29866 Federal Register / Vol. 63, No. 104 /June 1, 1998 / Notices

DEPARTMENT OF HOUSING AND

URBAN DEVELOPMENT

[Docket No. FR–4360–N–01]

Notice of Funding Availability, Family

Unification Program, Fiscal Year 1998

AGENCY: Office of Public and Indian

Housing, HUD.

ACTION: Notice of Funding Availability

(NOFA).

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 deliveryrelated 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 tollfree 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-ofhome 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
Federal Register / Vol. 63, No. 104 /June 1, 1998 / Notices 29867

certificate program of 500 units or less

as shown in the most recent HUDapproved 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-ofhome 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;
29868 Federal Register / Vol. 63, No. 104 /June 1, 1998 / Notices

(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 wellbeing 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-ofhome 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
Federal Register / Vol. 63, No. 104 /June 1, 1998 / Notices 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 AREAWIDE 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 nonminority 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
29870 Federal Register / Vol. 63, No. 104 /June 1, 1998 / Notices

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.
Federal Register / Vol. 63, No. 104 /June 1, 1998 / Notices 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
29872 Federal Register / Vol. 63, No. 104 /June 1, 1998 / Notices

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