[Federal Register Volume 63, Number 104 (Monday, June 1, 1998)]
[Notices]
[Pages 29866-29872]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-14362]
[[Page 29865]]
_______________________________________________________________________
Part IX
Department of Housing and Urban Development
_______________________________________________________________________
Notice of Funding Availability Family Unification Program Fiscal Year
1998; Notice
Federal Register / Vol. 63, No. 104 / June 1, 1998 / Notices
[[Page 29866]]
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4360-N-01]
Notice of Funding Availability, Family Unification Program,
Fiscal Year 1998
AGENCY: Office of Public and Indian Housing, HUD.
ACTION: Notice of Funding Availability (NOFA).
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SUMMARY: This NOFA announces the availability of approximately $15
million in one-year budget authority for Section 8 rental certificates
under the Family Unification Program, which will provide rental
assistance for approximately 2,200 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.
Public Housing Agencies (PHAs) are invited to submit applications
for housing assistance. (Indian Housing Authorities are not eligible.)
In the event there are insufficient funds to fund all approvable
applications received in response to this NOFA, a lottery will be held
to select approvable applications for funding.
Application Due Dates
(A) Delivered Applications
The application deadline for delivered applications for the Family
Unification program NOFA is July 24, 1998, 6:00 p.m., local HUD Field
Office HUB and local HUD Field Office Program Center time.
This application deadline is firm as to date and hour. In the
interest of fairness to all competing PHAs, 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.
(B) Mailed Applications
Applications for the Family Unification Program will be considered
timely filed if postmarked before midnight on the application due date
and received by the local HUD Field Office HUB or local HUD Field
Office Program Center within ten (10) days of that date.
(C) Applications Sent By Overnight Delivery
Overnight delivery items will be considered timely filed for the
Family Unification Program if received before or on the application due
date, or upon submission of documentary evidence that they were placed
in transit with the overnight delivery service by no later than the
specified application due date.
Address and Application Submission Procedures
The original and a copy of the application for the Family
Unification Program should be submitted to the local HUD Field Office
HUB, Attention: Director, Office of Public Housing; or to the local HUD
Field Office Program Center, Attention: Program Center Coordinator. The
local HUD Field Office HUB or local HUD Field Office Program Center is
the official place of receipt for all applications received in response
to this NOFA.
For ease of reference, the term ``local HUD Field Office'' will be
used throughout this NOFA to mean the local HUD Field Office HUB or
local HUD Field Office Program Center.
For Further Information and Technical Assistance
(A) For Further Information
For answers to your questions, you have several options. You may
contact the local HUD Field Office. You may also contact George C.
Hendrickson, Housing Program Specialist, Office of Public and Assisted
Housing Delivery, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410; telephone (202) 708-0477.
(This number is not a toll-free number). Persons with hearing or speech
impairments may access this number via TTY (text telephone) by calling
the Federal Information Relay Service at 1-800-877-8339 (this is a toll
free number).
(B) For Technical Assistance
Prior to the application due date, HUD staff will be available to
provide general guidance and technical assistance about this NOFA.
Current law does not permit HUD staff to assist in preparing the
application. Following selection, but prior to award, HUD staff will be
available to assist in clarifying or confirming information that is a
prerequisite to the offer of an award by HUD.
Additional Information
I. Authority, Purpose, Amount Allocated, and Eligibility
(A) 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, 1998 (Pub. L. 105-65; approved October 27,
1997) provides funding for the Family Unification Program. Of the
approximately $15 million available under this NOFA, approximately $1.3
million are carryover amounts from the Departments of Veterans Affairs
and Housing and Urban Development, and Independent Agencies
Appropriations Act, 1997 (Pub. L. 104-204; approved September 26,
1996), for prevention of resident displacement.
(B) Purpose
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:
(1) The imminent placement of the family's child, or children, in
out-of-home care; or
(2) 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 PHAs 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 PHA may issue a rental voucher (24 CFR
parts 887 and 982) if it has one to a family selected for participation
in the Family Unification Program.
(C) Amount Allocated
This NOFA announces the availability of approximately $15 million
for the Family Unification Program which will provide assistance for
about 2,200 families. PHAs 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. PHAs with a current Section 8 rental voucher or
[[Page 29867]]
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. PHAs
not currently administering either a Section 8 rental voucher or
certificate program 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. A national
lottery will be conducted to select approvable applications for funding
if approvable applications are submitted by PHAs for more funding than
HUD has available under this NOFA. In the event a lottery is necessary,
any approvable applications that are not selected for funding will be
funded in FY 1999 to the extent appropriations are available in FY 1999
for the Family Unification Program.
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.
(D) Eligible Applicants
(1) Family Unification Program Eligibility. Any PHA established
pursuant to State law, including regional (multicounty) or State PHAs,
may apply for funding under this NOFA. Indian Housing Authorities are
no longer eligible.
(2) Eligibility for HUD-Designated Housing Agencies with Major
Program Findings. Some PHAs 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., PHA has not implemented mandatory FSS program). HUD will not
accept applications for additional funding from these PHAs as contract
administrators if, on the application deadline date, the findings are
not closed to HUD's satisfaction. If any of these PHAs want to apply
for the Family Unification Program, the PHA must submit an application
that designates another housing agency, nonprofit agency, or contractor
that is acceptable to HUD. The PHA 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 PHA and a
statement that outlines the steps the PHA 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 PHAs that are not eligible to apply because of
outstanding management or compliance problems. The PHA may appeal the
decision, if HUD has mistakenly classified the PHA as having
outstanding management or compliance problems. Any appeal must be
accompanied by conclusive evidence of HUD's error (i.e, documentation
showing that the finding has been cleared) and must be received prior
to the application deadline. Applications submitted by these PHAs
without an agreement from another housing agency or contractor,
approved by HUD, to administer the program on behalf of the PHA will be
rejected.
II. General Requirements and Requirements Specific To The Family
Unification Program
(A) General Requirements
(1) Compliance with Fair Housing and Civil Rights Laws. All
applicants must comply with all Fair Housing and civil rights laws,
statutes, regulations, and executive orders as enumerated in 24 CFR
5.105(a). If an applicant: (a) has been charged with a violation of the
Fair Housing Act by the Secretary; (b) is the defendant in a Fair
Housing Act lawsuit filed by the Department of Justice; or (c) has
received a letter of noncompliance findings under Title VI of the Civil
Rights Act, section 504 of the Rehabilitation Act, or section 109 of
the Housing and Community Development Act, the applicant is not
eligible to apply for funding under this NOFA until the applicant
resolves such charge, lawsuit, or letter of findings to HUD's
satisfaction.
(2) Additional Nondiscrimination Requirements. Applicants must
comply with the Americans with Disabilities Act and Title IX of the
Education Amendments Act of 1972. In addition to compliance with the
civil rights requirements listed at 24 CFR 5.105, each successful
applicant must comply with the nondiscrimination in employment
requirements of Title VII of the Civil Rights Act of 1964 (42 U.S.C.
2000e et seq.), the Equal Pay Act (29 U.S.C. 206(d)), the Age
Discrimination in Employment Act of 1967 (29 U.S.C. 621 et seq.), and
Titles I and V of the Americans with Disabilities Act (42 U.S.C. 12101
et seq.).
(3) Affirmatively Furthering Fair Housing. Each successful
applicant will have a duty to affirmatively further fair housing.
Applicants will be required to identify the specific steps that they
will take to: (a) Address the elimination of impediments to fair
housing that were identified in the jurisdiction's Analysis of
Impediments (AI) to Fair Housing Choice; (b) remedy discrimination in
housing; or (c) promote fair housing rights and fair housing choice.
Further, applicants have a duty to carry out the specific activities
cited in their response to the rating factors that address
affirmatively furthering fair housing in this NOFA.
(4) Certifications and Assurances. Each applicant is required to
submit signed copies of Assurances and Certifications. The standard
Assurances and Certifications are on Form HUD-52515, Funding
Application, which includes the Equal Opportunity Certification,
Certification Regarding Lobbying, and Certification Regarding Drug-Free
Workplace Requirements.
(5) Family Self-Sufficiency (FSS) Program Requirement. Unless
specifically exempted by HUD, all rental voucher or rental certificate
funding reserved in FY 1998 (except funding for renewals or amendments)
will be used to establish the minimum size of an PHA's FSS program.
(B) Requirements Specific to the Family Unification Program
(1) Eligibility.
(a) Family Unification eligible families. Each PHA 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:
(i) 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
(ii) The PHA has determined is eligible for Section 8 rental
assistance.
(b) Lack of Adequate Housing. The lack of adequate housing means:
(i) A family is living in substandard or dilapidated housing; or
(ii) A family is homeless; or
(iii) A family is displaced by domestic violence; or
(iv) A family is living in an overcrowded unit.
(c) Substandard Housing. A family is living in substandard housing
if the unit where the family lives:
(i) Is dilapidated;
(ii) Does not have operable indoor plumbing;
(iii) Does not have a usable flush toilet inside the unit for the
exclusive use of a family;
[[Page 29868]]
(iv) Does not have a usable bathtub or shower inside the unit for
the exclusive use of a family;
(v) Does not have electricity, or has inadequate or unsafe
electrical service;
(vi) Does not have a safe or adequate source of heat;
(vii) Should, but does not, have a kitchen; or (viii) Has been
declared unfit for habitation by an agency or unit or government.
(d) 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.
(e) Homeless. A homeless family includes any person or family that:
(i) Lacks a fixed, regular, and adequate nighttime residence; and
(ii) 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.
(f) Displaced by Domestic Violence. A family is displaced by
domestic violence if:
(i) The applicant has vacated a housing unit because of domestic
violence; or
(ii) The applicant lives in a housing unit with a person who
engages in domestic violence.
(iii) ``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.
(g) Involuntarily Displaced. For a family to qualify as
involuntarily displaced because of domestic violence:
(i) The PHA must determine that the domestic violence occurred
recently or is of a continuing nature; and
(ii) The applicant must certify that the person who engaged in such
violence will not reside with the family unless the HA has given
advance written approval. If the family is admitted, the PHA may
terminate assistance to the family for breach of this certification.
(h) Living in Overcrowded Housing. A family is considered to be
living in an overcrowded unit if:
(i) 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
(ii) 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 (h), the PHA may determine whether
the unit is ``overcrowded'' in accordance with PHA subsidy standards.
(i) 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.
(j) Public child welfare agency (PCWA) means the public agency that
is responsible under applicable State 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.
(2) PHA Responsibilities. PHAs must:
(a) Accept families certified by the PCWA as eligible for the
Family Unification Program. The PHA, upon receipt of the PCWA list of
families currently in the PCWA caseload, must compare the names with
those of families already on the PHA's Section 8 waiting list. Any
family on the PHA'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 PHA 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 PHA 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 PHA's Section 8 waiting
list;
(b) 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;
(c) Determine if families referred by the PCWA are eligible for
Section 8 assistance and place eligible families on the Section 8
waiting list;
(d) Amend the administrative plan in accordance with applicable
program regulations and requirements;
(e) Administer the rental assistance in accordance with applicable
program regulations and requirements; and
(f) 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.
(3) Public Child Welfare Agency (PCWA) Responsibilities. A public
child welfare agency that has agreed to participate in the Family
Unification Program must:
(a) Establish and implement a system to identify Family Unification
eligible families within the agency's caseload and to review referrals
from the PHA;
(b) Provide written certification to the PHA 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;
(c) 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
(d) Cooperate with the evaluation that HUD intends to conduct on
the Family Unification Program, and submit a certification with the
PHA'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.
(4) Section 8 Rental Certificate Assistance. The Family Unification
Program provides funding for rental assistance under the Section 8
rental certificate program. Although HUD is providing a special
allocation of rental certificates, the PHA may use both rental vouchers
and certificates to assist families under this program.
PHAs must administer this program in accordance with HUD's
regulations governing the Section 8 rental certificate and rental
voucher programs. The PHA 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 PHA has one available. If Section 8
rental assistance for a family under this program is terminated, the
rental assistance must be reissued to another Family Unification
eligible family for 5 years from the initial date of execution of the
Annual Contributions Contract
[[Page 29869]]
subject to the availability of renewal funding.
III. Application Selection Process for Funding
(A) Rating and Ranking
HUD's local HUD Field Offices are responsible for rating the
applications for the selection criteria established in this NOFA, and
are responsible for selection of applications that will receive
assistance under the Family Unification Program. The local HUD Field
Offices 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 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 1, Unmet Housing Needs; Threshold
Criterion 3, Coordination between HA and Public Child Welfare Agency to
Identify and Assist Eligible Families; and Threshold Criterion 4,
Public Child Welfare Agency Statement of Need for Family Unification
Program.
(B) Threshold Criteria
(1) THRESHOLD CRITERION 1: UNMET HOUSING NEEDS.
This criterion requires the PHA to demonstrate the need for an
equal or greater number of Section 8 rental certificates than it is
requesting under this NOFA. The PHA must assess and document the unmet
housing need for its geographic jurisdiction of families 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 a delay of
discharge of a child or children to the family from out-of-home care.
The results of the assessment must include a comparison of the
estimated unmet housing needs of such families to the Consolidated Plan
covering the PHA's jurisdiction.
(2) THRESHOLD CRITERION 2: EFFORTS OF PHA TO PROVIDE AREA-WIDE
HOUSING OPPORTUNITIES FOR FAMILIES (60 POINTS).
(a) Description: Many PHAs 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.
PHAs in metropolitan and non-metropolitan areas are eligible for points
under this criterion. The local HUD Field Office will assign points to
PHAs that have established cooperative agreements with other PHAs or
created a consortium of PHAs in order to facilitate the transfer of
families and their rental assistance between PHA jurisdictions. In
addition, the local HUD Field Office will assign points to PHAs 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.
(b) Rating and Assessment: The local HUD Field Office will assign
10 points for any of the following assessments for which the PHA
qualifies and add the points for all the assessments (maximum of 60
points) to determine the total points for this Selection Criterion:
(i) 10 points--Assign 10 points if the PHA documents that it
participates in an area-wide rental voucher and certificate exchange
program where all PHAs absorb portable Section 8 families.
(ii) 10 Points--Assign 10 points if the PHA documents 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 PHA states that it will eliminate
immediately any ``residency preference'' currently in its
administrative plan.
(iii) 10 Points--Assign 10 points if the PHA documents that PHA
staff will provide housing counseling for families that want to move to
low-poverty or non-minority areas, or if the PHA 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 PHAs
approved for the FY 1993 Moving to Opportunity (MTO) for Fair Housing
Demonstration and any other PHAs 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 PHAs must identify all activities undertaken, other than those
funded by HUD, to expand housing opportunities.
(iv) 10 Points--Assign 10 points if the PHA 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.
(v) 10 Points--Assign 10 points if the PHA documents that it
participates with other PHAs in using a metropolitan wide or combined
waiting list for selecting participants in the program.
(vi) 10 Points--Assign 10 points if the PHA 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.
(3) THRESHOLD CRITERION 3: COORDINATION BETWEEN PHA AND PUBLIC
CHILD WELFARE AGENCY TO IDENTIFY AND ASSIST ELIGIBLE FAMILIES.
The application must describe the method that the PHA 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/PHA cooperation in
administering a similar program.
(4) 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 PHA'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
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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.
(C) Funding FY 1998 Applications
After the local HUD Field Office has screened HA applications and
disapproved any applications unacceptable for further processing (See
Section V(B) of this NOFA, below), the local HUD Field Office will
review and rate all approvable applications, utilizing the Threshold
Criteria and the point assignments listed in this NOFA. The local HUD
Field Office will send to HUD Headquarters' Office of Funding and
Financial Management the following information on each application that
passes the Threshold Criteria:
(1) Name and address of the PHA;
(2) Name and address of the Public Child Welfare Agency;
(3) Local HUD Field Office contact person and telephone number;
(4) The requested number of rental certificates in the PHA
application and the minimum number of rental certificates acceptable to
the PHA; and
(5) A completed fund reservation worksheet for the number of rental
certificates requested in the application and recommended for approval
by the local HUD Field Office during the course of its review, and the
corresponding budget authority.
HUD Headquarters' Office of Funding and Financial Management will
select eligible PHAs to be funded based on a lottery in the event
approvable applications are received for more funding than is available
under this NOFA. All PHA applications identified by the local HUD Field
Offices as meeting the Threshold Criteria identified in this NOFA will
be eligible for the lottery selection process. If the cost of funding
these applications exceeds available funds, HUD Headquarters will limit
the number of FY 1998 applications selected for any State to no more
than 10 percent of the budget authority made available under this NOFA
in order to achieve geographic diversity. 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 PHA in accordance with the NOFA. However,
if the remaining rental certificate funds are insufficient to fund the
last PHA 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.
(D) Possibility of Subsequently Funding FY 1998 Approvable Applications
Not Selected By Lottery For Funding
In the event a lottery is necessary during FY 1998, any approvable
applications which are not selected for funding will be funded in FY
1999 to the extent that appropriations are available in FY 1999 for the
Family Unification Program.
IV. Application Submission Requirements
(A) Form HUD-52515
Funding Application, form HUD-52515, must be completed and
submitted for the Section 8 rental certificate program. This form
includes all the necessary certifications for Fair Housing, Drug-Free
Workplace and Lobbying Activities. 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.
PHAs may obtain a copy of form HUD-52515 from the local HUD Field
Office or may download it from the HUD Home page on the internet's
world wide web (http://www.HUD.gov).
(B) 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 local HUD Field
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 PHA should
encourage the chief executive officer of the unit of general local
government to submit a letter with the PHA application commenting on
the PHA 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.
(C) Letter of Intent and Narrative
All the items in this section must be included with the application
submitted to the local HUD Field Office. Funding is limited, and HUD
may only have enough funds to approve a smaller amount than the number
of rental certificates requested. The PHA 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 PHA
certifying that the PHA 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 IV(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:
(1) The definition of eligible family unification program families;
(2) The method used to identify eligible family unification program
families;
(3) The process to certify eligible family unification program
families;
(4) The PCWA assistance to families to locate suitable housing;
(5) The PCWA staff resources committed to the program; and
(6) PCWA experience with the administration of similar programs
including cooperation with a PHA.
The PCWA serving the jurisdiction of the PHA is responsible for
providing the information for Threshold Criterion 4, PCWA Statement of
Need for Family Unification Program, to the PHA for submission with the
PHA application.
[[Page 29871]]
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 PHAs that
request such information; otherwise, HUD will not consider applications
from any PHAs with the State-wide PCWA as a participant in its program.
(D) Evaluation Certifications
The PHA and the PCWA, in separate certifications, must state that
the PHA 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.
V. Corrections To Deficient Family Unification Applications
(A) Acceptable Applications
To be eligible for processing, an application must be received by
local HUD Field Office no later than the date and time specified in
this NOFA. The local HUD Field Office will initially screen all
applications and notify PHAs of technical deficiencies by letter.
After the application due date, HUD may not, consistent with 24 CFR
part 4, subpart B, consider unsolicited information from an applicant.
HUD may contact an applicant, however, to clarify an item in the
application or to correct technical deficiencies. Applicants should
note, however, that HUD may not seek clarification of items or
responses that improve the substantive quality of the applicant's
response to any eligibility or selection criterion. Examples of curable
technical deficiencies include failure to submit the proper
certifications or failure to submit an application containing an
original signature by an authorized official. In each case, HUD will
notify the applicant in writing by describing the clarification or
technical deficiency. HUD will notify applicants by facsimile or by
return receipt requested. Applicants must submit clarifications or
corrections of technical deficiencies in accordance with the
information provided by HUD within 14 calendar days of the date of
receipt of the HUD notification. If the deficiency is not corrected
within this time period, HUD will reject the application as incomplete.
(B) Unacceptable Applications
(1) After the 14-calendar day technical deficiency correction
period, the local HUD Field Office will disapprove PHA applications
that it determines are not acceptable for processing. The local HUD
Field Office's notification of rejection letter must state the basis
for the decision.
(2) Applications from PHAs that fall into any of the following
categories will not be processed:
(a) Applications from PHAs that do not meet the requirements of
Section II(A)(1) of this NOFA, Compliance With Fair Housing and Civil
Rights Laws.
(b) The PHA has serious unaddressed, outstanding Inspector General
audit 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 PHA that is not currently administering
a Rental Voucher, Rental Certificate, or Moderate Rehabilitation
Program, for its Public Housing Program. The only exception to this
category is if the PHA has been identified under the policy established
in Section I(D)(2) of this NOFA and the PHA makes application with
another agency or contractor that will administer the family
unification assistance on behalf of the PHA.
(c) The PHA is involved in litigation and HUD determines that the
litigation may seriously impede the ability of the PHA to administer an
additional increment of rental vouchers or rental certificates.
(d) After the 14-calendar day technical deficiency correction
period, a PHA application that does not comply with the requirements of
24 CFR 982.102 and this NOFA, will be rejected from processing.
(e) A PHA application submitted after the deadline date.
VI. 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, HUD has recently 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.
Applicants should see the SuperNOFA for Housing and Community
Development Programs published in the Federal Register on March 31,
1998 (62 FR 15490); the SuperNOFA for Economic Development and
Empowerment Programs published on April 30, 1998 (62 FR 23876); and the
SuperNOFA for Targeted Housing and Homeless Assistance Programs, that
were both published on April 30, 1998 (62 FR 23988).
To foster comprehensive, coordinated approaches by communities, HUD
intends for the remainder of FY 1998 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 1999.
To help in obtaining a copy of your community's Consolidated Plan,
please contact the community development office of your municipal
government.
VII. Findings and Certifications
(A) 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.
(B) Environmental Requirements And Impact
In accordance with 24 CFR 50.19(b)(11), tenant-based activities
assisted under this program are categorically excluded from the
[[Page 29872]]
requirements of the National Environmental Policy Act and are not
subject to environmental review under the related laws and authorities.
In accordance with 24 CFR 50.19(c)(5), the approval for issuance of
this NOFA is categorically excluded from environmental review under the
National Environmental Policy Act of 1969 (42 U.S.C. 4321).
(C) Catalog of Federal Domestic Assistance Numbers
The Federal Domestic Assistance number for this program is: 14.857.
(D) 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 HUD, the States, and local governments, including PHAs.
(E) 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 regulations codified in 24
CFR part 4, subpart A 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
(57 FR 1942), HUD published 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:
(1) 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 5-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 in 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.
(2) Disclosures. HUD will make available to the public for 5 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 3 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 in 24
CFR part 15.
(F) Section 103 of the HUD Reform Act
HUD will comply with its regulations implementing section 103 of
the HUD Reform Act, codified in 24 CFR part 4, for this funding
competition. These requirements 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.
(G) Prohibition Against Lobbying Activities
Applicants for funding under this NOFA are subject to the
provisions of section 319 of the Department of Interior and Related
Agencies Appropriation Act for Fiscal Year 1991 (31 U.S.C. 1352) (the
Byrd Amendment) and to the provisions of the Lobbying Disclosure Act of
1995 (Pub. L. 104-65; approved December 19, 1995).
The Byrd Amendment, which is implemented in regulations in 24 CFR
part 87, prohibits applicants for Federal contracts and grants from
using appropriated funds to attempt to influence Federal executive or
legislative officers or employees in connection with obtaining such
assistance, or with its extension, continuation, renewal, amendment, or
modification. The Byrd Amendment applies to the funds that are the
subject of this NOFA. Therefore, applicants must file a certification
stating that they have not made and will not make any prohibited
payments and, if any payments or agreement to make payments of
nonappropriated funds for these purposes have been made, a form SF-LLL
disclosing such payments must be submitted. The certification and the
SF-LLL are included in the application package.
The Lobbying Disclosure Act of 1995 (Pub. L. 104-65; approved
December 19, 1995), requires all persons and entities who lobby covered
executive or legislative branch officials to register with the
Secretary of the Senate and the Clerk of the House of Representatives
and file reports concerning their lobbying activities.
Dated: May 22, 1998.
Deborah Vincent,
General Deputy Assistant Secretary for Public and Indian Housing.
[FR Doc. 98-14362 Filed 5-29-98; 8:45 am]
BILLING CODE 4210-33-P
