarification of nameand TIN combinations.

Note. Entering “Applied For” means that you have alreadyapplied for a TIN or that you intend to apply for one soon. Caution: A disregarded domestic entity that has a foreign ownermust use the appropriate Form W-8.

9. A futures commission merchant registered with theCommodity Futures Trading Commission, 10. A real estate investment trust,

11. An entity registered at all times during the tax year underthe Investment Company Act of 1940, 12. A common trust fund operated by a bank under section584(a), 13. A financial institution,

14. A middleman known in the investment community as anominee or custodian, or 15. A trust exempt from tax under section 664 or described insection 4947.

THEN the payment is exemptfor . . .

IF the payment is for . . .

All exempt payees except for 9

Interest and dividend payments

Exempt payees 1 through 13.Also, a person registered underthe Investment Advisers Act of1940 who regularly acts as abroker

Broker transactions

Exempt payees 1 through 5

Barter exchange transactionsand patronage dividends

Generally, exempt payees 1 through 7

Payments over $600 requiredto be reported and directsales over $5,000 See Form 1099-MISC, Miscellaneous Income, and its instructions. However, the following payments made to a corporation (including grossproceeds paid to an attorney under section 6045(f), even if the attorney is acorporation) and reportable on Form 1099-MISC are not exempt frombackup withholding: medical and health care payments, attorneys’ fees, andpayments for services paid by a federal executive agency.

The chart below shows types of payments that may beexempt from backup withholding. The chart applies to theexempt payees listed above, 1 through 15.

1 2

7. A foreign central bank of issue, 8. A dealer in securities or commodities required to register in

the United States, the District of Columbia, or a possession ofthe United States,

2

The following payees are exempt from backup withholding: 1. An organization exempt from tax under section 501(a), any

IRA, or a custodial account under section 403(b)(7) if the accountsatisfies the requirements of section 401(f)(2), 2. The United States or any of its agencies orinstrumentalities, 3. A state, the District of Columbia, a possession of the UnitedStates, or any of their political subdivisions or instrumentalities, 4. A foreign government or any of its political subdivisions,agencies, or instrumentalities, or 5. An international organization or any of its agencies orinstrumentalities. Other payees that may be exempt from backup withholdinginclude: 6. A corporation,

Generally, individuals (including sole proprietors) are not exemptfrom backup withholding. Corporations are exempt from backupwithholding for certain payments, such as interest and dividends. Note. If you are exempt from backup withholding, you shouldstill complete this form to avoid possible erroneous backupwithholding.

1

1. Interest, dividend, and barter exchange accountsopened before 1984 and broker accounts considered activeduring 1983. You must give your correct TIN, but you do nothave to sign the certification. 2. Interest, dividend, broker, and barter exchangeaccounts opened after 1983 and broker accounts consideredinactive during 1983. You must sign the certification or backupwithholding will apply. If you are subject to backup withholdingand you are merely providing your correct TIN to the requester,you must cross out item 2 in the certification before signing theform.

Part II. Certification

For a joint account, only the person whose TIN is shown inPart I should sign (when required). Exempt payees, see ExemptPayee on page 2.

To establish to the withholding agent that you are a U.S. person,or resident alien, sign Form W-9. You may be requested to signby the withholding agent even if items 1, 4, and 5 below indicateotherwise.

Signature requirements. Complete the certification as indicatedin 1 through 5 below.

INSTRUCTIONS TO PRINTERSFORM W-9, PAGE 4 of 4MARGINS: TOP 13 mm (1⁄ 2"), CENTER SIDES. PRINTS: HEAD to HEADPAPER: WHITE WRITING, SUB. 20. INK: BLACKFLAT SIZE: 216 mm (81⁄ 2") 3 279 mm (11")PERFORATE: (NONE)

Form W-9 (Rev. 10-2007) Page 4

I.R.S. SPECIFICATIONS TO BE REMOVED BEFORE PRINTING

DO NOT PRINT — DO NOT PRINT — DO NOT PRINT — DO NOT PRINT

Give name and EIN of:

For this type of account:

3. Real estate transactions. You must sign the certification.You may cross out item 2 of the certification.

A valid trust, estate, or pension trust

6.

Legal entity 4

4. Other payments. You must give your correct TIN, but youdo not have to sign the certification unless you have beennotified that you have previously given an incorrect TIN. “Otherpayments” include payments made in the course of therequester’s trade or business for rents, royalties, goods (otherthan bills for merchandise), medical and health care services(including payments to corporations), payments to anonemployee for services, payments to certain fishing boat crewmembers and fishermen, and gross proceeds paid to attorneys(including payments to corporations).

The corporation

Corporate or LLC electingcorporate status on Form 8832

7.

The organization

Association, club, religious,charitable, educational, or othertax-exempt organization

8.

5. Mortgage interest paid by you, acquisition orabandonment of secured property, cancellation of debt,qualified tuition program payments (under section 529), IRA,Coverdell ESA, Archer MSA or HSA contributions ordistributions, and pension distributions. You must give yourcorrect TIN, but you do not have to sign the certification.

The partnership

Partnership or multi-member LLC

9.

The broker or nominee

A broker or registered nominee

10.

The public entity

Account with the Department ofAgriculture in the name of a publicentity (such as a state or localgovernment, school district, orprison) that receives agriculturalprogram payments

11.

Privacy Act Notice

List first and circle the name of the person whose number you furnish. If only one personon a joint account has an SSN, that person’s number must be furnished. Circle the minor’s name and furnish the minor’s SSN. You must show your individual name and you may also enter your business or “DBA” name on the second name line. You may use either your SSN or EIN (if you have one),but the IRS encourages you to use your SSN. List first and circle the name of the trust, estate, or pension trust. (Do not furnish the TINof the personal representative or trustee unless the legal entity itself is not designated inthe account title.) Also see Special rules for partnerships on page 1.

Note. If no name is circled when more than one name is listed,the number will be considered to be that of the first name listed.

Disregarded entity not owned by anindividual

The owner

12.

13

You must provide your TIN whether or not you are required to file a tax return. Payers must generally withhold 28% of taxable interest, dividend, and certain otherpayments to a payee who does not give a TIN to a payer. Certain penalties may also apply.

Section 6109 of the Internal Revenue Code requires you to provide your correct TIN to persons who must file information returns with the IRS to report interest,dividends, and certain other income paid to you, mortgage interest you paid, the acquisition or abandonment of secured property, cancellation of debt, orcontributions you made to an IRA, or Archer MSA or HSA. The IRS uses the numbers for identification purposes and to help verify the accuracy of your tax return.The IRS may also provide this information to the Department of Justice for civil and criminal litigation, and to cities, states, the District of Columbia, and U.S.possessions to carry out their tax laws. We may also disclose this information to other countries under a tax treaty, to federal and state agencies to enforce federalnontax criminal laws, or to federal law enforcement and intelligence agencies to combat terrorism.

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2 3

4

Secure Your Tax Records from Identity Theft Identity theft occurs when someone uses your personalinformation such as your name, social security number (SSN), orother identifying information, without your permission, to commitfraud or other crimes. An identity thief may use your SSN to geta job or may file a tax return using your SSN to receive a refund.

What Name and Number To Give the Requester Give name and SSN of:

For this type of account:

The individual

1.

Individual The actual owner of the account or,

if combined funds, the firstindividual on the account

2.

Two or more individuals (jointaccount)

The minor 2

3.

Custodian account of a minor(Uniform Gift to Minors Act) The grantor-trustee

1

4.

a. The usual revocable savingstrust (grantor is also trustee) The actual owner

1

b. So-called trust account that isnot a legal or valid trust understate law The owner

3

5.

Sole proprietorship or disregardedentity owned by an individual

Call the IRS at 1-800-829-1040 if you think your identity hasbeen used inappropriately for tax purposes.

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To reduce your risk: ● Protect your SSN, ● Ensure your employer is protecting your SSN, and ● Be careful when choosing a tax preparer.

Victims of identity theft who are experiencing economic harmor a system problem, or are seeking help in resolving taxproblems that have not been resolved through normal channels,may be eligible for Taxpayer Advocate Service (TAS) assistance.You can reach TAS by calling the TAS toll-free case intake lineat 1-877-777-4778 or TTY/TDD 1-800-829-4059. Protect yourself from suspicious emails or phishingschemes. Phishing is the creation and use of email andwebsites designed to mimic legitimate business emails andwebsites. The most common act is sending an email to a userfalsely claiming to be an established legitimate enterprise in anattempt to scam the user into surrendering private informationthat will be used for identity theft. The IRS does not initiate contacts with taxpayers via emails.Also, the IRS does not request personal detailed informationthrough email or ask taxpayers for the PIN numbers, passwords,or similar secret access information for their credit card, bank, orother financial accounts. If you receive an unsolicited email claiming to be from the IRS,forward this message to phishing@irs.gov. You may also reportmisuse of the IRS name, logo, or other IRS personal property tothe Treasury Inspector General for Tax Administration at1-800-366-4484. You can forward suspicious emails to theFederal Trade Commission at: spam@uce.gov or contact them atwww.consumer.gov/idtheft or 1-877-IDTHEFT(438-4338).

Visit the IRS website at www.irs.gov to learn more aboutidentity theft and how to reduce your risk.

ODH Vendor Contract ver. 08/15/2013

OHIO DEPARTMENT OF HEALTH

CONTRACT

1.01 ODH and CONTRACTOR Information. This Contract is between OHIO DEPARTMENT OF

HEALTH (“ODH”), whose address is 246 North High Street, Columbus, Ohio 43215, and the following specified “CONTRACTOR”:

“CONTRACTOR ” ALL FIELDS MUST BE COMPLETED Address Address Contract Representative, Title Telephone Email Vendor Number

For the purpose of this Contract, the term “Parties” may be used to collectively refer to both “ODH” and “CONTRACTOR.”

1.02 Contract Beginning and Ending Dates. Subject to section 2 and other terms and conditions specified in this Contract, the “Contract Period” shall begin and end as follows:

“Contract Period”

The time between the “Contract Beginning Date” and “Contract Ending Date” unless the Contract is extended for an additional period to the “Extended Contract Ending Date” in accordance with section 2.04.

“Contract Beginning Date” Click here to enter a date., or the date of Contract execution by both Parties, whichever is later.

“Contract Ending Date” Click here to enter a date., or the date of Contract termination, whichever is first.

“Extended Contract Beginning Date” (Note- Do not Use unless the Contact Funding Source line item is specifically identified in section 1.03 for the extended contract period)

Click here to enter a date.

“Extended Contract Ending Date” Click here to enter a date., or if the Contract is extended and subsequently terminated before that date, the Contract termination date.

Contract# OFA To Provide

ADTS# OFA To Provide

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1.03 Contract Funding. “Contract Funding Source” (in

whole or in part) Provide name of Grant or indicate “GRF”

“Total Contract Amount” (Not to exceed) $ .00 State FY 2014 Funding (Not to exceed) $ .00 State FY 2015 Funding (Not to exceed) $ .00 State FY 2016 Funding (Not to exceed) $ .00

State FY 2017 Funding (Not to exceed) $ .00 Grant Award Number CFDA Number

Invoicing Choose an item. ODH Program Ohio Statute Authorizing Administration of the Program R.C.

1.04 ODH Contract Management:

ODH “Contract Manager”

Title Address Address Telephone Fax Email

1.05 ATTACHMENTS to this Contract:

ATTACHMENT 1.06

“Scope of Work, Deliverables, and Compensation”

ATTACHMENT 2.13

Executive Order 2011-12K, “Governing the Expenditure of Public Funds for Offshore Services”

ATTACHMENT 2.04.01 “Notice of Intent to Renew and ODH Acceptance of Contract Renewal” (Note: For use if an “Extended” Contract Period is indicated in Section 1.02)

ATTACHMENT A

“Insert Title of Attachment referenced in Attachment 1.06 ‘Scope of Work, Deliverables, and Compensation’”

ATTACHMENT B

“Insert Title of Attachment referenced in Attachment 1.06 ‘Scope of Work, Deliverables, and Compensation’”

ATTACHMENT C

“Insert Title of Attachment referenced in Attachment 1.06 ‘Scope of Work, Deliverables, and Compensation’”

ATTACHMENT D

“Insert Title of Attachment referenced in Attachment 1.06 ‘Scope of Work, Deliverables, and Compensation’”

ATTACHMENT E

“Insert Title of Attachment referenced in Attachment 1.06 ‘Scope of Work, Deliverables, and Compensation’”

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ATTACHMENT F “Insert Title of Attachment referenced in Attachment 1.06 ‘Scope of Work, Deliverables, and Compensation’”

1.06

Scope of Work and Deliverables Due Date Compensation See ATTACHMENT 1.06, which is incorporated by reference as if fully rewritten herein.

SECTION 2. CONTRACT TERMS and CONDITIONS Immediately Follows this Page.

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SECTION 2. CONTRACT TERMS and CONDITIONS 2.01 In consideration of the mutual promises expressed in this Contract and intending to be legally bound,

CONTRACTOR agrees to perform, and ODH agrees to pay CONTRACTOR, in accordance with the terms of this Contract.

2.02 Purpose of Contract. CONTRACTOR will provide ODH goods or services in accordance with the terms of this Contract.

2.03 Scope of Work, Deliverables, and Compensation. CONTRACTOR shall provide work, services, products and deliverables in the time and manner and for the compensation specified in section 1.06 and any ATTACHMENT specified or incorporated into section 1.06.

2.03.01 In consideration of the Scope of Work and Deliverables specified in section 1.06, ODH agrees to pay the Compensation set forth for each Deliverable specified in section 1.06 for a total Compensation for all work specified in the Scope of Work and for all specified Deliverables in an amount not to exceed the Total Contract Amount.

2.03.02 The Total Contract Amount includes the cost for all services, travel, or any other expenses that CONTRACTOR may incur as a result of CONTRACTOR’s performance of this Contract. In the event that Section 1.06 specifically allows ODH to reimburse CONTRACTOR for travel and other related expenses, ODH will reimburse CONTRACTOR for those expenses in accordance with this section. Travel and travel-related expenses must be pre-approved by Contract Manager in advance of travel and may not exceed the amounts specified for the State Fiscal Year. CONTRACTOR may invoice ODH for reimbursement of travel and travel-related expenses no later than thirty days after the travel occurred. CONTRACTOR must invoice travel invoices separate from invoices for services and work. Reimbursement for authorized travel and other related expenses shall be limited to actual and necessary expenses as specified in R.C. 126.31 and R.C. 126.32 and the provisions of OAC 126-1-02. CONTRACTOR shall not submit claims for expenses which do not meet the requirements specified. CONTRACTOR shall submit all claims/travel invoices to the Contract Manager for approval prior to submitting a claim for reimbursement. ODH will not reimburse CONTRACTOR for any other expenses except as specifically provided in this Contract. For the purpose of determining allowable travel expenses, CONTRACTOR’s headquarters shall be Franklin County, Ohio.

2.03.03 CONTRACTOR shall monitor the work under this Contract and shall not accept an assignment under this Contract if it will cause or is reasonably likely to cause the Compensation specified in section 1.06 to exceed the Total Contract Amount for the Contract Period.

2.03.04 CONTRACTOR waives the interest provisions of R.C. 126.30.

2.03.05 Subject to the provisions of R.C. 126.07 and R.C. 131.33, which shall at all times govern this Contract, ODH represents that it intends to maintain this Contract for the full Contract Period set forth in this Contract and has no reason to believe that it will not have sufficient funds to enable it to make all payments due. ODH further represents that it will use best efforts to obtain the appropriation of any necessary funds during the Contract Period.

2.03.06 CONTRACTOR understands and agrees that the availability of necessary funds for this Contract is contingent on appropriations made by the Ohio General Assembly and, if applicable, and not solely funded by the Ohio General Assembly, another Contract Funding Source. If the Ohio General Assembly or other Contract Funding Source fails at any time to continue funding ODH for the Compensation specified in this Contract, this Contract is terminated as of the date funding expires without further obligation of ODH, State of Ohio, or any other Contract Funding Source.

2.03.07 ODH will not compensate CONTRACTOR for any work performed prior to receipt of written notification from the ODH Contract Manager that the requirements of R.C. 126.07 and, if applicable, R.C. 127.16 have been met. ODH will not compensate CONTRACTOR for any work performed after the Contract Ending Date, or Extended Contract Ending Date, as applicable.

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2.03.08 Invoices. CONTRACTOR shall invoice ODH in accordance with Section 1.06, or Attachment 1.06, if applicable, for work or services CONTRACTOR provides. An itemized statement listing the services provided, the dates services were provided, and the amount of payment due shall accompany the invoice. Invoices shall be sent to ODH, ATTN: Accounts Payable, P.O. Box 118, Columbus, Ohio 43216-0118. ODH will reimburse CONTRACTOR within forty-five (45) days of receipt of a valid invoice for the amount of payment due. ODH shall return any invalid or incomplete invoice to CONTRACTOR within fifteen (15) days after ODH receives the invoice. An explanation will accompany the invoice that states the reason for return and any information needed to correct the invoice. Final invoices for services provided under this Contract shall be submitted by CONTRACTOR no later than thirty (30) days after the end of the Contract Period.

2.03.09 CONTRACTOR shall furnish its own support staff and services as necessary for the satisfactory performance of this Contract. Unless otherwise specified in this Contract, ODH will not provide any staff, services, or material to CONTRACTOR for the purpose of assisting CONTRACTOR’s performance.

2.03.10 ODH may, from time to time as it deems appropriate, communicate specific instructions and requests to CONTRACTOR concerning the performance of the work described in this Contract. Upon such notice and within ten (10) days after receipt of instructions, CONTRACTOR shall comply with such instructions and fulfill such requests to the satisfaction of ODH. It is expressly understood by the Parties that these instructions and requests are for the sole purpose of ensuring satisfactory completion of the work described in this Contract and are not intended to amend or alter this Contract or any part thereof. The Contract Manager will communicate all such instructions and requests to CONTRACTOR.

2.03.11 ATTACHMENTS specified in section 1.05 of this Contract are made a part of, and are incorporated as terms and conditions of this Contract. In the event of a conflict of terms, the terms of the specified ATTACHMENT to this Contract shall take precedence over any conflicting terms appearing in this Contract.

2.04 Time of Performance.

2.04.01 Contract Period; Extension or Renewal. Upon approval by the Director of ODH and, if required, the Controlling Board, this Contract shall be effective on the “Contract Beginning Date” specified in section 1.02 of this Contract and will remain effective until the “Contract Ending Date” specified in that section, unless this Contract allows the Contract Period to be renewed or extended. In the event that section 1.02 of this Contract specifies that this Contract may be renewed or extended after the State of Ohio biennium ending on June 30th of each year ending in an odd number, e.g. June 30, 2013, then this Contract will terminate on the last day of that biennium. At that time, ODH may unilaterally renew or extend the Contract termination date to the “Extended Contract Ending Date” specified in section 1.02, if one is specified. If authorized by section 1.02 and if ATTACHMENT 2.04.01 is included in this Contract, CONTRACTOR may request that ODH consider the extension or renewal of this Contract by sending ODH the “Notice of Intent to Renew and ODH Acceptance of Contract Renewal” in accordance with the terms of that ATTACHMENT.

2.04.02 Pursuant to R.C. 126.07, this Contract is not valid nor enforceable in any fiscal year unless the director of budget and management first certifies that there is a balance in the appropriation not already obligated to pay existing obligations, in an amount at least equal to the current fiscal year funding specified for each fiscal year that comprises the “Total Contract Amount. CONTRACTOR shall not perform nor charge ODH for any work performed by CONTRACTOR in the time period prior to receiving written notification from the Contract Manager that the requirements of R.C. 126.07 and, if applicable, R.C. 127.16 have been met. CONTRACTOR shall neither perform work nor submit an invoice for payment for any Contract performance after the Contract Ending Date, or if the Contract is extended, the Extended Contract Ending Date.

2.05 Independent Contractor. No agency, employment, joint venture or partnership has been or will be created between the Parties hereto pursuant to the terms and conditions of this Contract. Inasmuch as ODH is

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interested in CONTRACTOR’s end product, ODH does not control the manner in which CONTRACTOR performs this Contract. ODH is not liable for the workers' compensation or unemployment compensation payments required by Chapters 4123 and 4141 of the Ohio Revised Code (R.C.), respectively. In addition, CONTRACTOR assumes responsibility for tax liabilities that result from compensation paid to CONTRACTOR by ODH. ODH will report any payment made under this Contract to the Internal Revenue Service on Form 1099. Additionally, no provision contained in this Contract shall be construed as entitling CONTRACTOR to participate in hospital plans, medical plans, sick leave benefits, vacation, and other benefits available to employees of ODH or to become a member of the Public Employees Retirement System (R.C. Chapter 145.)

2.06 Conflict of Interest and Ethics Laws.

2.06.01 Neither CONTRACTOR nor any officer, member or employee of CONTRACTOR shall, prior to the completion of such work and payment for such work, acquire any interest, personal or otherwise, direct or indirect, which is incompatible or in conflict with or would compromise in any manner or degree with the discharge and fulfillment of his or her functions and responsibilities with respect to the carrying out of such work.

2.06.02 CONTRACTOR hereby covenants that CONTRACTOR, and any officer, member, or employee of CONTRACTOR, have no interest, personal or otherwise, direct or indirect, which is incompatible or in conflict with or would compromise in any manner or degree with the discharge and fulfillment of his or her functions and responsibilities under this Contract.

2.06.03 CONTRACTOR shall not promise or give to any ODH employee anything of value that is of such a character as to manifest a substantial and improper influence upon the employee with respect to his or her duties. CONTRACTOR shall not solicit an ODH employee to violate any ODH rule or policy relating to the conduct of contracting Parties or to violate R.C. 102.03 to 102.04 or R.C. 2921.42.

2.06.04 CONTRACTOR hereby covenants that CONTRACTOR and any officer, member or employee of CONTRACTOR are in compliance with section R.C. 102.04 and that if CONTRACTOR is required to file a statement pursuant to R.C. 102.04(D)(2), such statement has been filed with the ODH General Counsel in addition to any other required filings.

2.06.05 CONTRACTOR hereby certifies compliance with the executive agency lobbying requirements of R.C. 121.60 to 121.69.

2.06.06 CONTRACTOR hereby certifies and affirms that, as applicable to CONTRACTOR , no party listed in Division (I) or (J) of R.C. 3517.13 or spouse of such party has made, as an individual, within the two previous calendar years, one or more contributions in excess of $1,000.00 to the Governor or to his campaign committees. If it is determined that CONTRACTOR's certification of this requirement is false or misleading, notwithstanding any criminal or civil liabilities imposed by law, CONTRACTOR shall return to ODH all monies paid to CONTRACTOR under this Contract. The provisions of this section shall survive the expiration or termination of this Contract.

2.07 Nondiscrimination and Equal Employment Opportunity.

2.07.01 In carrying out this Contract, CONTRACTOR shall comply with all applicable State of Ohio and Federal laws relating to nondiscrimination as those laws may be amended from time to time, including but not limited to the following:

a. Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency (“LEP”), which requires reasonable steps to ensure that LEP persons have meaningful access to programs (see www.lep.gov), and Health and Human Services (“HHS”) implementing regulations at 45 CFR part 80;

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b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex, and HHS implementing regulations at 45 CFR part 86;

c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of handicaps in the provision of benefits or services as well as employment, and the HHS implementing regulations are codified at 45 CFR parts 84 and 85;

d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101-6107), which prohibits discrimination on the basis of age and the HHS implementing regulations codified at 45 CFR part 91;

e. If grant funding is from the U.S. Department of Justice, comply with 28 C.F.R. pt. 54 (nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance), 28 C.F.R. pt. 38 (Equal Treatment for Faith-Based Organizations, and Ex. Order 13279 (Equal Protection of the Laws for Faith-Based and Community Organizations); and

f. Prohibitions against retaliation against individuals for taking action or participating in an action to secure rights provided in State and Federal laws relating to nondiscrimination.

2.07.02 CONTRACTOR hereby certifies that CONTRACTOR has a written affirmative action program for the employment and effective utilization of economically disadvantaged persons and shall file a description of the affirmative action program and a progress report on its implementation with the Equal Employment Opportunity Office of the Ohio Department of Administrative Services. CONTRACTOR shall incorporate the foregoing State of Ohio and Federal laws relating to nondiscrimination in all of its contracts for performance of any of the work prescribed in this contract, and shall require all of its subcontractors to incorporate these requirements in all subcontracts for such work.

2.08 “Sweatshop Free” Certification. CONTRACTOR hereby certifies that all facilities used for the production of supplies or performance of services offered in this Contract is in compliance with applicable domestic labor, employment, health and safety, environmental and building laws. This certification applies to any and all suppliers and/or subcontractors used by CONTRACTOR in furnishing the supplies or services pursuant to this Contract. If it is determined that CONTRACTOR 's certification of this requirement is false or misleading, then CONTRACTOR understands that it shall be grounds for the termination of this Contract and may result in the loss of other contracts or grants with the State of Ohio.

2.09 Records, Documents and Information. All records, documents, writings or other information produced or used by CONTRACTOR in the performance of this Contract shall be treated according to the following terms:

2.09.01 All ODH information which, under the laws of the State of Ohio, is classified as public or private will be treated as such by CONTRACTOR. Where there is a question as to whether information is public or private, ODH shall make the final determination. CONTRACTOR shall not use any information, systems, or records made available to it for any purpose other than to fulfill the contractual duties specified herein. CONTRACTOR agrees to be bound by the same standards of confidentiality that apply to the employees of ODH and the State of Ohio. The terms of this section shall be included in any subcontracts executed by CONTRACTOR for work under this Contract.

2.09.02 All proprietary information of CONTRACTOR shall be held to be strictly confidential by ODH. Proprietary information is information which, if made public, would put CONTRACTOR at a disadvantage in the market place and trade of which CONTRACTOR is a part. CONTRACTOR is responsible for notifying ODH of the nature of the information prior to its release to ODH. ODH reserves the right to require reasonable evidence of CONTRACTOR’s assertion of the proprietary nature of any information to be provided.

2.09.03 All records relating to costs, work performed and supporting documentation for invoices submitted to ODH by CONTRACTOR shall be retained and made available by CONTRACTOR for audit by the

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State of Ohio (including, but not limited to, ODH, the Auditor of the State of Ohio, the Ohio Inspector General or duly authorized law enforcement officials) and agencies of the United States government for a minimum of three years after payment for work performed under this Contract. If an audit, litigation, or other action is initiated during this time period, CONTRACTOR shall retain such records until the action is concluded and all issues resolved or the three years end, whichever is later.

2.10 Disclosure of Personal Health Information. CONTRACTOR hereby agrees that the information provided or made available by ODH shall not be used or disclosed other than as permitted or required by this Contract or as required by law. CONTRACTOR will establish and maintain appropriate safeguards to prevent any use or disclosure of the information, other than as provided for by this Contract. CONTRACTOR shall comply with 45 C.F.R.164.504(e)(2)(ii). CONTRACTOR shall immediately report to ODH any discovery of use or disclosure of information not provided for or allowed by the Contract. CONTRACTOR hereby agrees that anytime information is provided or made available to any subcontractor or agent, CONTRACTOR must enter into a subcontract with the subcontractor or agent that contains the same terms, conditions, and restrictions on the use and disclosure of information as contained in this Contract. CONTRACTOR must obtain ODH approval prior to entering into such agreements. Further, CONTRACTOR agrees to make available and provide right of access to an individual of their protected health information when that protected health information is obtained in the performance of CONTRACTOR’s obligations under this Contract.

2.11 Suspension and Termination. ODH may suspend or terminate this Contract for any reason thirty (30) days after delivery of written notice to CONTRACTOR. ODH may suspend or terminate this Contract immediately after delivery of written notice to CONTRACTOR if ODH discovers any illegal conduct on the part of CONTRACTOR; discovers a violation of section 2.06 of this Contract regarding Conflict of Interest and Ethics Laws or section 2.15 regarding a Drug Free Workplace; is subject to a loss of funding as specified in section 2.03.06; discovers that CONTRACTOR or any of its subcontractors has performed any services under this Contract outside the United States and is not in compliance with section 2.13 regarding Executive Order 2011-12K “Governing the Expenditure of Public Funds for Offshore Services”; or discovers or is notified that a petition in bankruptcy or similar proceeding has been filed by or against CONTRACTOR. If at any time during the contractual period a bankruptcy or similar proceeding has been filed by or against CONTRACTOR, CONTRACTOR shall immediately notify ODH of the filing.

2.11.01 Contractor to Cease Work and Other Contract Activities. CONTRACTOR, upon receipt of notice of suspension or termination, shall cease work on the suspended or terminated activities under this Contract, suspend or terminate any subcontracts relating to such suspended or terminated activities, take all necessary or appropriate steps to limit disbursements and minimize costs, and furnish a report, as of the date of receipt of notice of suspension or termination describing the status of all work under this Contract, including without limitation, results accomplished, conclusions resulting therefrom, and such other matters as ODH may require.

2.11.02 Determining Compensation after Contract Suspension or Termination. In the event of suspension or termination under this Contract, CONTRACTOR shall be entitled to compensation, upon submission of a proper invoice, for the work performed prior to receipt of notice of termination or suspension, which shall be calculated by ODH based on the compensation rate set forth in section 2.03.01, less any funds previously paid by or on behalf of ODH. In the case of services for which CONTRACTOR’s compensation is based upon a fixed fee per deliverable, compensation shall be based on a reasonable percentage of the total services performed, as determined by ODH, less any funds previously paid by or on behalf of ODH. ODH shall not be liable for any further claims, and the claims submitted by CONTRACTOR shall not exceed the total amount of compensation allowed by this Contract.

2.12 Breach or Default.

2.12.01 Upon breach or default by CONTRACTOR of any of the provisions, obligations or duties provided for in this Contract, ODH may exercise all administrative, contractual, equitable or legal remedies

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available, without limitation. The waiver of any occurrence of breach or default is not a waiver of subsequent occurrences, and ODH retains the right to exercise all remedies provided for in this Contract.

2.12.02 If ODH or CONTRACTOR fail to perform an obligation or obligations under this Contract and thereafter such failure is waived by the other party; such waiver shall be limited to the particular failure so waived and shall not be deemed to waive other failures hereunder. Waiver by ODH shall not be effective unless it is in writing and signed by the Director of Health or his or her designee, except that Contract Manager may agree in writing to non-substantial changes to section 1.06, such as changes in form, format, deadlines, or other minimal changes that do not diminish the value of the specified work or deliverable.

2.12.03 A breach or default based upon CONTRACTOR’s failure to comply with section 2.13 Offshore Outsourcing is subject to that section with regard to Contract termination, sanctions, and damages.

2.13 Offshore Outsourcing and Executive Order 2011-12K. CONTRACTOR affirms to have read and understands Executive Order 2011-12K “Governing the Expenditure of Public Funds for Offshore Services” (see ATTACHMENT 2.13) and shall abide by those requirements in the performance of this Contract, and shall perform no services required under this Contract outside of the United States. CONTRACTOR also affirms, understands, and agrees to immediately notify ODH of any change or shift in the location(s) of services performed by CONTRACTOR or its subcontractors under this Contract, and no services shall be changed or shifted to a location(s) that is outside of the United States.

2.13.01 Termination, Sanction, Damages. If CONTRACTOR or any of its subcontractors perform services under this Contract outside of the United States, the performance of such services shall be treated as a material breach of the Contract. ODH is not obligated to pay and shall not pay for such services. If CONTRACTOR or any of its subcontractors perform any such services, CONTRACTOR shall immediately return to ODH all funds paid for those services. ODH may also recover from CONTRACTOR all costs associated with any corrective action ODH may undertake, including but not limited to an audit or a risk analysis, as a result of CONTRACTOR performing services outside the United States.

2.13.011 ODH may, at any time after the breach, terminate the Contract, upon written notice to CONTRACTOR. ODH may recover all accounting, administrative, legal and other expenses reasonably necessary for the preparation of the termination of the Contract and costs associated with the acquisition of substitute services from a third party.

2.13.012 If ODH determines that actual and direct damages are uncertain or difficult to ascertain, ODH in its sole discretion may recover a payment of liquidated damages in the amount of 1% of the value of the Contract.

2.13.013 ODH, in its sole discretion, may provide written notice to CONTRACTOR of a breach and permit CONTRACTOR to cure the breach. Such cure period shall be no longer than fourteen (14) calendar days. During the cure period, ODH may buy substitute services from a third party and recover from CONTRACTOR any costs associated with acquiring those substitute services.

2.13.014 Notwithstanding the ODH permitting a period of time to cure the breach or CONTRACTOR’s cure of the breach, ODH does not waive any of its rights and remedies provided ODH in this Contract, including but not limited to recovery of funds paid for services CONTRACTOR performed outside of the United States, costs associated with corrective action, or liquidated damages.

2.14 Assignment. CONTRACTOR will not assign any of its rights nor delegate any of its duties and responsibilities under this Contract without prior written consent of ODH. Any assignment or delegation not consented to may be deemed void by the ODH.

2.15 Drug Free Workplace. CONTRACTOR shall comply with all applicable state and federal rules, regulations and statutes pertaining to a drug free workplace. CONTRACTOR shall make a good faith effort to ensure that all employees of CONTRACTOR do not purchase, transfer, use or possess illegal drugs or alcohol or abuse prescription drugs in any way while working on state, county, or municipal property.

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2.16 Good Standing.

2.16.01 CONTRACTOR affirmatively represents and warrants to ODH that it is not subject to a finding for recovery under R.C. 9.24 or that it has taken the appropriate remedial steps required under R.C. 9.24 or otherwise qualifies under that section. CONTRACTOR further affirmatively represents and warrants to ODH that it is not debarred or suspended from entering into state of Ohio contracts pursuant to R.C. 125.25 and is not subject to exclusion, disqualification or ineligibility as defined in 2 C.F.R.180.110. CONTRACTOR agrees that if this representation and warranty is deemed false, the Contract will be void ab initio as between the Parties to this Contract, and any funds paid by ODH hereunder shall be immediately repaid to ODH, or an action for recovery may be immediately commenced by ODH for the recovery of said funds.

2.16.02 CONTRACTOR certifies that CONTRACTOR is not federally debarred from participating in government contracts funded by federal money as described in 2 C.F.R. 180.220. If at any time during the contractual period CONTRACTOR is federally debarred from participating in government contracts funded by federal money, for whatever reason, CONTRACTOR shall immediately notify ODH of the debarment.

2.16.03 CONTRACTOR certifies that all approvals, licenses or other qualifications necessary to conduct business in Ohio have been obtained and are operative. If at any time during the contractual period CONTRACTOR becomes disqualified from conducting business in Ohio, for whatever reason, CONTRACTOR shall immediately notify ODH of the disqualification.

2.17 Amendments. This writing constitutes the entire agreement between the Parties with respect to all matters herein. This Contract may be amended only by a writing signed by both Parties. However, it is agreed by the Parties that any amendments to laws or regulations cited herein will result in the correlative modification of this Contract, without the necessity for executing written amendments. Any written amendments to this Contract shall be prospective in nature. When a new or different term or condition is added, additional consideration is not necessary to bind the Parties.

2.18 Limitation of Liability. CONTRACTOR agrees to accept and be responsible for the actions or omissions of its agents, officers, and employees arising out of this Contract, and nothing in this Contract shall be interpreted or construed to place any responsibility for professional acts or omissions onto ODH; and ODH agrees to accept and be responsible for the actions or omissions of its agents, officers, and employees arising out of this Contract, and nothing in this Contract shall be interpreted or construed to place any such responsibility on the CONTRACTOR. ODH's liability for damages, whether in contract or in tort, shall not exceed the Total Contract Amount or the amount of direct damages incurred by CONTRACTOR, whichever is less, and is the CONTRACTOR 's sole and exclusive remedy for ODH's failure to perform its obligations under this Contract. In no event shall ODH be liable for any indirect or consequential damages, including loss of profit, even if ODH knew or should have known of the possibility of such damages. Neither party is responsible to the other party for nonperformance or delay in performance of the terms of this Contract due to acts of God, wars, riots, strikes, or other causes beyond the control of the Parties.

2.19 Insurance. CONTRACTOR will provide, at its own expense, Workers’ Compensation insurance, as required by Ohio law or the laws of any other state where work under this Contract will be done. CONTRACTOR will also provide for its employees performing work under this Contract employer’s liability insurance, and personal injury, bodily injury, and property damage liability insurance, including automobile coverage, with personal injury and bodily injury coverage.

2.20 Rights in Deliverables, Data and Copyrights. Any intellectual property or copyrightable materials produced specifically for and as a deliverable under the terms of this Contract, including any documents, data, photographs and negatives, electronic reports, records, software, source code, or other media, shall become the property of ODH, which shall have an unrestricted right to reproduce, distribute, modify, maintain, and use the Deliverables. This section does not apply to any preexisting materials owned by CONTRACTOR. CONTRACTOR shall not obtain copyright, patent, or other proprietary protection for

Page 11 of 15

the Deliverables. CONTRACTOR shall not include in any Deliverable any copyrighted matter, unless the copyright owner gives prior written approval to use such copyrighted matter.

2.21 Construction. This Contract is governed, construed and enforced in accordance with the laws of the State of Ohio. Further, the Ohio courts shall have jurisdiction over the subject matter and the Parties hereto in connection with disputes concerning validity and enforcement of this Contract. If any portion of this Contract is found to be unenforceable by operation of statute or by administrative or judicial decision, the enforceability of the balance of this Contract shall not be affected thereby, provided that the absence of the unenforceable provision does not render impossible the performance of the remainder of this Contract.

Remainder of Page is Intentionally Left Blank. Signature Page Immediately Follows.

Page 12 of 15

IN WITNESS WHEREOF, the Parties by signing below indicate their agreement to this Contract. _________________ ____________________________________________ Date Officer or Authorized Representative and Title CONTRACTOR _________________ ____________________________________________ Date Theodore E. Wymyslo, M.D., Director of Health Ohio Department of Health

Remainder of Page Immediately Following Signatures is Intentionally Left Blank. ATTACHMENT 1.06 Immediately Follows this Page.

Page 13 of 15

ATTACHMENT 1.06 Scope of Work, Deliverables, and Compensation.

Scope of Work and Deliverables *(Due Date and Compensation only noted if Applicable or Required)

Due

Dat

e*

Com

pens

atio

n*

During the Contract Period, CONTRACTOR agrees to the following:

1. As necessary or directed from time to time, report to ODH's Contract Manager, and consult with Contract Manager as necessary to assure mutual understanding of the work to be performed and the satisfactory completion of that work.

2.

CONTRACTOR will provide a speaker, trainer, or other individual as may be required to perform the work identified in this Contract, that possesses the requisite experience, skill, education, license or certifications, or any other relevant competence that may be reasonably necessary and expected to perform the Scope of Work and Deliverables specified in this Contract.

3.

This is a fixed-price Contract. ODH will compensate CONTRACTOR upon the successful completion of each deliverable, in accordance with Section 2.03 of this Contract. The Total Contract Amount includes the cost for all services, travel, or any other expenses that CONTRACTOR may incur as a result of CONTRACTOR’s performance of this Contract.

4.

5.

6.

7.

8.

9.

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Remainder of Page Intentionally Left Blank.

10.

11.

12.

13.

14.

15.

16.

17.

18.

19.

20.

21.

(For OGC Use and SAMPLE Only in event that “Extended Contract Beginning Date” and

“Extended Contract Ending Date” are specified in Section 1.02)

ATTACHMENT 2.04.01 Notice of Request to Extend or Renew Contract and ODH Acceptance

In accordance with the terms of the attached Contract between CONTRACTOR and ODH, CONTRACTOR hereby requests that ODH extend or renew the attached Contract with a Contract Ending Date of (e.g.) June 30, 2014, for an additional term with an Extended Contract Beginning Date of (e.g.) July 1, 2014 and an Extended Contract Ending Date of (e.g.) June 30, 2015, subject to the terms and conditions of the attached Contract. CONTRACTOR understands that this “Notice of Request to Extend or Renew and ODH Acceptance” must be signed, dated, and provided to ODH in sufficient time, but no fewer than thirty days prior to the Contract Ending Date, to allow ODH to accept this extension or renewal prior to the expiration of the attached Contract. CONTRACTOR agrees to extend the Contract Ending Date to the Extended Contract Ending Date of the attached Contract and understands that the remaining Contract terms will be renewed upon the same terms and conditions as currently provided in the Contract, and that the extension of the Contract Ending Date is solely for the following purpose: (e.g.) allowing completion of performance of the Contract, beyond the State of Ohio biennium, with no additional compensation. ___________________ _________________________________________ Date Authorized Representative, Title CONTRACTOR

Acceptance of Request to Extend or Renew Contract ODH agrees to extend and renew the attached Contract with a Contract Ending Date of (e.g.) June 30, 2014, for an additional term with an Extended Contract Beginning Date and an Extended Contract Ending Date as set forth above, under and subject to the same terms and conditions of the attached Contract, and with no additional funding than already specified in section 2.03 of the Contract. ___________________ _________________________________________ Date Theodore E. Wymyslo, M.D. Director of Health, ODH

SECTION 2. CONTRACT TERMS and CONDITIONS. 2.01 In consideration of the mutual promises expressed in this Contract and intending to be legally bound, CONTRACTOR agrees to perform, and ODH agrees to pay CONTRACTOR, in accordance with the terms of this Contract. 2.02 Purpose of Contract. CONTRACTOR will coordinate the Ohio Buckles Buckeyes (OBB) program within CONTRACTOR’s region and provide education and training to county OBB site coordinators on program implementation and maintenance in accordance with the requirements of the Contract Funding Source and the provisions of this Contract. 2.03 Scope of Work, Deliverables, and Compensation. CONTRACTOR shall provide work, services, products and deliverables in the time and manner and for the compensation specified in section 1.06 and any ATTACHMENT specified or incorporated into that section. 2.03.01 In consideration of the Scope of Work and Deliverables specified in section 1.06, ODH agrees to pay the Compensation set forth for each Deliverable specified in this section for a total Compensation for all work specified in the Scope of Work and for all specified Deliverables in an amount not to exceed the Total Contract Amount. 2.03.02 The Total Contract Amount includes the cost for all services, travel, or any other expenses that CONTRACTOR may incur as a result of CONTRACTOR’s performance of this Contract. 2.03.03 CONTRACTOR shall monitor the work under this Contract and shall not accept an assignment under this Contract if it will cause or is reasonably likely to cause the Compensation specified in section 1.06 to exceed the Total Contract Amount for the Contract Period . 2.03.04 CONTRACTOR waives the interest provisions of R.C. 126.30. 2.03.05 Subject to the provisions of R.C. 126.07 and R.C. 131.33, which shall at all times govern this Contract, ODH represents that it intends to maintain this Contract for the full Contract Period set forth in this Contract and has no reason to believe that it will not have sufficient funds to enable it to make all payments due. ODH further represents that it will use best efforts to obtain the appropriation of any necessary funds during the Contract Period. 2.03.06 CONTRACTOR understands and agrees that the availability of necessary funds for this Contract is contingent on appropriations made by the Ohio General Assembly and, if applicable, and not solely funded by the Ohio General Assembly, another Contract Funding Source. If the Ohio General Assembly or other Contract Funding Source fails at any time to continue funding ODH for the Compensation specified in this Contract, this Contract is terminated as of the date funding expires without further obligation of ODH, State of Ohio, or any other Contract Funding Source. 2.03.07 ODH will not compensate CONTRACTOR for any work performed prior to receipt of written notification from the ODH Contract Manager that the requirements of R.C. 126.07 and, if applicable, R.C. 127.16 have been met. ODH will not compensate CONTRACTOR for any work performed after the Contract Ending Date, or Extended Contract Ending Date, as applicable. 2.03.08 Invoices. CONTRACTOR shall invoice ODH quarterly for services CONTRACTOR provides. An itemized statement listing the services provided, the dates services were provided, and the amount of payment due shall accompany the invoice. Invoices shall be sent to ODH, ATTN: Accounts Payable, P.O.

Box 118, Columbus, Ohio 43216-0118. ODH will reimburse CONTRACTOR within forty-five (45) days of receipt of a valid invoice for the amount of payment due. ODH shall return any invalid or incomplete invoice to CONTRACTOR within fifteen (15) days after ODH receives the invoice. An explanation will accompany the invoice that states the reason for return and any information needed to correct the invoice. Final invoices for services provided under this Contract shall be submitted by CONTRACTOR no later than thirty (30) days after the end of the Contract Period. 2.03.09 CONTRACTOR shall furnish its own support staff and services as necessary for the satisfactory performance of this Contract. Unless otherwise specified in this Contract, ODH will not provide any staff, services, or material to CONTRACTOR for the purpose of assisting CONTRACTOR’s performance. 2.03.10 ODH may, from time to time as it deems appropriate, communicate specific instructions and requests to CONTRACTOR concerning the performance of the work described in this Contract. Upon such notice and within ten (10) days after receipt of instructions, CONTRACTOR shall comply with such instructions and fulfill such requests to the satisfaction of ODH. It is expressly understood by the Parties that these instructions and requests are for the sole purpose of ensuring satisfactory completion of the work described in this Contract and are not intended to amend or alter this Contract or any part thereof. The Contract Manager will communicate all such instructions and requests to CONTRACTOR. 2.03.11 ATTACHMENTS specified in section 1.05 of this Contract are made a part of, and are incorporated as terms and conditions of this Contract. In the event of a conflict of terms, the terms of the specified ATTACHMENT to this Contract shall take precedence over any conflicting terms appearing in this Contract. 2.04 Time of Performance. 2.04.01 Contract Period; Extension or Renewal. Upon approval by the Director of ODH and, if required, the Controlling Board, this Contract shall be effective on the “Contract Beginning Date” specified in section 1.02 of this Contract and will remain effective until the “Contract Ending Date” specified in that section, unless this Contract allows the Contract period to be renewed or extended. In the event that section 1.02 of this Contract specifies that this Contract may be renewed or extended after the State of Ohio biennium ending on June 30th of each year ending in an odd number, e.g. June 30, 2013, then this Contract will terminate on the last day of that biennium. At that time, ODH may unilaterally renew or extend the Contract termination date to the “Extended Contract Ending Date” specified in section 1.02, if one is specified. If authorized by section 1.02 and if ATTACHMENT 2.04.01 is included in this Contract, CONTRACTOR may request that ODH consider the extension or renewal of this Contract by sending ODH the “Notice of Intent to Renew and ODH Acceptance of Contract Renewal” in accordance with the terms of that ATTACHMENT. 2.04.02 Pursuant to R.C. 126.07, this Contract is not valid nor enforceable in any fiscal year unless the director of budget and management first certifies that there is a balance in the appropriation not already obligated to pay existing obligations, in an amount at least equal to the current fiscal year funding specified for each fiscal year that comprises the “Total Contract Amount. CONTRACTOR shall not perform nor charge ODH for any work performed by CONTRACTOR in the time period prior to receiving written notification from the Contract Manager that the requirements of R.C. 126.07 and, if applicable, R.C. 127.16 have been met. CONTRACTOR shall neither perform work nor submit an invoice for payment for any Contract performance after the Contract Ending Date, or if the Contract is extended, the Extended Contract Ending Date. 2.05 Independent Contractor. No agency, employment, joint venture or partnership has been or will be created between the Parties hereto pursuant to the terms and conditions of this Contract. Inasmuch as

ODH is interested in CONTRACTOR’s end product, ODH does not control the manner in which CONTRACTOR performs this Contract. ODH is not liable for the workers' compensation or unemployment compensation payments required by Chapters 4123 and 4141 of the Ohio Revised Code (R.C.), respectively. CONTRACTOR assumes responsibility for tax liabilities that result from compensation paid to CONTRACTOR by ODH. ODH will report any payment made under this Contract to the Internal Revenue Service on Form 1099. Additionally, no provision contained in this Contract shall be construed as entitling CONTRACTOR to participate in hospital plans, medical plans, sick leave benefits, vacation, and other benefits available to employees of ODH or to become a member of the Public Employees Retirement System (R.C. Chapter 145.) 2.06 Conflict of Interest and Ethics Laws. 2.06.01 Neither CONTRACTOR nor any officer, member or employee of CONTRACTOR shall, prior to the completion of such work and payment for such work, acquire any interest, personal or otherwise, direct or indirect, which is incompatible or in conflict with or would compromise in any manner or degree with the discharge and fulfillment of his or her functions and responsibilities with respect to the carrying out of such work. 2.06.02 CONTRACTOR hereby covenants that CONTRACTOR, and any officer, member, or employee of CONTRACTOR, have no interest, personal or otherwise, direct or indirect, which is incompatible or in conflict with or would compromise in any manner or degree with the discharge and fulfillment of his or her functions and responsibilities under this Contract. 2.06.03 CONTRACTOR shall not promise or give to any ODH employee anything of value that is of such a character as to manifest a substantial and improper influence upon the employee with respect to his or her duties. CONTRACTOR shall not solicit an ODH employee to violate any ODH rule or policy relating to the conduct of contracting Parties or to violate R.C. 102.03 to 102.04 or R.C. 2921.42. 2.06.04 CONTRACTOR hereby covenants that CONTRACTOR and any officer, member or employee of CONTRACTOR are in compliance with section R.C. 102.04 and that if CONTRACTOR is required to file a statement pursuant to R.C. 102.04(D)(2), such statement has been filed with the ODH General Counsel in addition to any other required filings. 2.06.05 CONTRACTOR hereby certifies compliance with the executive agency lobbying requirements of R.C. 121.60 to 121.69. 2.06.06 CONTRACTOR hereby certifies and affirms that, as applicable to CONTRACTOR , no party listed in Division (I) or (J) of R.C. 3517.13 or spouse of such party has made, as an individual, within the two previous calendar years, one or more contributions in excess of $1,000.00 to the Governor or to his campaign committees. If it is determined that CONTRACTOR's certification of this requirement is false or misleading, not withstanding any criminal or civil liabilities imposed by law, CONTRACTOR shall return to ODH all monies paid to CONTRACTOR under this Contract. The provisions of this section shall survive the expiration or termination of this Contract. 2.07 Equal Employment Opportunity. 2.07.01 In carrying out this agreement, CONTRACTOR shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, age, handicap, disability, national origin, ancestry, veteran status, or any other factor specified in R.C. 125.111, in the Civil Rights Act of 1964, as amended, or in section 504 of the Rehabilitation Act of 1973, as amended, and in any subsequent legislation pertaining to civil rights. CONTRACTOR shall incorporate these requirements in all of its

contracts for performance of any of the work prescribed within this Contract, and shall require all of its subcontractors for any part of such work to incorporate such requirements in all subcontracts for such work. 2.07.02 CONTRACTOR hereby certifies that CONTRACTOR has a written affirmative action program for the employment and effective utilization of economically disadvantaged persons and shall file a description of the affirmative action program and a progress report on its implementation with the Equal Employment Opportunity Office of the Ohio Department of Administrative Services. 2.08 “Sweatshop Free” Certification. CONTRACTOR hereby certifies that all facilities used for the production of supplies or performance of services offered in this Contract is in compliance with applicable domestic labor, employment, health and safety, environmental and building laws. This certification applies to any and all suppliers and/or subcontractors used by CONTRACTOR in furnishing the supplies or services pursuant to this Contract. If it is determined that CONTRACTOR 's certification of this requirement is false or misleading, then CONTRACTOR understands that it shall be grounds for the termination of this Contract and may result in the loss of other contracts or grants with the State of Ohio. 2.09 Records, Documents and Information. All records, documents, writings or other information produced or used by CONTRACTOR in the performance of this Contract shall be treated according to the following terms: 2.09.01 All ODH information which, under the laws of the State of Ohio, is classified as public or private will be treated as such by CONTRACTOR. Where there is a question as to whether information is public or private, ODH shall make the final determination. CONTRACTOR shall not use any information, systems, or records made available to it for any purpose other than to fulfill the contractual duties specified herein. CONTRACTOR agrees to be bound by the same standards of confidentiality that apply to the employees of ODH and the State of Ohio. The terms of this section shall be included in any subcontracts executed by CONTRACTOR for work under this Contract. 2.09.02 All proprietary information of CONTRACTOR shall be held to be strictly confidential by ODH. Proprietary information is information which, if made public, would put CONTRACTOR at a disadvantage in the market place and trade of which CONTRACTOR is a part. CONTRACTOR is responsible for notifying ODH of the nature of the information prior to its release to ODH. ODH reserves the right to require reasonable evidence of CONTRACTOR’s assertion of the proprietary nature of any information to be provided. 2.09.03 All records relating to costs, work performed and supporting documentation for invoices submitted to ODH by CONTRACTOR shall be retained and made available by CONTRACTOR for audit by the State of Ohio (including, but not limited to, ODH, the Auditor of the State of Ohio, the Ohio Inspector General or duly authorized law enforcement officials) and agencies of the United States government for a minimum of three years after payment for work performed under this Contract. If an audit, litigation, or other action is initiated during this time period, CONTRACTOR shall retain such records until the action is concluded and all issues resolved or the three years end, whichever is later. 2.10 Disclosure of Personal Health Information. CONTRACTOR hereby agrees that the information provided or made available by ODH shall not be used or disclosed other than as permitted or required by this Contract or as required by law. CONTRACTOR will establish and maintain appropriate safeguards to prevent any use or disclosure of the information, other than as provided for by this Contract. CONTRACTOR shall comply with 45 C.F.R.1 § 64.504(e)(2)(ii). CONTRACTOR shall immediately report to ODH any discovery of use or disclosure of information not provided for or allowed by the

Contract. CONTRACTOR hereby agrees that anytime information is provided or made available to any subcontractor or agent, CONTRACTOR must enter into a subcontract with the subcontractor or agent that contains the same terms, conditions, and restrictions on the use and disclosure of information as contained in this Contract. CONTRACTOR must obtain ODH approval prior to entering into such agreements. Further, CONTRACTOR agrees to make available and provide right of access to an individual of their protected health information when that protected health information is obtained in the performance of CONTRACTOR’s obligations under this Contract. 2.11 Suspension and Termination. ODH may suspend or terminate this Contract for any reason thirty (30) days after delivery of written notice to CONTRACTOR. ODH may suspend or terminate this Contract immediately after delivery of written notice to CONTRACTOR if ODH discovers any illegal conduct on the part of CONTRACTOR; discovers a violation of section 2.06 of this Contract regarding Conflict of Interest and Ethics Laws or section 2.15 regarding a Drug Free Workplace; is subject to a loss of funding as specified in section 2.03.06; discovers that CONTRACTOR or any of its subcontractors has performed any services under this Contract outside the United States and is not in compliance with section 2.13 regarding Executive Order 2011-12K “Governing the Expenditure of Public Funds for Offshore Services”; or discovers or is notified that a petition in bankruptcy or similar proceeding has been filed by or against CONTRACTOR. If at any time during the contractual period a bankruptcy or similar proceeding has been filed by or against CONTRACTOR, CONTRACTOR shall immediately notify ODH of the filing. 2.11.01 Contractor to Cease Work and Other Contract Activities. CONTRACTOR, upon receipt of notice of suspension or termination, shall cease work on the suspended or terminated activities under this Contract, suspend or terminate any subcontracts relating to such suspended or terminated activities, take all necessary or appropriate steps to limit disbursements and minimize costs, and furnish a report, as of the date of receipt of notice of suspension or termination describing the status of all work under this Contract, including without limitation, results accomplished, conclusions resulting therefrom, and such other matters as ODH may require. 2.11.02 Determining Compensation after Contract Suspension or Termination. In the event of suspension or termination under this Contract, CONTRACTOR shall be entitled to compensation, upon submission of a proper invoice, for the work performed prior to receipt of notice of termination or suspension, which shall be calculated by ODH based on the compensation rate set forth in section 2.03.01, less any funds previously paid by or on behalf of ODH. In the case of services for which CONTRACTOR’s compensation is based upon a fixed fee per deliverable, compensation shall be based on a reasonable percentage of the total services performed, as determined by ODH, less any funds previously paid by or on behalf of ODH. ODH shall not be liable for any further claims, and the claims submitted by CONTRACTOR shall not exceed the total amount of compensation allowed by this Contract. 2.12 Breach or Default. 2.12.01 Upon breach or default by CONTRACTOR of any of the provisions, obligations or duties provided for in this Contract, ODH may exercise all administrative, contractual, equitable or legal remedies available, without limitation. The waiver of any occurrence of breach or default is not a waiver of subsequent occurrences, and ODH retains the right to exercise all remedies provided for in this Contract. 2.12.02 If ODH or CONTRACTOR fail to perform an obligation or obligations under this Contract and thereafter such failure is waived by the other party; such waiver shall be limited to the particular failure so waived and shall not be deemed to waive other failures hereunder. Waiver by ODH shall not be effective

unless it is in writing and signed by the Director of Health or his or her designee, except that Contract Manager may agree in writing to non-substantial changes to section 1.06, such as changes in form, format, deadlines, or other minimal changes that do not diminish the value of the specified work or deliverable. 2.12.03 A breach or default based upon CONTRACTOR’s failure to comply with section 2.13 Offshore Outsourcing is subject to that section with regard to Contract termination, sanctions, and damages. Section 2 Terms for Contracts: 2.13 Offshore Outsourcing and Executive Order 2011-12K. CONTRACTOR affirms to have read and understands Executive Order 2011-12K “Governing the Expenditure of Public Funds for Offshore Services” (see ATTACHMENT 2.13) and shall abide by those requirements in the performance of this Contract, and shall perform no services required under this Contract outside of the United States. CONTRACTOR also affirms, understands, and agrees to immediately notify ODH of any change or shift in the location(s) of services performed by CONTRACTOR or its subcontractors under this Contract, and no services shall be changed or shifted to a location(s) that is outside of the United States. 2.13.01 Termination, Sanction, Damages. If CONTRACTOR or any of its subcontractors perform services under this Contract outside of the United States, the performance of such services shall be treated as a material breach of the Contract. ODH is not obligated to pay and shall not pay for such services. If CONTRACTOR or any of its subcontractors perform any such services, CONTRACTOR shall immediately return to ODH all funds paid for those services. ODH may also recover from CONTRACTOR all costs associated with any corrective action ODH may undertake, including but not limited to an audit or a risk analysis, as a result of CONTRACTOR performing services outside the United States. 2.13.011 ODH may, at any time after the breach, terminate the Contract, upon written notice to CONTRACTOR. ODH may recover all accounting, administrative, legal and other expenses reasonably necessary for the preparation of the termination of the Contract and costs associated with the acquisition of substitute services from a third party. 2.13.012 If ODH determines that actual and direct damages are uncertain or difficult to ascertain, ODH in its sole discretion may recover a payment of liquidated damages in the amount of 1% of the value of the Contract. 2.13.013 ODH, in its sole discretion, may provide written notice to CONTRACTOR of a breach and permit CONTRACTOR to cure the breach. Such cure period shall be no longer than 14 calendar days. During the cure period, ODH may buy substitute services from a third party and recover from CONTRACTOR any costs associated with acquiring those substitute services. 2.13.014 Notwithstanding the ODH permitting a period of time to cure the breach or CONTRACTOR’s cure of the breach, ODH does not waive any of its rights and remedies provided ODH in this Contract, including but not limited to recovery of funds paid for services CONTRACTOR performed outside of the United States, costs associated with corrective action, or liquidated damages. 2.14 Assignment. CONTRACTOR will not assign any of its rights nor delegate any of its duties and responsibilities under this Contract without prior written consent of ODH. Any assignment or delegation not consented to may be deemed void by the ODH. 2.15 Drug Free Workplace. CONTRACTOR shall comply with all applicable state and federal rules, regulations and statutes pertaining to a drug free workplace. CONTRACTOR shall make a good faith effort to ensure that all employees of CONTRACTOR do not purchase, transfer, use or possess illegal

drugs or alcohol or abuse prescription drugs in any way while working on state, county, or municipal property. 2.16 Good Standing. 2.16.01 CONTRACTOR affirmatively represents and warrants to ODH that it is not subject to a finding for recovery under R.C. 9.24 or that it has taken the appropriate remedial steps required under R.C. 9.24 or otherwise qualifies under that section. CONTRACTOR further affirmatively represents and warrants to ODH that it is not debarred or suspended from entering into state of Ohio contracts pursuant to R.C. 125.25 and is not subject to exclusion, disqualification or ineligibility as defined in 2 Code of Federal Regulations (C.F.R.) §180.110. CONTRACTOR agrees that if this representation and warranty is deemed false, the Contract will be void ab initio as between the Parties to this Contract, and any funds paid by ODH hereunder shall be immediately repaid to ODH, or an action for recovery may be immediately commenced by ODH for the recovery of said funds. 2.16.02 CONTRACTOR certifies that CONTRACTOR is not federally debarred from participating in government contracts funded by federal money as described in 2 C.F.R. §180.220. If at any time during the contractual period CONTRACTOR is federally debarred from participating in government contracts funded by federal money, for whatever reason, CONTRACTOR shall immediately notify ODH of the debarment. 2.16.03 CONTRACTOR certifies that all approvals, licenses or other qualifications necessary to conduct business in Ohio have been obtained and are operative. If at any time during the contractual period CONTRACTOR becomes disqualified from conducting business in Ohio, for whatever reason, CONTRACTOR shall immediately notify ODH of the disqualification. 2.17 Amendments. This writing constitutes the entire agreement between the Parties with respect to all matters herein. This Contract may be amended only by a writing signed by both Parties. However, it is agreed by the Parties that any amendments to laws or regulations cited herein will result in the correlative modification of this Contract, without the necessity for executing written amendments. Any written amendments to this Contract shall be prospective in nature. When a new or different term or condition is added, additional consideration is not necessary to bind the Parties. 2.18 Limitation of Liability. CONTRACTOR holds ODH harmless from any and all liability, suits, losses, judgments, damages, or any other demands arising out of the actions or omissions of CONTRACTOR while performing this Contract. ODH's liability for damages, whether in contract or in tort, shall not exceed the Total Contract Amount or the amount of direct damages incurred by CONTRACTOR, whichever is less, and is the CONTRACTOR 's sole and exclusive remedy for ODH's failure to perform its obligations under this Contract. In no event shall ODH be liable for any indirect or consequential damages, including loss of profit, even if ODH knew or should have known of the possibility of such damages. Neither party is responsible to the other party for nonperformance or delay in performance of the terms of this Contract due to acts of God, wars, riots, strikes, or other causes beyond the control of the Parties. 2.19 Insurance. CONTRACTOR will provide, at its own expense, Workers’ Compensation insurance, as required by Ohio law or the laws of any other state where work under this Contract will be done. CONTRACTOR will also provide for its employees performing work under this Contract employer’s liability insurance, and personal injury, bodily injury, and property damage liability insurance, including automobile coverage, with personal injury and bodily injury coverage.

2.20 Rights in Deliverables, Data and Copyrights. The Deliverables provided by CONTRACTOR which includes any item produced under this Contract, including any documents, data, photographs and negatives, electronic reports, records, software, source code, or other media, shall become the property of ODH which shall have an unrestricted right to reproduce, distribute, modify, maintain, and use the Deliverables. CONTRACTOR shall not obtain copyright, patent, or other proprietary protection for the Deliverables. CONTRACTOR shall not include in any Deliverable any copyrighted matter, unless the copyright owner gives prior written approval to use such copyrighted matter. 2.21 Construction. This Contract is governed, construed and enforced in accordance with the laws of the State of Ohio. Further, the Ohio courts shall have jurisdiction over the subject matter and the Parties hereto in connection with disputes concerning validity and enforcement of this agreement. If any portion of this Contract is found to be unenforceable by operation of statute or by administrative or judicial decision, the enforceability of the balance of this Contract shall not be affected thereby, provided that the absence of the unenforceable provision does not render impossible the performance of the remainder of this Contract. IN WITNESS WHEREOF, the Parties by signing below indicate their agreement to this Contract.

OBM-5657 REV. 11/1/2011

VENDOR INFORMATION FORM

All parts of the form must be completed by the vendor. Incomplete forms will be returned. The information must be legible. Ensure this is the latest version of the form at www.ohiosharedservices.ohio.gov.

SECTION 1 – PLEASE SPECIFY TYPE OF ACTION

NEW (W-9 OR W-8ECI FORM ATTACHED) CHANGE OF CONTACT PERSON/INFORMATON

ADDITIONAL ADDRESS – (A COPY OF AN INVOICE OR A LETTER INCLUDING THE ADDRESS IS REQUIRED)

CHANGE OF ADDRESS – (PLEASE PROVIDE OLD ADDRESS BELOW OR ATTACH LETTER)

ADDRESS TO BE REPLACED:

CHANGE OF TIN (W-9 & LETTER OF CLARIFICATION OF CHANGE, WHICH INCLUDES NEW & OLD TIN IS REQUIRED)

CHANGE OF NAME (W-9 & LETTER OF CLARIFICATION OF CHANGE, MUST INCLUDES NEW & OLD NAME IS REQUIRED)

CHANGE OF PAY TERMS CHANGE OF PO DISPATCH METHOD OTHER________________________________

SECTION 2 – PLEASE PROVIDE VENDOR INFORMATION

LEGAL BUSINESS OR INDIVIDUAL NAME: (MUST MATCH W-9 OR W-8ECI FORM)

BUSINESS NAME, TRADE NAME, DOING BUSINESS AS: (IF DIFFERENT THAN ABOVE)

FEDERAL EMPLOYER ID (EIN) OR SOCIAL SECURITY NUMBER (SSN):

SECTION 3 – PLEASE PROVIDE COMPLETE ADDRESS

ADDRESS:

COUNTY:

CITY:

STATE:

ZIP CODE:

SECTION 4 – ADDITIONAL ADDRESS (IF MORE THAN 2 ADDRESSES, PLEASE INCLUDE A SEPARATE SHEET)

ADDRESS:

COUNTY:

CITY:

STATE:

ZIP CODE:

OBM-5657 REV. 11/1/2011

COMMENTS:

Note: This document contains sensitive information. Sending via non-secure channels, including e-mail and fax can be a potential security risk.

SECTION 5 – CONTACT INFORMATION & PERSON TO RECEIVE PURCHASE ORDER

NAME:

WEBSITE:

PHONE: FAX: EMAIL:

PREFERRED METHOD OF BEING CONTACTED: (CHECK ONE) PHONE EMAIL

SECTION 6 – INDIVIDUAL TO RECEIVE EMAIL NOTICE OF BID EVENTS - A USER ID & PASSWORD WILL BE SENT TO THE EMAIL ADDRESS BELOW

NAME:

EMAIL: PHONE:

TO ADD AN ADDITITIONAL OR REPLACE A STRATEGIC SOURCING CONTACT PERSON

ADDITIONAL CONTACT PERSON REPLACE CONTACT PERSON (WILL BE MARKED INACTIVE)

NAME:

EMAIL: PHONE:

SECTION 7 – PAYMENT TERMS (PLEASE CHECK ONE – IF NONE IS SELECTED THEN NET 30 WILL APPLY)

2/10 NET 30 NET 30 NET 45 NET 60 NET 90

SECTION 8 – PURCHASE ORDER DISTRIBUTION – OTHER THAN USPS MAIL

EMAIL OR FAX:

SECTION 9 – PLEASE SIGN & DATE

PRINT NAME:

SIGNATURE: (DIGITAL SIGNATURES NOT ACCEPTED AT THIS TIME)

DATE:

SECTION 10 – STATE OF OHIO AGENCY CONTACT PERSON (AGENCY RECEIVING PAYMENTS FROM)

AGENCY CONTACT NAME/EMAIL/PHONE:

SUBMIT FORM TO:

Mail: Ohio Shared Services Attn: Vendor Maintenance

P.O. Box 182880 Cols., OH 43218-2880 Email: vendor@ohio.gov Fax: 1 (614) 485-1052

QUESTIONS? PLEASE CONTACT:

Phone: 1 (877) OHIO - SS1 (1-877-644-6771) 1 (614) 338-4781 Website: www.ohiosharedservices.ohio.gov/ Email: vendor@ohio.gov