Notice of Funding Availability, Family Unification Program, Fiscal Year 1998

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