[Federal Register Volume 62, Number 75 (Friday, April 18, 1997)]
[Notices]
[Pages 19208-19214]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-10124]
[[Page 19207]]
_______________________________________________________________________
Part IV
Department of Housing and Urban Development
_______________________________________________________________________
Funding Availability, Family Unification Program, Fiscal Year 1997;
Notice
Federal Register / Vol. 62, No. 75 / Friday, April 18, 1997 /
Notices
[[Page 19208]]
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4194-N-01]
Notice of Funding Availability, Family Unification Program,
Fiscal Year 1997
AGENCY: Office of the Assistant Secretary for Public and Indian
Housing, HUD.
ACTION: Notice of Funding Availability (NOFA) for Fiscal Year (FY)
1997.
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SUMMARY: Purpose. This notice announces the availability of FY 1997
funding for section 8 rental certificates under the Family Unification
Program, which will provide rental assistance for approximately 6,400
families. The purpose of the Family Unification Program is to provide
housing assistance to families for whom the lack of adequate housing is
a primary factor in the separation, or imminent separation, of children
from their families.
Available Funds. Up to $ 58.8 million in one-year budget authority.
Eligible Applicants. Housing agencies (HAs), including Indian
Housing Authorities (IHAs), are invited to submit applications for
housing assistance. Applications from twenty-four HAs that were
included in the FY 1996 lottery and were not selected for funding in FY
1996 because of insufficient funds will be funded with FY 1997 funds.
HUD will fund applications for Section 8 rental certificates from these
HAs for approximately 1,100 units at an estimated cost of $10 million
of one-year budget authority from FY 1997 funds. The balance of
available funding of approximately $ 48.8 million in one-year budget
authority will be made available for a new competition under this NOFA.
For FY 1997, HUD has determined that there are sufficient funds
available to conduct a national lottery. Therefore, unlike in prior
fiscal years when HAs within sixteen selected states only were eligible
to apply, for FY 1997, any HA nationwide that currently administers a
Section 8 certificate program or rental voucher program is eligible to
apply and may be eligible for the lottery selection process for the FY
1997 Section 8 Family Unification Program.
DATES: The application deadline for the Family Unification program NOFA
is June 17, 1997, 3:00 p.m., local time.
This application deadline is firm as to date and hour. In the
interest of fairness to all competing HAs, HUD will not consider any
application that is received after the application deadline. Applicants
should take this practice into account and make early submission of
their materials to avoid any risk of loss of eligibility brought about
by unanticipated delays or other delivery-related problems. HUD will
not accept, at any time during the NOFA competition, application
materials sent via facsimile (FAX) transmission.
ADDRESSES: The local HUD State or Area Office, Attention: Director,
Office of Public Housing, is the official place of receipt for all
applications, except applications from Indian Housing Authorities
(IHAs). The local HUD Native American Programs Office, Attention:
Administrator, Office of Native American Programs, is the place of
official receipt for IHA applications. For ease of reference, the term
``HUD Office'' will be used throughout this NOFA to mean the HUD State
Office, HUD Area Office, and the HUD Native American Programs Office.
If a particular type of HUD Office needs to be identified, e.g., the
HUD Native American Programs Office, the appropriate office will be
used.
FOR FURTHER INFORMATION CONTACT: Gerald J. Benoit, Director, Operations
Division, Office of Rental Assistance, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410-8000,
telephone number (202) 708-0477 (this is not a toll-free number). For
hearing-and speech-impaired persons, this number may be accessed via
TTY (text telephone) by calling the Federal Information Relay Service
at 1-800-877-8339.
SUPPLEMENTARY INFORMATION:
Paperwork Reduction Act Statement
The section 8 information collection requirements contained in this
NOFA have been approved by the Office of Management and Budget in
accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520), and assigned OMB control number 2577-0169. An agency may not
conduct or sponsor, and a person is not required to respond to, a
collection of information unless the collection displays a valid
control number.
Promoting Comprehensive Approaches to Housing and Community Development
HUD is interested in promoting comprehensive, coordinated
approaches to housing and community development. Economic development,
community development, public housing revitalization, homeownership,
assisted housing for special needs populations, supportive services,
and welfare-to-work initiatives can work better if linked at the local
level. Toward this end, the Department in recent years has developed
the Consolidated Planning process designed to help communities
undertake such approaches.
In this spirit, it may be helpful for applicants under this NOFA to
be aware of other related HUD NOFAs that have recently been published
or are expected to be published in the near future. By reviewing these
NOFAs with respect to their program purposes and the eligibility of
applicants and activities, applicants may be able to relate the
activities proposed for funding under this NOFA to the recent and
upcoming NOFAs and to the community's Consolidated Plan.
The related NOFAs that the Department has published are as follows:
the NOFA for the Continuum of Care Assistance, published on April 8,
1997 (62 FR 17024), the NOFA for the Section 8 Mainstream Housing
Opportunities for Persons with Disabilities, published on April 10,
1997 (62 FR 17666), and the NOFA for the Rental Assistance for Persons
with Disabilities in Support of Designated Housing Allocation Plans,
published on April 10, 1997 (62 FR 17672). The related NOFAs that the
Department expects to publish within the next few weeks include: the
NOFA for Housing Opportunities for Persons with Aids; the NOFA for the
Supportive Housing for the Elderly; the NOFA for Supportive Housing for
Persons with Disabilities; and the NOFA for Section 8 Service
Coordinators.
To foster comprehensive, coordinated approaches by communities, the
Department intends for the remainder of FY 1997 to continue to alert
applicants to upcoming and recent NOFAs as each NOFA is published. In
addition, a complete schedule of NOFAs to be published during the
fiscal year and those already published appears under the HUD Homepage
on the Internet, which can be accessed at http://www.hud.gov/
nofas.html. Additional steps on NOFA coordination may be considered for
FY 1998.
For help in obtaining a copy of your community's Consolidated Plan,
please contact the community development office of your municipal
government.
Family Self-Sufficiency (FSS) Program Requirement
Unless specifically exempted by HUD, all rental voucher or rental
certificate funding reserved in FY 1997 (except funding for renewals or
amendments) will be used to establish the minimum size of an HA's FSS
program.
[[Page 19209]]
A. Purpose and Substantive Description of Family Unification Program
(1) Authority
The Family Unification Program is authorized by Section 8(x) of the
United States Housing Act of 1937, 42 U.S.C. 1437f(x).
The Department of Veterans Affairs and Housing and Urban
Development, and Independent Agencies Appropriations Act, 1997 (Pub. L.
No. 104-204) provides funding for the Family Unification Program.
(2) Background
The Family Unification Program is a program under which Section 8
rental assistance is provided to families for whom the lack of adequate
housing is a primary factor which would result in:
(a) The imminent placement of the family's child, or children, in
out-of-home care; or
(b) The delay in the discharge of the child, or children, to the
family from out-of-home care.
The purpose of the Family Unification Program is to promote family
unification by providing rental assistance to families for whom the
lack of adequate housing is a primary factor in the separation, or the
threat of imminent separation, of children from their families.
Rental certificates awarded under the Family Unification Program
are administered by HAs under HUD's regulations for the Section 8
rental certificate program (24 CFR parts 882 and 982). If the family
requests a rental voucher, the HA may issue a rental voucher (24 CFR
parts 887 and 982) to a family selected for participation in the Family
Unification Program if the HA has one available.
(3) Eligibility of HAs
(a) Family Unification Program Eligibility. HUD has revised the
family unification eligibility criteria for FY 1997 to allow any HA
nationwide that currently administers a Section 8 rental voucher or
certificate program to apply.
(b) Eligibility for HUD-Designated Housing Agencies with Major
Program Findings. Some housing agencies currently administering the
Section 8 rental voucher and certificate programs have, at the time of
publication of this NOFA, major program management findings that are
open and unresolved or other significant program compliance problems
(e.g., HA has not implemented mandatory FSS program). HUD will not
accept applications for additional funding from these HAs as contract
administrators if, on the application deadline date, the findings are
not closed to HUD's satisfaction. If any of these HAs want to apply for
the Family Unification Program, the HA must submit an application that
designates another housing agency, nonprofit agency, or contractor that
is acceptable to HUD. The HA application must include an agreement by
the other housing agency or contractor to administer the program for
the new funding increment on behalf of the HA and a statement that
outlines the steps the HA is taking to resolve the program findings.
Immediately after the publication of this NOFA, the Office of Public
Housing in the local HUD Office will notify, in writing, those HAs that
are not eligible to apply because of outstanding management or
compliance problems. The HA may appeal the decision, if HUD has
mistakenly classified the HA as having outstanding management or
compliance problems. Any appeal must be accompanied by conclusive
evidence of HUD's error and must be received prior to the application
deadline. Applications submitted by these HAs without an agreement from
another housing agency or contractor, approved by HUD, to administer
the program on behalf of the HA will be rejected.
(4) Program Guidelines
(a) Eligibility. (i) Family Unification eligible families. Each HA
must modify its selection preference system to permit the selection of
Family Unification eligible families for the program with available
funding provided by HUD for this purpose. The term ``Family Unification
eligible family'' means a family that:
(A) The public child welfare agency has certified is a family for
whom the lack of adequate housing is a primary factor in the imminent
placement of the family's child, or children, in out-of-home care, or
in the delay of discharge of a child, or children, to the family from
out-of-home care; and
(B) The HA has determined is eligible for Section 8 rental
assistance.
(ii) Lack of Adequate Housing. The lack of adequate housing means:
(A) A family is living in substandard or dilapidated housing; or
(B) A family is homeless; or
(C) A family is displaced by domestic violence; or
(D) A family is living in an overcrowded unit.
(iii) Substandard Housing. A family is living in substandard
housing if the unit where the family lives:
(A) Is dilapidated;
(B) Does not have operable indoor plumbing;
(C) Does not have a usable flush toilet inside the unit for the
exclusive use of a family;
(D) Does not have a usable bathtub or shower inside the unit for
the exclusive use of a family;
(E) Does not have electricity, or has inadequate or unsafe
electrical service;
(F) Does not have a safe or adequate source of heat;
(G) Should, but does not, have a kitchen; or
(H) Has been declared unfit for habitation by an agency or unit or
government.
(iv) Dilapidated Housing. A family is living in a housing unit that
is dilapidated if the unit where the family lives does not provide safe
and adequate shelter, and in its present condition endangers the
health, safety, or well-being of a family, or the unit has one or more
critical defects, or a combination of intermediate defects in
sufficient number or extent to require considerable repair or
rebuilding. The defects may result from original construction, from
continued neglect or lack of repair or from serious damage to the
structure.
(v) Homeless. A homeless family includes any person or family that:
(A) Lacks a fixed, regular, and adequate nighttime residence; and
(B) Has a primary nighttime residence that is:
(1) A supervised publicly or privately operated shelter designed to
provide temporary living accommodations (including welfare hotels,
congregate shelters, and transitional housing);
(2) An institution that provides a temporary residence for persons
intended to be institutionalized; or
(3) A public or private place not designed for, or ordinarily used
as, a regular sleeping accommodation for human beings.
(vi) Displaced by Domestic Violence. A family is displaced by
domestic violence if:
(A) The applicant has vacated a housing unit because of domestic
violence; or
(B) The applicant lives in a housing unit with a person who engages
in domestic violence.
(C) ``Domestic violence'' means actual or threatened physical
violence directed against one or more members of the applicant family
by a spouse or other member of the applicant's household.
(vii) Involuntarily Displaced. For a family to qualify as
involuntarily displaced because of domestic violence:
(A) The HA must determine that the domestic violence occurred
recently or is of a continuing nature; and
(B) The applicant must certify that the person who engaged in such
violence
[[Page 19210]]
will not reside with the family unless the HA has given advance written
approval. If the family is admitted, the HA may terminate assistance to
the family for breach of this certification.
(viii) Living in Overcrowded Housing. A family is considered to be
living in an overcrowded unit if:
(A) The family is separated from its child [or children] and the
parent(s) are living in an otherwise standard housing unit, but, after
the family is re-united, the parents' housing unit would be overcrowded
for the entire family and would be considered substandard; or
(B) The family is living with its child [or children] in a unit
that is overcrowded for the entire family and this overcrowded
condition may result in the imminent placement of its child [or
children] in out-of-home care.
For purpose of this paragraph (viii), the HA may determine whether
the unit is ``overcrowded'' in accordance with HA subsidy standards.
(ix) Detained Family. A Family Unification eligible family may not
include any person imprisoned or otherwise detained pursuant to an Act
of the Congress or a State law.
(x) Public child welfare agency (PCWA) means the public agency that
is responsible under applicable State or Tribal law for determining
that a child is at imminent risk of placement in out-of-home care or
that a child in out-of-home care under the supervision of the public
agency may be returned to his or her family.
(b) HA Responsibilities. HAs must:
(i) Accept families certified by the PCWA as eligible for the
Family Unification Program. The HA, upon receipt of the PCWA list of
families currently in the PCWA caseload, must compare the names with
those of families already on the HA's Section 8 waiting list. Any
family on the HA's Section 8 waiting list that matches with the PCWA's
list must be assisted in order of their position on the waiting list in
accordance with HA admission policies. Any family certified by the PCWA
as eligible and not on the Section 8 waiting list must be placed on the
waiting list. If the HA has a closed Section 8 waiting list, it must
reopen the waiting list to accept a Family Unification Program
applicant family who is not currently on the HA's Section 8 waiting
list;
(ii) Determine if any families with children on its waiting list
are living in temporary shelters or on the street and may qualify for
the Family Unification Program, and refer such applicants to the PCWA;
(iii) Determine if families referred by the PCWA are eligible for
Section 8 assistance and place eligible families on the Section 8
waiting list;
(iv) Amend the administrative plan in accordance with applicable
program regulations and requirements;
(v) Administer the rental assistance in accordance with applicable
program regulations and requirements; and
(vi) Assure the quality of the evaluation that HUD intends to
conduct on the Family Unification Program and cooperate with and
provide requested data to the HUD office or HUD-approved contractor
responsible for program evaluation.
(c) Public Child Welfare Agency (PCWA) Responsibilities. A public
child welfare agency must:
(i) Establish and implement a system to identify Family Unification
eligible families within the agency's caseload and to review referrals
from the HA;
(ii) Provide written certification to the HA that a family
qualifies as a Family Unification eligible family based upon the
criteria established in Section 8(x) of the United States Housing Act
of 1937, and this notice;
(iii) Commit sufficient staff resources to ensure that Family
Unification eligible families are identified and determined eligible in
a timely manner and to provide follow-up supportive services after the
families lease units; and
(iv) Cooperate with the evaluation that HUD intends to conduct on
the Family Unification Program, and submit a certification with the
HA's application for Family Unification funding that the PCWA will
agree to cooperate with and provide requested data to the HUD office or
HUD-approved contractor having responsibility for program evaluation.
(d) Section 8 Rental Certificate Assistance. The Family Unification
Program provides assistance under the Section 8 rental assistance
programs. Although HUD is providing a special allocation of rental
certificates, the HA may use both rental vouchers and certificates to
assist families under this program.
HAs must administer this program in accordance with HUD's
regulations governing the Section 8 rental certificate and rental
voucher programs. The HA may issue a rental voucher to a family
selected to participate in the Family Unification Program if the family
requests a rental voucher and the HA has one available. If Section 8
assistance for a family under this program is terminated, the rental
assistance must be reissued to another Family Unification eligible
family for five years from the initial date of execution of the Annual
Contributions Contract subject to the availability of renewal funding.
B. Family Unification Allocation Amounts
This NOFA announces the availability of approximately $58.8 million
for the Family Unification Program which will provide assistance for
about 6,400 families. Each HA with a current Section 8 rental voucher
and certificate program of more than 500 units as shown in the most
recent HUD approved program budget may apply for funding for a maximum
of 100 units. Each HA with a current Section rental voucher or
certificate program of 500 units or less as shown in the most recent
HUD approved program budget may apply for a maximum of 50 units.
The amounts allocated under this NOFA will be awarded under a
national competition, based on the threshold criteria and a lottery for
selection from all approvable applications. The Family Unification
Program is exempt from the fair share allocation requirements of
section 213(d) of the Housing and Community Development Act of 1974 (42
U.S.C. 1439(d)) and the implementing regulations at 24 CFR part 791,
subpart D. A few applications for FY 1996 funding that met the
requirements of the FY 1996 NOFA, were included in the FY 1996 lottery
and were not selected for funding from funds in FY 1996 will be
selected using funds appropriated for FY 1997 funding for the Family
Unification Program. In order to allow the HAs that had approvable
applications in FY 1996 to begin implementation of the Family
Unification Program, these FY 1996 applications will be funded upon
publication of this NOFA.
C. Family Unification Application Submission Requirements
(1) Form HUD-52515
Funding Application Section 8 Tenant-Based Assistance, Form HUD-
52515, must be completed in accordance with the program regulations (24
CFR 982.102). An application must include the information in Section C,
Average Monthly Adjusted Income, of Form HUD-52515 in order for HUD to
calculate the amount of Section 8 budget authority necessary to fund
the requested number of certificate units. HAs may obtain a copy of
Form HUD-52515 from the local HUD Office or may download it from the
HUD Home page on the internet's world wide web (http://www.hud.gov).
[[Page 19211]]
(2) Local Government Comments
Section 213 of the Housing and Community Development Act of 1974
requires that HUD independently determine that there is a need for the
housing assistance requested in applications and solicit and consider
comments relevant to this determination from the chief executive
officer of the unit of general local government. The HUD Office will
obtain Section 213 comments from the unit of general local government
in accordance with 24 CFR part 791, subpart C, Applications for Housing
Assistance in Areas Without Housing Assistance Plans. Comments
submitted by the unit of general local government must be considered
before an application can be approved.
For purposes of expediting the application process, the HA should
encourage the chief executive officer of the unit of general local
government to submit a letter with the HA application commenting on the
HA application in accordance with Section 213. Because HUD cannot
approve an application until the 30-day comment period is closed, the
Section 213 letter should not only comment on the application, but also
state that HUD may consider the letter to be the final comments and
that no additional comments will be forthcoming from the unit of
general local government.
(3) Letter of Intent and Narrative
All the items in this Section must be included with the application
submitted to the HUD Office. Funding is limited, and HUD may only have
enough funds to approve a smaller amount than the number of rental
certificates requested. The HA must state in its cover letter to the
application whether it will accept a smaller number of rental
certificates and the minimum number of rental certificates it will
accept. The cover letter must also include a statement by the HA
certifying that the HA has consulted with the agency or agencies in the
state responsible for the administration of welfare reform to provide
for the successful implementation of the state's welfare reform for
families receiving rental assistance under the family unification
program. The application must include an explanation of how the
application meets, or will meet, Threshold Criteria 1 through 4 in
Section D of this NOFA, below.
The application must also include a letter of intent from the PCWA
stating its commitment to provide resources and support for the Family
Unification Program. The PCWA letter of intent must explain:
(i) The definition of eligible family unification program families;
(ii) The method used to identify eligible family unification
program families;
(iii) The process to certify eligible family unification program
families;
(iv) The PCWA assistance to families to locate suitable housing;
(v) The PCWA staff resources committed to the program; and
(vi) PCWA experience with the administration of similar programs
including cooperation with a HA.
The PCWA serving the jurisdiction of the HA is responsible for
providing the information for Threshold Criterion 4, PCWA Statement of
Need for Family Unification Program, to the HA for submission with the
HA application. This should include a discussion of the case-load of
the PCWA and information about homelessness, family violence resulting
in involuntary displacement, number and characteristics of families who
are experiencing the placement of children in out-of-home care as a
result of inadequate housing, and the PCWA's experience in obtaining
housing through HUD assisted housing programs and other sources for
families lacking adequate housing. A State-wide Public Child Welfare
Agency must provide information on Threshold Criterion 4, PCWA
Statement of Need for Family Unification Program, to all HAs that
request such information; otherwise, HUD will not consider applications
from any HAs with the State-wide PCWA as a participant in its program.
(4) Evaluation Certifications
The HA and the PCWA, in separate certifications, must state that
the HA and Public Child Welfare Agency agree to cooperate with HUD and
provide requested data to the HUD office or HUD-approved contractor
delegated the responsibility for the program evaluation. No specific
language for this certification is prescribed by HUD.
D. Family Unification Application Rating Process
(1) General
The HUD Office is responsible for rating the applications for the
selection criteria established in this NOFA, and HUD Headquarters is
responsible for selection of applications (including applications rated
by the Native American Programs Office) that will receive assistance
under the Family Unification Program. The HUD Office will initially
screen all applications and determine any technical deficiencies based
on the application submission requirements.
Each eligible application submitted in response to the NOFA, in
order to be eligible for funding, must receive at least 30 points for
Threshold Criterion 1, Unmet Housing Needs, and at least 20 points for
Threshold Criterion 2, Efforts of HA to Provide Area-Wide Housing
Opportunities for Families. Each application must also meet the
requirements for Threshold Criterion 3, Coordination between HA and
Public Child Welfare Agency, and Threshold Criterion 4, Public Child
Welfare Agency Statement of Need for Family Unification Program.
(2) Threshold Criteria
(a) Threshold Criterion 1: Unmet Housing Needs (50 Points).
(i) Description: This criterion assesses the unmet housing need in
the primary area specified in the HA's application compared to the
unmet housing need for the allocation area. Unmet housing need is
defined as the number of very low-income renter households with housing
problems based on 1990 Census, minus the number of federally assisted
housing units provided since the 1990 Census.
In awarding points under this criterion, HUD will, to the extent
practicable, consider all units provided since the 1990 Census under
the Section 8 Rental Voucher and Certificate programs, any other
Section 8 programs, the Public and Indian Housing programs, the Section
202 program, and the Farmers Home Administration's Section 515 Rural
Rental Housing program.
(ii) Rating and Assessment: The number of points assigned is based
on the percentage of the allocation area's unmet housing need that is
within the HA's primary area. State or Regional Housing Agencies will
receive points based on the areas they intend to serve with this
allocation, e.g., the entire allocation area or the localities within
the allocation area specified in the application. The HUD Office will
assign one of the following point totals:
50 points. If the HA's percentage of unmet housing need is
greater than 50 percent of the allocation area's unmet need.
45 points. If the HA's percentage of unmet housing need is
equal to or less than 50 percent but greater than 40 percent of the
allocation area's unmet need.
40 points. If the HA's percentage of unmet housing need is
equal to or less than 40 percent but greater than 30 percent of the
allocation area's unmet need.
35 points. If the HA's percentage of unmet housing need is
equal to or less than 30 percent but greater than 20
[[Page 19212]]
percent of the allocation area's unmet need.
30 points. If the HA's percentage of unmet housing need is
equal to or less than 20 percent but greater than 10 percent of the
allocation area's unmet need.
0 points. If the HA's percentage of unmet housing need is
equal to or less than 10 percent of the allocation area's unmet need.
The HUD Office will not consider for funding any HA application
receiving zero (0) points.
In accordance with Notice PIH 91-45, the HUD Office will notify the
Rural Housing Service (RHS) of applications it receives and ask that
RHS provide advisory comments concerning the market for additional
assisted housing or the possible impact the proposed units may have on
RHS projects. Applications for which RHS has provided comments
expressing concerns about market need or the continued stability of
existing RHS projects, with which HUD agrees, will receive zero points
for this criterion.
(b) Threshold Criterion 2: Efforts of HA to Provide Area-Wide
Housing Opportunities for Families (60 Points).
(i) Description: Many HAs have undertaken voluntary efforts to
provide area-wide housing opportunities for families. The efforts
described in response to this selection criterion must be beyond those
required by federal law or regulation such as the portability
provisions of the Section 8 rental voucher and certificate programs.
HAs in metropolitan and non-metropolitan areas are eligible for points
under this criterion. The HUD Office will assign points to HAs that
have established cooperative agreements with other HAs or created a
consortium of HAs in order to facilitate the transfer of families and
their rental assistance between HA jurisdictions. In addition, the HUD
Office will assign points to HAs that have established relationships
with nonprofit groups to provide families with additional counseling,
or have directly provided counseling, to increase the likelihood of a
successful move by the families to areas that do not have large
concentrations of poverty.
(ii) Rating and Assessment: The HUD Office will assign point values
for any of the following assessments for which the HA qualifies and add
the points for all the assessments (maximum of 60 points) to determine
the total points for this Selection Criterion:
10 points--Assign 10 points if the HA documents that it
participates in an area-wide rental voucher and certificate exchange
program where all HAs absorb portable Section 8 families.
10 points--Assign 10 points if the HA certifies that its
administrative plan does not include a ``residency preference'' for
selection of families to participate in its rental voucher and
certificate programs or the HA certifies that it will eliminate
immediately any ``residency preference'' currently in its
administrative plan.
10 points--Assign 10 points if the HA documents that HA
staff will provide housing counseling for families that want to move to
low-poverty on non-minority areas, or if the HA has established a
contractual relationship with a nonprofit agency or a local
governmental entity to provide housing counseling for families that
want to move to low-poverty or non-minority areas. The five HAs
approved for the FY 1993 Moving to Opportunity (MTO) for Fair Housing
Demonstration and any other HAs that receive counseling funds from HUD
(e.g., in settlement of litigation involving desegregation or
demolition of public housing, regional opportunity counseling, or mixed
population projects) may qualify for points under this assessment, but
these HAs must identify all activities undertaken, other than those
funded by HUD, to expand housing opportunities.
10 points--Assign 10 points if the HA documents that it
requested from HUD, and HUD approved, the authority to utilize
exceptions to the fair market rent limitations as allowed under 24 CFR
882.106(a)(4) to allow families to select units in low-poverty or non-
minority areas.
10 points--Assign 10 points if the HA documents that it
participates with other HAs in using a metropolitan wide or combined
waiting list for selecting participants in the program.
10 Points--Assign 10 points if the HA documents that it
has implemented other initiatives that have resulted in expanding
housing opportunities in areas that do not have undue concentrations of
poverty or minority families.
(c) Threshold Criterion 3: Coordination Between HA and Public Child
Welfare Agency to Identify and Assist Eligible Families.
The application must describe the method that the HA and the PCWA
will use to identify and assist Family Unification eligible families.
The application must include a letter of intent from the PCWA stating
its commitment to provide resources and support for the program. The
PCWA letter of intent and other information must include an explanation
of: the method for identifying Family Unification eligible families,
the PCWA's certification process for determining Family Unification
eligible families, the responsibilities of each agency, the assistance
that the PCWA will provide to families in locating housing units, the
PCWA staff resources committed to the program, the past PCWA experience
administering a similar program, and the PCWA/HA cooperation in
administering a similar program.
(d) Threshold Criterion 4: Public Child Welfare Agency Statement of
Need for Family Unification Program.
The application must include a statement by the PCWA describing the
need for a program providing assistance to families for whom lack of
adequate housing is a primary factor in the placement of the family's
children in out-of-home care or in the delay of discharge of the
children to the family from out-of-home care in the area to be served,
as evidenced by the caseload of the public child welfare agency. The
PCWA must adequately demonstrate that there is a need in the HA's
jurisdiction for the Family Unification program that is not being met
through existing programs. The narrative must include specific
information relevant to the area to be served, about homelessness,
family violence resulting in involuntary displacement, number and
characteristics of families who are experiencing the placement of
children in out-of-home care or the delayed discharge of children from
out-of-home care as the result of inadequate housing, and the PCWA's
past experience in obtaining housing through HUD assisted programs and
other sources for families lacking adequate housing.
E. Corrections to Deficient Family Unification Applications
(1) Acceptable Applications
To be eligible for processing, an application must be received by
the appropriate HUD Office no later than the date and time specified in
this NOFA. The HUD Office will initially screen all applications and
notify HAs of technical deficiencies by letter.
If an application has technical deficiencies, the HA will have 14
calendar days from the date of the issuance of the HUD notification
letter to submit the missing or corrected information to the HUD
Office. Curable technical deficiencies relate only to items that do not
improve the substantive quality of the application relative to the
rating factors.
All HAs must submit corrections within 14 calendar days from the
date of the HUD letter notifying the applicant of any such deficiency.
Information received after 3 p.m. local time (i.e., the
[[Page 19213]]
time in the appropriate HUD Office) of the 14th calendar day of the
correction period will not be accepted and the application will be
rejected as incomplete.
(2) Unacceptable Applications
(a) After the 14-calendar day technical deficiency correction
period, the HUD Office will disapprove HA applications that it
determines are not acceptable for processing. The HUD Office
notification of rejection letter must state the basis for the decision.
(b) Applications that fall into any of the following categories
will not be processed:
(i) There is a pending civil rights suit against the HA instituted
by the Department of Justice or there is a pending administrative
action for civil rights violations instituted by HUD (including a
charge of discrimination under the Fair Housing Act).
(ii) There has been an adjudication of a civil rights violation in
a civil action brought against the HA by a private individual, unless
the HA is operating in compliance with a court order or implementing a
HUD-approved resident selection and assignment plan or compliance
agreement designed to correct the areas of noncompliance.
(iii) There are outstanding findings of noncompliance with civil
rights statutes, Executive Orders, or regulations, as a result of
formal administrative proceedings, or the Secretary has issued a charge
against the applicant under the Fair Housing Act, unless the applicant
is operating under a conciliation or compliance agreement designed to
correct the areas of noncompliance.
(iv) HUD has denied application processing under Title VI of the
Civil Rights Act of 1964, the Attorney General's Guidelines (28 CFR
50.3), and the HUD Title VI regulations (24 CFR 1.8) and procedures
(HUD Handbook 8040.1), or under section 504 of the Rehabilitation Act
of 1973 and HUD regulations (24 CFR 8.57).
(v) The HA has serious unaddressed, outstanding Inspector General
audit findings, Fair Housing and Equal Opportunity monitoring review
findings, or HUD management review findings for one or more of its
Rental Voucher, Rental Certificate, or Moderate Rehabilitation
Programs, or, in the case of a HA that is not currently administering a
Rental Voucher, Rental Certificate, or Moderate Rehabilitation Program,
for its Public Housing Program or Indian Housing Program. The only
exception to this category is if the HA has been identified under the
policy established in section A.(3)(b) of this NOFA and the HA makes
application with another agency or contractor that will administer the
family unification assistance on behalf of the HA.
(vi) The HA is involved in litigation and HUD determines that the
litigation may seriously impede the ability of the HA to administer an
additional increment of rental vouchers or rental certificates.
(vii) After the 14-calendar day technical deficiency correction
period, an HA application that does not comply with the requirements of
24 CFR 982.102 and this NOFA, will be rejected from processing.
(viii) A HA application submitted after the deadline date.
F. Family Unification Application Selection Process
(1) Funding FY 1996 Applications
The FY 1996 NOFA was published in the Federal Register on May 2,
1996, (61 FR 19761) and provides that HUD may use FY 1997 funds for
applications from the FY 1996 lottery that were not awarded funds in FY
1996. HUD has determined that sufficient funds are available in FY 1997
to fund these applications and to conduct a new lottery in FY 1997 for
new applicants. HUD will fund the remaining FY 1996 lottery
applications upon publication of this NOFA prior to funding any FY 1997
applications. Any HA that applied under the FY 1996 NOFA and is being
funded under the FY 1997 NOFA may also submit an FY 1997 application.
(2) Funding FY 1997 Applications
After the HUD Office has screened HA applications and disapproved
any applications unacceptable for further processing (See Section E.(2)
of this NOFA), the HUD Office will review and rate all approvable
applications, utilizing the Threshold Criteria and the point
assignments listed in this NOFA. Each HUD Office will send to HUD
Headquarters the following information on each application that passes
the Threshold Criteria:
(1) Name and address of the HA;
(2) Name and address of the Public Child Welfare Agency;
(3) State Office, Area Office, or Native American Programs Office
contact person and telephone number;
(4) The requested number of rental certificates in the HA
application and the minimum number of rental certificates specified in
the HA application, and the corresponding budget authority; and
(5) A completed fund reservation worksheet for the number of rental
certificates requested in the application.
HUD Headquarters will select eligible HAs to be funded based on a
lottery. All acceptable applications by HAs identified by the HUD
Offices as meeting the Threshold Criteria identified in this NOFA will
be eligible for the lottery selection process. The costs of funding the
FY 1997 applications will be counted against the total available funds
remaining for the Family Unification Program. If the cost of funding
the applications received by HUD exceeds available funds, in order to
achieve geographic diversity HUD Headquarters will limit the number of
FY 1997 applications selected for funding under the lottery for any
State to no more than 10 percent of the budget authority made available
under this NOFA. However, if establishing this geographic limit results
in unspent budget authority, HUD may modify this limit to assure that
all available funds are used.
Applications will be funded in full for the number of rental
certificates requested by the HA in accordance with the NOFA. However,
if the remaining rental certificate funds are insufficient to fund the
last HA application in full, HUD Headquarters may fund that application
to the extent of the funding available and the applicant's willingness
to accept a reduced number of rental certificates. Applicants that do
not wish to have the size of their programs reduced may indicate in
their applications that they do not wish to be considered for a reduced
award of funds. HUD Headquarters will skip over these applicants if
assigning the remaining funding would result in a reduced funding
level.
G. Other Matters
Environmental Impact
This NOFA provides funding under, and does not alter environmental
requirements of, regulations in 24 CFR part 882 subparts A, B, C and F.
887 and 982, which have been previously published in the Federal
Register. This NOFA provides funding only for tenant-based assistance,
which is a categorical exclusion not subject to the individual
compliance requirements of the Federal laws and authorities cited in
Sec. 50.4, and therefore those regulations do not contain environmental
review requirements. Accordingly, under 24 CFR 50.19(c)(5), this NOFA
is categorically excluded from environmental review under the National
Environmental Policy Act of 1969 (42 U.S.C. 4321).
[[Page 19214]]
Federalism Impact
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that the policies
contained in this notice will not have substantial direct effects on
States or their political subdivisions, or the relationship between the
Federal Government and the States, or on the distribution of power and
responsibilities among the various levels of government. As a result,
the notice is not subject to review under the Order. This notice is a
funding notice and does not substantially alter the established roles
of the Department, the States, and local governments, including HAs.
Impact on the Family
The General Counsel, as the Designated Official under Executive
Order 12606, The Family, has determined that this notice does not have
potential for significant impact on family formation, maintenance, and
general well-being within the meaning of the Executive Order and, thus,
is not subject to review under the Order. This is a funding notice and
does not alter program requirements concerning family eligibility.
Accountability in the Provision of HUD Assistance
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (HUD Reform Act) and the final rule codified at 24
CFR part 4, subpart A, published on April 1, 1996 (61 FR 1448), contain
a number of provisions that are designed to ensure greater
accountability and integrity in the provision of certain types of
assistance administered by HUD. On January 14, 1992, HUD published, at
57 FR 1942, a notice that also provides information on the
implementation of section 102. The documentation, public access, and
disclosure requirements of section 102 are applicable to assistance
awarded under this NOFA as follows:
Documentation and Public Access Requirements
HUD will ensure that documentation and other information regarding
each application submitted pursuant to this NOFA are sufficient to
indicate the basis upon which assistance was provided or denied. This
material, including any letters of support, will be made available for
public inspection for a five-year period beginning not less than 30
days after the award of the assistance. Material will be made available
in accordance with the Freedom of Information Act (5 U.S.C. 552) and
HUD's implementing regulations at 24 CFR part 15. In addition, HUD will
include the recipients of assistance pursuant to this NOFA in its
Federal Register notice of all recipients of HUD assistance awarded on
a competitive basis.
Disclosures
HUD will make available to the public for five years all applicant
disclosure reports (HUD Form 2880) submitted in connection with this
NOFA. Update reports (also Form 2880) will be made available along with
the applicant disclosure reports, but in no case for a period less than
three years. All reports--both applicant disclosures and updates--will
be made available in accordance with the Freedom of Information Act (5
U.S.C. 552) and HUD's implementing regulations at 24 CFR part 15.
Section 103 of the HUD Reform Act
HUD's regulation implementing section 103 of the HUD Reform Act,
codified as 24 CFR part 4, applies to the funding competition announced
today. The requirements of the rule continue to apply until the
announcement of the selection of successful applicants.
HUD employees involved in the review of applications and in the
making of funding decisions are restrained by part 4 from providing
advance information to any person (other than persons authorized to
receive such information) concerning funding decisions, or from
otherwise giving any applicant an unfair competitive advantage. Persons
who apply for assistance in this competition should confine their
inquiries to the subject areas permitted under 24 CFR part 4.
Applicants or employees who have ethics related questions should
contact the HUD Office of Ethics (202) 708-3815 (voice), (202) 708-1112
(TTY). (These are not toll-free numbers.) For HUD employees who have
specific program questions, the employee should contact the appropriate
Field Office Counsel or Headquarters Counsel for the program to which
the question pertains.
Prohibition Against Lobbying Activities
The use of funds awarded under this NOFA is subject to the
disclosure requirements and prohibitions of section 319 of the
Department of Interior and Related Agencies Appropriations Act for
Fiscal Year 1990 (31 U.S.C. 1352) (the ``Byrd Amendment'') and the
implementing regulations at 24 CFR part 87. These authorities prohibit
recipients of Federal contracts, grants, or loans from using
appropriated funds for lobbying the Executive or Legislative Branches
of the Federal Government in connection with specific contract, grant,
or loan. The prohibition also covers the awarding of contracts, grants,
cooperative agreements, or loans unless the recipient has made an
acceptable certification regarding lobbying. Under 24 CFR part 87,
applicants, recipients, and sub-recipients of assistance exceeding
$100,000 must certify that no Federal funds have been or will be spent
on lobbying activities in connection with the assistance. IHAs
established by an Indian tribe as a result of the exercise of the
tribe's sovereign power are excluded from coverage of the Byrd
Amendment, but IHAs established under State law are not excluded from
the statute's coverage.
Dated: April 10, 1997.
Kevin Emanuel Marchman,
Acting Assistant Secretary for Public and Indian Housing.
[FR Doc. 97-10124 Filed 4-17-97; 8:45 am]
BILLING CODE 4210-33-P
