Notice of Fund Availability (NOFA) for Fiscal Year 1994 for the Family Unification Program

SUMMARY: This notice announces the availability of FY 94 budget

authority for section 8 rental certificates under the Family

Unification Program. Public housing agencies (PHAs) and Indian Housing

Authorities (IHAs), herein referred to as housing agencies (HAs), are

invited to submit applications for housing assistance. 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.

As was the case in FY 93, participation in the Family Unification

Program is limited to HAs in 16 States. The sixteen states are:

California, Florida, Georgia, Illinois, Maryland, Massachusetts,

Michigan, Minnesota, Missouri, New Jersey, New York, North Carolina,

Ohio, Pennsylvania, Texas and Virginia.

DATES: The due date for submission of applications in response to this

NOFA is October 13, 1994. Application forms may be obtained from the

HUD State or Area Offices/Native American Programs Offices.

Applications must be received in the HUD State or Area Offices/Native

American Programs Office on the due date by 3:00 p.m. local time. The

local HUD Offices are the official places of receipt for all

applications.

The above-stated application deadline for submission of completed

applications to the HUD Offices is firm as to date and hour. In the

interest of fairness to all competing HAs, HUD will treat as ineligible

for consideration any application that is not received before 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 problem(s). HUD will not accept applications sent via facsimile

(FAX) transmission.

FURTHER INFORMATION CONTACT: Gerald J. Benoit, Director, Operations

Branch, Rental Assistance Division, Office of Assisted Housing,

Department of Housing and Urban Development, 451 Seventh Street, SW,

Washington, DC 20410-8000, telephone number (202) 708-0477 (voice), or

(202) 708-4594 (TDD). (These telephone numbers are not toll-free).

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act Statement

The information collection requirements contained in this notice

have been approved by the Office of Management and Budget (OMB) under

the Paperwork Reduction Act of 1980. OMB has approved the section 8

information collection requirements under the assigned control number

2577-0169.

I. Purpose and Substantive Description

(A) Authority

Section 8(x) of the U.S. Housing Act of 1937, as added by section

553 of the National Affordable Housing Act (Pub.L, 101-625, approved

November 28, 1990); the VA, HUD-Independent Agencies Appropriations Act

of 1992 (Pub.L. 102-139, approved October 28, 1991), and the VA, HUD-

Independent Agencies Act of 1993 (Pub. L. 102-389, approved October 6,

1992). The regulations governing the section 8 rental certificate

program are codified at 24 CFR part 882. This NOFA announces the

availability of Family Unification funding under the VA, HUD-

Independent Agencies Appropriations Act of 1994 (Pub.L. 103- 124,

approved October 28, 1993).

(B) 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:

(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.

Certificates awarded under the Family Unification Program are to be

administered by HAs under HUD's regulations for the section 8 rental

certificate program (24 CFR part 882). The HA may issue a rental

voucher to a family selected for participation in the Family

Unification Program if the family requests a rental voucher and the HA

has one available.

(C) Allocation Amounts

This NOFA announces the availability of up to $77.5 million for the

Family Unification Program which will support assistance for about

2,200 families. Each HA may apply for funding for a maximum of 50

units. The minimum funding amount is for 25 units. Any HA that is

unwilling to accept less than the number of units for which it applied

must state this in its cover letter to its application and state the

minimum number it is willing to accept.

The amounts allocated under this NOFA will be awarded under a

national competition based on demonstrated need for such assistance 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, and from 24 CFR part 791, subpart D, the HUD regulation

implementing section 213(d).

(D) Eligibility

HAs in the following 16 States are invited by this notice to submit

applications for rental certificates under this program: California,

Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan,

Missouri, Minnesota, New Jersey, New York, North Carolina, Ohio,

Pennsylvania, Texas, and Virginia.

(E) Family Self-Sufficiency Program

Unless specifically exempted by HUD, any rental voucher or rental

certificate funding reserved in FY 94 (except funding for renewals or

amendments) will be used to establish the minimum size of a PHA's FSS

program.

II. Application Process

(A) Program Guidelines

(1) Definitions: For purposes of the Family Unification

Demonstration Program:

(a) 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 HA has determined is eligible for section 8 rental

assistance.

(b) The lack of adequate housing means a situation in which a

family:

(i) Is living in substandard housing or homeless, as defined in 24

CFR 882.219(f); or

(ii) Is, or will be, involuntarily displaced from a housing unit

because of actual or threatened violence against a family member under

the circumstances described in 24 CFR 882.219(d)(2).

(c) 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.

(2) HA Responsibilities. HAs must:

(a) Send a partial listing of the names of families on the section

8 waiting list to the PCWA to determine if the families meet the Family

Unification Program eligibility requirements described in Section II(A)

of this NOFA. The HA will continue to send a list of family names to

the PCWA until the number of families is equal to the number of rental

certificates provided to the HA under the Family Unification Program.

After the PCWA determines that the family meets the Family Unification

Program eligibility requirements, the family shall be selected in

accordance with HA admission policies.

(b) Determine if families referred by the PCWA are eligible for

Section 8 assistance and place eligible families on the section 8

waiting list;

(c) Amend the administrative plan in accordance with applicable

program regulations and requirements;

(d) Administer the rental assistance in accordance with applicable

program regulations and requirements; and

(e) 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 responsible for program

evaluation.

The PCWA must certify that each participant is a Family Unification

eligible family. The HA must review its waiting list to determine if

there are any families already on its waiting list (including families

in the PCWA caseload) who may be eligible for the Family Unification

program. The names of Family Unification eligible families can be

mutually shared between the HA and the PCWA. Families must be selected

for the Family Unification Program after the PCWA determines they are

eligible for the Family Unification Program and the HA determines they

are eligible for the Section 8 program.

(3) Public Child Welfare Agency (PCWA) Responsibilities. Public

child welfare agencies must:

(a) Establish and implement a system to identify Family Unification

eligible families within the agency's caseload and reviewing referrals

from the HA;

(b) Provide written certification to the HA that a family qualifies

as a Family Unification eligible family;

(c) Commit sufficient staff resources to ensure that Family

Unification eligible families are identified and certified in a timely

manner; and

(d) 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

having responsibility for program evaluation.

(4) 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 during the five-year term of the ACC for the Section 8 rental

certificates provided under this program.

(B) Threshold Criteria

Each application submitted in response to the NOFA must receive, in

order to be eligible for funding, at least 20 points for Threshold

Criterion 1: HA Administrative Capability, and must meet or exceed the

requirements for Threshold Criterion 2: Coordination between HA and

Public Child Welfare Agency, and Threshold Criterion 3: Public Child

Welfare Agency Statement of Need.

(1) Threshold Criterion 1: HA Administrative Capability (40

points).

(a) Description: Overall HA administrative capability in the Rental

Voucher, Rental Certificate, and Moderate Rehabilitation Programs is

good. Administrative capability is evidenced by factors such as leasing

rates and correct administration of housing quality standards (HQS),

portability of rental vouchers and rental certificates, compliance with

Fair Housing and Equal Opportunity program requirements, assistance

payment computation, timely submission of budgets and financial

statements, and covered administration of rent reasonableness

requirements.

For purposes of this NOFA, an HA administering a Rental Voucher,

Rental Certificate, or Moderate Rehabilitation Program will not be

rated on the administration of its Public or Indian Housing Program. If

an HA is not administering a Rental Voucher, Rental Certificate, or

Moderate Rehabilitation Program, HUD will rate HA administration of the

Public or Indian Housing Program. If an HA is not administering a

Rental Voucher, Rental Certificate, Moderate Rehabilitation, Public

Housing or Indian Housing Program, HUD will assess the administrative

capability of the HA based on such factors as experience of staff,

support of the HA by the local government, and the HA's administrative

experience with non-HUD housing programs.

(b) Rating and Assessment:

(i) HUD review of HA Operations:

8 Points--Assign 8 points if HA has no review findings

outstanding, or all review findings have been corrected, for HUD HA

management reviews, Fair Housing & Equal Opportunity reviews, or

Inspector General audits as of the deadline date for submission of

applications under this NOFA.

5 Points--Assign 5 points if HA has less than five review

findings outstanding and all findings are being addressed.

2 Points--Assign 2 points if HA has five or more review

findings outstanding and all findings are being addressed.

0 Points--Assign 0 points if HA has any review findings

outstanding and the findings are not being addressed.

(ii) Compliance with Section 8 Portability rules:

8 Points--Assign 8 points if HA is in compliance with all

provisions of the portability rules.

5 Points--Assign 5 points if HA is in general compliance

with portability rules, but has some minor compliance issues.

2 Points--Assign 2 points if HA has some major compliance

issues under portability which are being addressed.

0 Points--Assign 0 points if HA is not in compliance with

portability rules and issues are not being addressed.

(iii) Housing Quality Standards (HQS) Inspections:

8 Points--Assign 8 points if HA had more than 95 percent

of its units pass HQS inspections by HUD at the last review or HUD is

aware of actions taken by the HA to improve the number of units that

pass HQS inspections to 95 percent or more.

6 Points--Assign 6 points if HA had more than 90 percent

of its units pass HQS inspections by HUD at the last review or HUD is

aware of actions taken to improve the number of units that pass HQS

inspections to 90 percent or more.

4 Points--Assign 4 points if HA had more than 85 percent

of its units pass HQS inspections by HUD at the last review or HUD is

aware of actions taken to improve the number of units that pass HQS

inspections to 85 percent or more.

2 Points--Assign 2 points if HA had more than 80 percent

of its units pass HQS inspections by HUD at the last review or HUD is

aware of actions taken to improve the number of units that pass HQS

inspections to 80 percent or more.

0 Points--Assign 0 points if HA had 80 percent or less of

its units pass HQS inspections by HUD at the last review and HUD is not

aware of actions taken by the HA to improve the number of units that

pass HQS inspections to 80 percent or more.

(iv) Percentage of Units Leased as of September 30, 1993.

HUD staff should use the percentage of units under ACC for a period

of one year leased for the tenant-based rental assistance program

administered by an HA. HUD may use a report on leasing for another

period if the September 30, 1993, report is not reflective of HA

performance.

8 Points--Assign 8 points if HA had 98 percent or more of

its rental certificates and rental vouchers under lease.

6 Points--Assign 6 points if HA had 96 percent or more of

its rental certificates and rental vouchers under lease.

4 Points--Assign 4 points if HA had 94 percent or more of

its rental certificates and rental vouchers under lease.

2 Points--Assign 2 points if HA had 90 percent or more of

its rental certificates and rental vouchers under lease.

0 Points--Assign 0 points if HA had less than 90 percent

of its rental certificates and rental vouchers under lease.

(v) Timely Submission of HA Budget and Financial Statements to HUD.

8 Points--Assign 8 points if the HA submitted both its

most recent fiscal year Section 8 budget at least 30 days prior to the

start of the HA fiscal year and its year-end Section 8 annual financial

statements within the required 45 days of the end of the HA's fiscal

year.

4 Points--Assign 4 points if the HA submitted either its

most recent fiscal year budget at least 30 days prior to the start of

the HA's fiscal year or its year-end Section 8 annual financial

statements within the required 45 days of the end of the HA fiscal

year.

0 Points--Assign 0 points if the HA is unable to document

the timely submission of the budget and financial statements.

(vi) Family Self-Sufficiency.

The application must describe the efforts undertaken by the PHA to

establish a Section 8 Family Self-Sufficiency (FSS) program including

(1) submission to HUD of an Action Plan, and (2) creation of a Program

Coordinating Committee. If an HA is not administering a Rental Voucher

or Rental Certificate Program, the HUD State or Area Office will rate

HA administration of the Public Housing FSS program, if applicable. All

activities rated under this criterion must have been completed prior to

the submission of an application under this NOFA. The score for HA

administrative capability must be reduced if the HA received an FSS

Incentive award of Section 8 funding in FY 1992 and the HA has failed

to complete the required implementation steps as described below. Also,

the score of an HA application must be reduced if the HA received

funding in FY 1993 (unless the HUD State or Area Office granted a total

exception to the FSS program requirement) and the HA has failed to

complete the required implementation steps as described below. The HUD

State or Area Office must deduct point values as shown below:

10 point Deduction--Deduct 10 points if HA has failed to

establish a Program Coordinating Committee and has failed to provide

the names, duties and experience of all members (24 CFR 984.202(a) &

(b)), and the HA has failed to submit an Action Plan to HUD within 90

days of notification by HUD of approval of the PHA's application for

units under the FY 91/92 FSS incentive award competition or HUD

approval of the HA's first application, commencing in FY 93, for rental

certificates or rental vouchers (24 CFR 984.201(c)(1)).

(2) Threshold Criterion 2: 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 public

child welfare agency 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 be

comprehensive and must include an explanation of the method used to

identify eligible families, of the PCWA's certification process for

determining Family Unification eligible families, of the

responsibilities of each agency, of the PCWA assistance provided to

families in locating housing units, of the PCWA staff resources

committed to the program, of the past PCWA experience administering a

similar program, and of the PCWA/HA cooperation in administering a

similar program.

(3) Threshold Criterion (3): 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 which 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.

(C) Application Processing

The HUD State or Area Office/Native American Programs Office is

responsible for rating the applications, and HUD Headquarters is

responsible for ranking and selection of applications (including

applications rated by the Native American Programs Office) that will

receive assistance under the Family Unification Program. The HUD State

or Area Office/Native American Programs Office will initially screen

all applications, using the ``Checklist for Application Requirements''

listed in Section IV(B) of this NOFA as a guide to determine if an

application is complete. Technical deficiencies will be determined

separately based on the application submission requirements (Section

III of the NOFA).

(D) Selection Process

After the HUD State or Area Office/Native American Programs Office

has screened HA applications and disapproved any applications

unacceptable for further processing (See Section III of this NOFA), the

HUD State or Area Office/Native American Programs Office will review

and rate all approvable applications, utilizing the Threshold Criteria

and the point assignment listed in this NOFA. Each HUD State or Area

Office/Native American Programs Office will send to HUD Headquarters

information on each application that passes the Threshold Criteria, as

follows:

1. Name and address of the HA;

2. Number of units requested in the Family Unification Application

by bedroom size for each HA;

3. Amount of average monthly tenant contributions by bedroom size

for each HA;

4. The amount of budget authority needed to fund the number of

units requested and the minimum number of units and the corresponding

budget authority acceptable to the HA;

5. Name and address of the Public Child Welfare Agency; and

6. State Office, Area Office, or Native American Programs Office

contact person.

Headquarters will select eligible HAs to be funded based on a

lottery. All HAs identified by the HUD Offices as meeting the Threshold

Criteria identified in the NOFA will be eligible for the lottery

selection process. As HAs are selected, the costs of funding the

applications will be counted against the total funds available for the

Family Unification program.

Applications will be funded in full for the number of units

requested by the HA in accordance with the NOFA. However, when

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 units. 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.

(E) Local Government Comments

The HUD State or Area Office/Native American Programs Office will

obtain section 213 comments, in accordance with 24 CFR part 791,

subpart C, from the unit of general local government. 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. Since 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.

III. Checklist of Application Submission Requirements

(A) Application Requirements

(1) Form HUD-52515. An Application for Existing Housing, Form HUD-

52515, must be completed in accordance with the rental certificate

program regulations. Application and certification forms can be

obtained from the HUD State or Area Office/Native American Programs

Office.

All the items in this Section III must be included in the

application submitted to the HUD State or Area Office/Native American

Programs Office. The application must include an explanation of how the

application meets, or will meet, Threshold Criteria 1, 2 and 3.

The application must 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

method used to identify eligible families, (ii) the process to certify

eligible families, (iii) the PCWA assistance to families to locate

suitable housing, (iv) the staff resources committed to the program,

and (v) PCWA experience with the administration of similar programs

including cooperation with an HA.

The PCWA serving the jurisdiction of the HA is responsible for

providing the information for Threshold Criterion 3, ``Need for Family

Unification Program,'' to the HA for submission with the HA

application. The application must include a statement by the PCWA

describing the need for a Family Unification Program. 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 Selection Criterion 3 to all HAs that request data,

otherwise, HUD will not consider applications from any HAs with the

State-wide PCWA as a participant in its program. The HA must state in

its cover letter to the application whether it will accept a reduction

in the number of units and the minimum number of units it will accept

since the funding is limited and HUD may only have enough funds to

approve a smaller amount than the number of units requested.

(2) Certification Regarding Drug-Free Workplace. The Drug-Free

Workplace Act of 1988 requires grantees of Federal agencies to certify

that they will provide a drug-free workplace. Thus, each HA must

certify (even though it has done so previously) that it will comply

with the drug-free workplace requirements in accordance with CFR part

24, subpart F

(3) Certification Regarding Lobbying. Section 319 of the Department

of the Interior Appropriations Act, Public Law 101-121, approved

October 23, 1989 (31 U.S.C. 1352) (the ``Byrd Amendment'') generally

prohibits recipients of Federal contracts, grants, and loans from using

appropriated funds for lobbying the Executive or Legislative Branches

of the Federal Government in connection with a specific contract,

grant, or loan.

The Department's regulations on these restrictions on lobbying are

codified at 24 CFR part 87. To comply with 24 CFR 87.110, any HA

submitting an application under this announcement for more than

$100,000 of budget authority must submit a certification and, if

applicable, a Disclosure of Lobbying Activities (SF-LLL). 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.

(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 delegated the responsibility for the program evaluation. No

specific language for this certification is prescribed by HUD.

(B) Checklist for Application Requirements

The checklist for application requirements provided in this Section

specifies the information that must be included in the application. HAs

are encouraged to review the checklist to ensure that the application

submitted is complete.

Checklist for Application Requirements

The following checklist specifies the required information which

must be submitted in the joint application. It is recommended, but not

required, that the application contain a narrative explaining how the

application meets the Threshold Criteria.

Initial Screening Checklist

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Housing agency HUD State or area office

-------------------------------------------------------

Yes No Yes No

----------------------------------------------------------------------------------------------------------------

{time} ..... {time} {time} {time} The application contains a completed Form HUD 52515.

{time} ..... {time} {time} {time} The application specifies the number of rental

certificates requested.

{time} ..... {time} {time} {time} The application states by number of bedrooms the total

number of units requested by the HA (e.g., one bedroom

units, two bedroom units).

{time} ..... {time} {time} {time} The application demonstrates that it is responsive to

the condition of the housing stock in the community and

the housing assistance needs of low income families

(including the elderly, handicapped, disabled, large

families and those displaced) residing in or expected

to reside in the community.

{time} ..... {time} {time} {time} The application demonstrates that the applicant

qualifies as a public housing agency and is legally

qualified and authorized to participate in the rental

assistance programs for the area in which the programs

are to be carried out. Such demonstration includes: (i)

The relevant enabling legislation, (ii) any rules and

regulations adopted or to be adopted by the agency to

govern its operations, and (iii) a supporting opinion

from the agency counsel. If such documents are

currently on file in the State or Area Office/Native

American Programs Office, they do not have to be

resubmitted.

{time} ..... {time} {time} {time} The application includes a statement that the housing

quality standards to be used in the operation of the

program will be as set forth in 24 CFR 882.109 and/or

24 CFR 887.251 or that variations in the Acceptability

Criteria are proposed or have been approved by the

State or Area Office/Native American Programs Office.

In the latter case, each proposed variation shall be

specified and justified.

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----------------------------------------------------------------------------------------------------------------

Housing agency Field office

-------------------------------------------------------

Yes No Yes No

----------------------------------------------------------------------------------------------------------------

{time} ..... {time} {time} {time} The application contains the HA schedule of leasing,

which must provide for the expeditious leasing of units

in the program. In developing the schedule, an HA must

specify the number of units in the program that are

expected to be leased at the end of each three-month

interval. The schedule must project lease-up by

eligible families within twelve months or sooner after

execution of the ACC by HUD.

{time} ..... {time} {time} {time} The application contains estimates of the average

adjusted income for prospective participants for each

bedroom size.

----------------------------------------------------------------------------------------------------------------

----------------------------------------------------------------------------------------------------------------

HA HUD

-------------------------------------------------------

Yes No Yes No

----------------------------------------------------------------------------------------------------------------

{time} ..... {time} {time} {time} The application contains a narrative explaining how the

application meets Threshold Criterion 2, Coordination

Between HA and Public Child Welfare Agency to Identify

and Assist Eligible Families.

{time} ..... {time} {time} {time} The application contains the Public Child Welfare Agency

Statement of Need for Family Unification Demonstration

Program, Threshold Criterion 3.

{time} ..... {time} {time} {time} The application contains an evaluation certification

from the HA and from the PCWA.

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Requirement for Drug-Free Workplace Certification, and Anti-Lobbying Certification and Disclosure Statement

----------------------------------------------------------------------------------------------------------------

Housing agency Field office

-------------------------------------------------------

Yes No Yes No

----------------------------------------------------------------------------------------------------------------

{time} ..... {time} {time} {time} The application meets HUD's drug-free workplace

requirements set out at 24 CFR part 24, subpart F. (The

application contains an executed Certification for a

Drug-Free Workplace.)

{time} ..... {time} {time} {time} The application meets HUD's regulations regarding anti-

lobbying set out at 24 CFR 87. The anti-lobbying

requirements apply to applications that, if approved,

would result in the HA obtaining more than $100,000 in

budget authority. The Department has determined that

IHAs established by an Indian tribe as a result of the

exercise of their sovereign power are excluded from

coverage, but IHAs established under State law are not

excluded from coverage. To comply, HAs must submit an

Anti-lobbying Certification and, if warranted, a

Disclosure of Lobbying Activities.

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IV. Corrections to Deficient Applications

(1) Acceptable Applications

(a) To be eligible for processing, an application must be received

by the HUD Office no later than the application submission deadline

date and time specified in this notice. The HUD Office will screen all

applications and notify HAs of technical deficiencies by letter.

Allowable corrections relate only to technical items, as determined by

HUD, which do not improve the substantive quality of the application

relative to the threshold criteria.

All HAs must submit corrections within 14 calendar days from the

date of HUD's letter notifying the applicant of any technical

deficiency. Information received after 3 p.m. local time on the

fourteenth calendar day of the correction period will not be accepted

and the application will be rejected as being incomplete.

All HAs are encouraged to review the ``Checklist for Application

Requirements'' provided in Section III of this NOFA. The checklist

identifies all the requirements needed for application processing. An

HA application that does not comply with the requirements of 24 CFR

882.204(a) and this notice, including the drug-free workplace

certification and the anti-lobbying certification disclosure

requirements, after the 14-day technical deficiency correction period,

will be rejected.

(2) Unacceptable Applications

(a) After the 14-calendar day technical deficiency correction

period, if any, HUD will disapprove HA applications that it determines

are not acceptable for processing. The HUD 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) The Department of Justice has brought a civil rights suit

against the applicant HA and the suit is pending;

(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 deferred application processing by HUD 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), or under

section 504 of the Rehabilitation Act of 1973 and the HUD section 504

regulations (24 CFR 8.57).

(v) The HA has serious, unaddressed, outstanding Inspector General

audit findings or fair housing and equal opportunity monitoring review

findings or HUD State or Area Office/Native American Programs Office

management review findings for one or more of its rental certificate,

rental voucher, or moderate rehabilitation programs, or, in the case of

an HA that is not currently administering a Rental Voucher, Rental

Certificate, or Moderate Rehabilitation Program, for its Public Housing

Program or Indian Housing Program.

(vi) The leasing rate for rental certificates and rental vouchers

under ACC for at least one year is less than 85 percent.

(vii) 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.

V. Other Matters

(A) Environmental Impact

At the time of the FY 1993 funding round for the Family Unification

Program, a Finding of No Significant Impact (FONSI) with respect to the

environment was made in accordance with the Department's regulations at

24 CFR part 50, which implement section 102(2)(C) of the National

Environmental Policy Act of 1969 (42 U.S.C. 4332). Because the Family

Unification Program remains substantially unchanged from the FY 1993

funding round, the FY 1993 FONSI is applicable to the FY 1994 funding

round, and is available for public inspection between 7:30 a.m. and

5:30 p.m. weekdays in the Office of the Rules Docket Clerk, Office of

General Counsel, Department of Housing and Urban Development, Room

10276, 451 Seventh Street, SW., Washington, DC 20410.

(B) Federalism Impact

The General Counsel, as the Designated Official under section 6(a)

of Executive Order 12612, Federalism, has determined that this NOFA

does not have substantial, direct effect on the States, on their

political subdivisions, or on the relationship between the Federal

government and the States, or on the distribution of power or

responsibilities among the various levels of government, because this

NOFA would not substantially alter the established roles of HUD, the

States and local governments, including HAs.

(C) Impact on the Family

The General Counsel, as the Designated Official under Executive

Order 12606, The Family, has determined that the policies contained in

these guidelines may have a significant impact on the maintenance and

general well-being of some families. The Family Unification Program can

be expected to provide additional decent and sanitary housing for very

low-income families with children who seek to maintain the family unit.

Since the impact on the family is considered beneficial, no further

review is necessary.

(D) Accountability in the Provision of HUD Assistance

HUD has promulgated a final rule to implement section 102 of the

Department of Housing and Urban Development Reform Act of 1989 (HUD

Reform Act). The final rule is codified at 24 CFR part 12. Section 102

contains 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 16, 1992, HUD published at

57 FR 1942, additional information that gave the public (including

applicants for, and recipients of, HUD assistance) further 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. 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 quarterly Federal

Register notice of all recipients of HUD assistance awarded on a

competitive basis. (See 24 CFR 12.14(a) and 12.16(b), and the notice

published in the Federal Register on January 16, 1992 (57 FR 1942), for

further information on these requirements.)

(2) Disclosures. HUD will make available to the public for five

years all applicant disclosure reports (HUD Form 2880) submitted in

connection with this NOFA. Update reports (also Form 2880) will be made

available along with the applicant disclosure reports, but in no case

for a period less than three years. All reports--both applicant

disclosures and updates--will be made available in accordance with the

Freedom of Information Act (5 U.S.C. 552) and HUD's implementing

regulations at 24 CFR part 15. (See 24 CFR subpart C, and the notice

published in the Federal Register on January 16, 1992 (57 FR 1942), for

further information on these disclosure requirements.)

(E) 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 a 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 subrecipients 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.

Indian Housing Authorities (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.

(F) Prohibition Against Lobbying of HUD Personnel

Section 13 of the Department of Housing and Urban Development Act

(42 U.S.C. 3537b) contains two provisions dealing with efforts to

influence HUD's decisions with respect to financial assistance. The

first imposes disclosure requirements on those who are typically

involved in these efforts--those who pay others to influence the award

of assistance or the taking of a management action by the Department

and those who are paid to provide the influence. The second restricts

the payment of fees to those who are paid to influence the award of HUD

assistance, if the fees are tied to the number of housing units

received or are based on the amount of assistance received, or if they

are contingent upon the receipt of assistance.

HUD's regulation implementing section 13 is codified at 24 CFR part

86. If readers are involved in any efforts to influence the Department

in these ways, they are urged to read the final rule, particularly the

examples contained in Appendix A of the rule. Appendix A to this rule

contains examples of activities covered by this rule. Any questions

concerning the rule should be directed to the Office of Ethics, Room

2158, Department of Housing and Urban Development, 451 Seventh Street,

SW, Washington DC 20410. Telephone: (202) 708-3815 (voice/TDD). This

not a toll-free number. Forms necessary for compliance with the rule

may be obtained from the local HUD office.

(G) Prohibition Against Advance Information on Funding Decisions

Section 103 of the HUD Reform Act proscribes the communication of

certain information by HUD employees to persons not authorized to

receive that information during the selection process for the award of

assistance. HUD's regulation implementing section 103 is codified at 24

CFR part 4, and was recently amended by an interim rule published in

the Federal Register on August 4, 1992 (57 FR 34246). In accordance

with the requirements of section 103, HUD employees involved in the

review of applications and in the making of funding decisions are

restrained by 24 CFR part 4 from providing advance information to any

person (other than an authorized employee of HUD) concerning funding

decisions, or from otherwise giving any applicant an unfair competitive

advantage. Persons who apply for assistance in this competition should

confine their inquiries to the subject areas permitted by 24 CFR part

4. Applicants who have questions should contact the HUD Office of

Ethics (202) 708-3815 (voice/TDD). (This is not a toll-free number.)

Dated: August 17, 1994.

Joseph Shuldiner,

Assistant Secretary for Public and Indian Housing.

[FR Doc. 94-21166 Filed 08-26-94; 8:45 am]

BILLING CODE 4210-33-P