[Federal Register Volume 59, Number 166 (Monday, August 29, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-21166]


[[Page Unknown]]

[Federal Register: August 29, 1994]


_______________________________________________________________________

Part III





Department of Housing and Urban Development





_______________________________________________________________________



Assistant Secretary for Public and Indian Housing



_______________________________________________________________________



Family Unification Program; Fund Availability for FY 1994; Notice
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

Office of the Assistant Secretary for Public and Indian Housing
[Docket No. N-94-3803; FR 3713-N-01]

 

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

AGENCY: Office of the Assistant Secretary for Public and Indian 
Housing, HUD.

ACTION: Notice of fund availability (NOFA) for fiscal year (FY) 1994 
for the Family Unification Program.

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

SUMMARY: This notice announces the availability of FY 94 budget 
authority for section 8 rental certificates under the Family 
Unification Program. Public housing agencies (PHAs) and Indian Housing 
Authorities (IHAs), herein referred to as housing agencies (HAs), are 
invited to submit applications for housing assistance. The purpose of 
the Family Unification program is to provide housing assistance to 
families for whom the lack of adequate housing is a primary factor in 
the separation, or imminent separation, of children from their 
families.
    As was the case in FY 93, participation in the Family Unification 
Program is limited to HAs in 16 States. The sixteen states are: 
California, Florida, Georgia, Illinois, Maryland, Massachusetts, 
Michigan, Minnesota, Missouri, New Jersey, New York, North Carolina, 
Ohio, Pennsylvania, Texas and Virginia.

DATES: The due date for submission of applications in response to this 
NOFA is October 13, 1994. Application forms may be obtained from the 
HUD State or Area Offices/Native American Programs Offices. 
Applications must be received in the HUD State or Area Offices/Native 
American Programs Office on the due date by 3:00 p.m. local time. The 
local HUD Offices are the official places of receipt for all 
applications.
    The above-stated application deadline for submission of completed 
applications to the HUD Offices is firm as to date and hour. In the 
interest of fairness to all competing HAs, HUD will treat as ineligible 
for consideration any application that is not received before the 
application deadline. Applicants should take this practice into account 
and make early submission of their materials to avoid any risk of loss 
of eligibility brought about by unanticipated delays or other delivery-
related problem(s). HUD will not accept applications sent via facsimile 
(FAX) transmission.

FURTHER INFORMATION CONTACT: Gerald J. Benoit, Director, Operations 
Branch, Rental Assistance Division, Office of Assisted Housing, 
Department of Housing and Urban Development, 451 Seventh Street, SW, 
Washington, DC 20410-8000, telephone number (202) 708-0477 (voice), or 
(202) 708-4594 (TDD). (These telephone numbers are not toll-free).

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act Statement

    The information collection requirements contained in this notice 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1980. OMB has approved the section 8 
information collection requirements under the assigned control number 
2577-0169.

I. Purpose and Substantive Description

(A) Authority

    Section 8(x) of the U.S. Housing Act of 1937, as added by section 
553 of the National Affordable Housing Act (Pub.L, 101-625, approved 
November 28, 1990); the VA, HUD-Independent Agencies Appropriations Act 
of 1992 (Pub.L. 102-139, approved October 28, 1991), and the VA, HUD-
Independent Agencies Act of 1993 (Pub. L. 102-389, approved October 6, 
1992). The regulations governing the section 8 rental certificate 
program are codified at 24 CFR part 882. This NOFA announces the 
availability of Family Unification funding under the VA, HUD-
Independent Agencies Appropriations Act of 1994 (Pub.L. 103- 124, 
approved October 28, 1993).

(B) Background

    The Family Unification Program is a program under which section 8 
rental assistance is provided to families for whom the lack of adequate 
housing is a primary factor which would result in:
    (1) The imminent placement of the family's child, or children, in 
out-of-home care, or
    (2) The delay in the discharge of the child, or children, to the 
family from out-of-home care.
    The purpose of the Family Unification Program is to promote family 
unification by providing rental assistance to families for whom the 
lack of adequate housing is a primary factor in the separation, or the 
threat of imminent separation, of children from their families.
    Certificates awarded under the Family Unification Program are to be 
administered by HAs under HUD's regulations for the section 8 rental 
certificate program (24 CFR part 882). The HA may issue a rental 
voucher to a family selected for participation in the Family 
Unification Program if the family requests a rental voucher and the HA 
has one available.

(C) Allocation Amounts

    This NOFA announces the availability of up to $77.5 million for the 
Family Unification Program which will support assistance for about 
2,200 families. Each HA may apply for funding for a maximum of 50 
units. The minimum funding amount is for 25 units. Any HA that is 
unwilling to accept less than the number of units for which it applied 
must state this in its cover letter to its application and state the 
minimum number it is willing to accept.
    The amounts allocated under this NOFA will be awarded under a 
national competition based on demonstrated need for such assistance and 
a lottery for selection from all approvable applications. The Family 
Unification Program is exempt from the fair share allocation 
requirements of section 213(d) of the Housing and Community Development 
Act of 1974, and from 24 CFR part 791, subpart D, the HUD regulation 
implementing section 213(d).

(D) Eligibility

    HAs in the following 16 States are invited by this notice to submit 
applications for rental certificates under this program: California, 
Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, 
Missouri, Minnesota, New Jersey, New York, North Carolina, Ohio, 
Pennsylvania, Texas, and Virginia.

(E) Family Self-Sufficiency Program

    Unless specifically exempted by HUD, any rental voucher or rental 
certificate funding reserved in FY 94 (except funding for renewals or 
amendments) will be used to establish the minimum size of a PHA's FSS 
program.

II. Application Process

(A) Program Guidelines

    (1) Definitions: For purposes of the Family Unification 
Demonstration Program:
    (a) Family Unification eligible family means a family that:
    (i) The public child welfare agency has certified is a family for 
whom the lack of adequate housing is a primary factor in the imminent 
placement of the family's child, or children, in out-of-home care, or 
in the delay of discharge of a child, or children, to the family from 
out-of-home care; and
    (ii) The HA has determined is eligible for section 8 rental 
assistance.
    (b) The lack of adequate housing means a situation in which a 
family:
    (i) Is living in substandard housing or homeless, as defined in 24 
CFR 882.219(f); or
    (ii) Is, or will be, involuntarily displaced from a housing unit 
because of actual or threatened violence against a family member under 
the circumstances described in 24 CFR 882.219(d)(2).
    (c) Public child welfare agency (PCWA) means the public agency that 
is responsible under applicable State or Tribal law for determining 
that a child is at imminent risk of placement in out-of-home care or 
that a child in out-of-home care under the supervision of the public 
agency may be returned to his or her family.
    (2) HA Responsibilities. HAs must:
    (a) Send a partial listing of the names of families on the section 
8 waiting list to the PCWA to determine if the families meet the Family 
Unification Program eligibility requirements described in Section II(A) 
of this NOFA. The HA will continue to send a list of family names to 
the PCWA until the number of families is equal to the number of rental 
certificates provided to the HA under the Family Unification Program. 
After the PCWA determines that the family meets the Family Unification 
Program eligibility requirements, the family shall be selected in 
accordance with HA admission policies.
    (b) Determine if families referred by the PCWA are eligible for 
Section 8 assistance and place eligible families on the section 8 
waiting list;
    (c) Amend the administrative plan in accordance with applicable 
program regulations and requirements;
    (d) Administer the rental assistance in accordance with applicable 
program regulations and requirements; and
    (e) Assure the quality of the evaluation that HUD intends to 
conduct on the Family Unification Program, and cooperate with and 
provide requested data to the HUD office responsible for program 
evaluation.
    The PCWA must certify that each participant is a Family Unification 
eligible family. The HA must review its waiting list to determine if 
there are any families already on its waiting list (including families 
in the PCWA caseload) who may be eligible for the Family Unification 
program. The names of Family Unification eligible families can be 
mutually shared between the HA and the PCWA. Families must be selected 
for the Family Unification Program after the PCWA determines they are 
eligible for the Family Unification Program and the HA determines they 
are eligible for the Section 8 program.
    (3) Public Child Welfare Agency (PCWA) Responsibilities. Public 
child welfare agencies must:
    (a) Establish and implement a system to identify Family Unification 
eligible families within the agency's caseload and reviewing referrals 
from the HA;
    (b) Provide written certification to the HA that a family qualifies 
as a Family Unification eligible family;
    (c) Commit sufficient staff resources to ensure that Family 
Unification eligible families are identified and certified in a timely 
manner; and
    (d) Cooperate with the evaluation that HUD intends to conduct on 
the Family Unification Program, and submit a certification with the 
HA's application for Family Unification funding that the PCWA will 
agree to cooperate with and provide requested data to the HUD office 
having responsibility for program evaluation.
    (4) Section 8 Rental Certificate Assistance. The Family Unification 
Program provides assistance under the Section 8 rental assistance 
programs. Although HUD is providing a special allocation of rental 
certificates, the HA may use both rental vouchers and certificates to 
assist families under this program.
    HAs must administer this program in accordance with HUD's 
regulations governing the Section 8 rental certificate and rental 
voucher programs. The HA may issue a rental voucher to a family 
selected to participate in the Family Unification Program if the family 
requests a rental voucher and the HA has one available. If Section 8 
assistance for a family under this program is terminated, the rental 
assistance must be reissued to another Family Unification eligible 
family during the five-year term of the ACC for the Section 8 rental 
certificates provided under this program.

(B) Threshold Criteria

    Each application submitted in response to the NOFA must receive, in 
order to be eligible for funding, at least 20 points for Threshold 
Criterion 1: HA Administrative Capability, and must meet or exceed the 
requirements for Threshold Criterion 2: Coordination between HA and 
Public Child Welfare Agency, and Threshold Criterion 3: Public Child 
Welfare Agency Statement of Need.
    (1) Threshold Criterion 1: HA Administrative Capability (40 
points).
    (a) Description: Overall HA administrative capability in the Rental 
Voucher, Rental Certificate, and Moderate Rehabilitation Programs is 
good. Administrative capability is evidenced by factors such as leasing 
rates and correct administration of housing quality standards (HQS), 
portability of rental vouchers and rental certificates, compliance with 
Fair Housing and Equal Opportunity program requirements, assistance 
payment computation, timely submission of budgets and financial 
statements, and covered administration of rent reasonableness 
requirements.
    For purposes of this NOFA, an HA administering a Rental Voucher, 
Rental Certificate, or Moderate Rehabilitation Program will not be 
rated on the administration of its Public or Indian Housing Program. If 
an HA is not administering a Rental Voucher, Rental Certificate, or 
Moderate Rehabilitation Program, HUD will rate HA administration of the 
Public or Indian Housing Program. If an HA is not administering a 
Rental Voucher, Rental Certificate, Moderate Rehabilitation, Public 
Housing or Indian Housing Program, HUD will assess the administrative 
capability of the HA based on such factors as experience of staff, 
support of the HA by the local government, and the HA's administrative 
experience with non-HUD housing programs.
    (b) Rating and Assessment:
    (i) HUD review of HA Operations:
     8 Points--Assign 8 points if HA has no review findings 
outstanding, or all review findings have been corrected, for HUD HA 
management reviews, Fair Housing & Equal Opportunity reviews, or 
Inspector General audits as of the deadline date for submission of 
applications under this NOFA.
     5 Points--Assign 5 points if HA has less than five review 
findings outstanding and all findings are being addressed.
     2 Points--Assign 2 points if HA has five or more review 
findings outstanding and all findings are being addressed.
     0 Points--Assign 0 points if HA has any review findings 
outstanding and the findings are not being addressed.
    (ii) Compliance with Section 8 Portability rules:
     8 Points--Assign 8 points if HA is in compliance with all 
provisions of the portability rules.
     5 Points--Assign 5 points if HA is in general compliance 
with portability rules, but has some minor compliance issues.
     2 Points--Assign 2 points if HA has some major compliance 
issues under portability which are being addressed.
     0 Points--Assign 0 points if HA is not in compliance with 
portability rules and issues are not being addressed.
    (iii) Housing Quality Standards (HQS) Inspections:
     8 Points--Assign 8 points if HA had more than 95 percent 
of its units pass HQS inspections by HUD at the last review or HUD is 
aware of actions taken by the HA to improve the number of units that 
pass HQS inspections to 95 percent or more.
     6 Points--Assign 6 points if HA had more than 90 percent 
of its units pass HQS inspections by HUD at the last review or HUD is 
aware of actions taken to improve the number of units that pass HQS 
inspections to 90 percent or more.
     4 Points--Assign 4 points if HA had more than 85 percent 
of its units pass HQS inspections by HUD at the last review or HUD is 
aware of actions taken to improve the number of units that pass HQS 
inspections to 85 percent or more.
     2 Points--Assign 2 points if HA had more than 80 percent 
of its units pass HQS inspections by HUD at the last review or HUD is 
aware of actions taken to improve the number of units that pass HQS 
inspections to 80 percent or more.
     0 Points--Assign 0 points if HA had 80 percent or less of 
its units pass HQS inspections by HUD at the last review and HUD is not 
aware of actions taken by the HA to improve the number of units that 
pass HQS inspections to 80 percent or more.
    (iv) Percentage of Units Leased as of September 30, 1993.
    HUD staff should use the percentage of units under ACC for a period 
of one year leased for the tenant-based rental assistance program 
administered by an HA. HUD may use a report on leasing for another 
period if the September 30, 1993, report is not reflective of HA 
performance.
     8 Points--Assign 8 points if HA had 98 percent or more of 
its rental certificates and rental vouchers under lease.
     6 Points--Assign 6 points if HA had 96 percent or more of 
its rental certificates and rental vouchers under lease.
     4 Points--Assign 4 points if HA had 94 percent or more of 
its rental certificates and rental vouchers under lease.
     2 Points--Assign 2 points if HA had 90 percent or more of 
its rental certificates and rental vouchers under lease.
     0 Points--Assign 0 points if HA had less than 90 percent 
of its rental certificates and rental vouchers under lease.
    (v) Timely Submission of HA Budget and Financial Statements to HUD.
     8 Points--Assign 8 points if the HA submitted both its 
most recent fiscal year Section 8 budget at least 30 days prior to the 
start of the HA fiscal year and its year-end Section 8 annual financial 
statements within the required 45 days of the end of the HA's fiscal 
year.
     4 Points--Assign 4 points if the HA submitted either its 
most recent fiscal year budget at least 30 days prior to the start of 
the HA's fiscal year or its year-end Section 8 annual financial 
statements within the required 45 days of the end of the HA fiscal 
year.
     0 Points--Assign 0 points if the HA is unable to document 
the timely submission of the budget and financial statements.
    (vi) Family Self-Sufficiency.
    The application must describe the efforts undertaken by the PHA to 
establish a Section 8 Family Self-Sufficiency (FSS) program including 
(1) submission to HUD of an Action Plan, and (2) creation of a Program 
Coordinating Committee. If an HA is not administering a Rental Voucher 
or Rental Certificate Program, the HUD State or Area Office will rate 
HA administration of the Public Housing FSS program, if applicable. All 
activities rated under this criterion must have been completed prior to 
the submission of an application under this NOFA. The score for HA 
administrative capability must be reduced if the HA received an FSS 
Incentive award of Section 8 funding in FY 1992 and the HA has failed 
to complete the required implementation steps as described below. Also, 
the score of an HA application must be reduced if the HA received 
funding in FY 1993 (unless the HUD State or Area Office granted a total 
exception to the FSS program requirement) and the HA has failed to 
complete the required implementation steps as described below. The HUD 
State or Area Office must deduct point values as shown below:
     10 point Deduction--Deduct 10 points if HA has failed to 
establish a Program Coordinating Committee and has failed to provide 
the names, duties and experience of all members (24 CFR 984.202(a) & 
(b)), and the HA has failed to submit an Action Plan to HUD within 90 
days of notification by HUD of approval of the PHA's application for 
units under the FY 91/92 FSS incentive award competition or HUD 
approval of the HA's first application, commencing in FY 93, for rental 
certificates or rental vouchers (24 CFR 984.201(c)(1)).
    (2) Threshold Criterion 2: Coordination Between HA and Public Child 
Welfare Agency to Identify and Assist Eligible Families.
    The application must describe the method that the HA and the public 
child welfare agency will use to identify and assist Family Unification 
eligible families. The application must include a letter of intent from 
the PCWA stating its commitment to provide resources and support for 
the program. The PCWA letter of intent and other information must be 
comprehensive and must include an explanation of the method used to 
identify eligible families, of the PCWA's certification process for 
determining Family Unification eligible families, of the 
responsibilities of each agency, of the PCWA assistance provided to 
families in locating housing units, of the PCWA staff resources 
committed to the program, of the past PCWA experience administering a 
similar program, and of the PCWA/HA cooperation in administering a 
similar program.
    (3) Threshold Criterion (3): Public Child Welfare Agency Statement 
of Need for Family Unification Program.
    The application must include a statement by the PCWA describing the 
need for a program providing assistance to families for whom lack of 
adequate housing is a primary factor in the placement of the family's 
children in out-of-home care, or in the delay of discharge of the 
children to the family from out-of-home care in the area to be served, 
as evidenced by the caseload of the public child welfare agency. The 
PCWA must adequately demonstrate that there is a need in the HA's 
jurisdiction for the Family Unification program which is not being met 
through existing programs. The narrative must include specific 
information relevant to the area to be served, about homelessness, 
family violence resulting in involuntary displacement, number and 
characteristics of families who are experiencing the placement of 
children in out-of-home care or the delayed discharge of children from 
out-of-home care as the result of inadequate housing, and the PCWA's 
past experience in obtaining housing through HUD assisted programs and 
other sources for families lacking adequate housing.

(C) Application Processing

    The HUD State or Area Office/Native American Programs Office is 
responsible for rating the applications, and HUD Headquarters is 
responsible for ranking and selection of applications (including 
applications rated by the Native American Programs Office) that will 
receive assistance under the Family Unification Program. The HUD State 
or Area Office/Native American Programs Office will initially screen 
all applications, using the ``Checklist for Application Requirements'' 
listed in Section IV(B) of this NOFA as a guide to determine if an 
application is complete. Technical deficiencies will be determined 
separately based on the application submission requirements (Section 
III of the NOFA).

(D) Selection Process

    After the HUD State or Area Office/Native American Programs Office 
has screened HA applications and disapproved any applications 
unacceptable for further processing (See Section III of this NOFA), the 
HUD State or Area Office/Native American Programs Office will review 
and rate all approvable applications, utilizing the Threshold Criteria 
and the point assignment listed in this NOFA. Each HUD State or Area 
Office/Native American Programs Office will send to HUD Headquarters 
information on each application that passes the Threshold Criteria, as 
follows:
    1. Name and address of the HA;
    2. Number of units requested in the Family Unification Application 
by bedroom size for each HA;
    3. Amount of average monthly tenant contributions by bedroom size 
for each HA;
    4. The amount of budget authority needed to fund the number of 
units requested and the minimum number of units and the corresponding 
budget authority acceptable to the HA;
    5. Name and address of the Public Child Welfare Agency; and
    6. State Office, Area Office, or Native American Programs Office 
contact person.
    Headquarters will select eligible HAs to be funded based on a 
lottery. All HAs identified by the HUD Offices as meeting the Threshold 
Criteria identified in the NOFA will be eligible for the lottery 
selection process. As HAs are selected, the costs of funding the 
applications will be counted against the total funds available for the 
Family Unification program.
    Applications will be funded in full for the number of units 
requested by the HA in accordance with the NOFA. However, when 
remaining rental certificate funds are insufficient to fund the last HA 
application in full, HUD Headquarters may fund that application to the 
extent of the funding available and the applicant's willingness to 
accept a reduced number of units. Applicants that do not wish to have 
the size of their programs reduced may indicate in their applications 
that they do not wish to be considered for a reduced award of funds. 
HUD Headquarters will skip over these applicants if assigning the 
remaining funding would result in a reduced funding level.

(E) Local Government Comments

    The HUD State or Area Office/Native American Programs Office will 
obtain section 213 comments, in accordance with 24 CFR part 791, 
subpart C, from the unit of general local government. Comments 
submitted by the unit of general local government must be considered 
before an application can be approved.
    For purposes of expediting the application process, the HA should 
encourage the chief executive officer of the unit of general local 
government to submit a letter with the HA application commenting on the 
HA application in accordance with Section 213. Since HUD cannot approve 
an application until the 30-day comment period is closed, the Section 
213 letter should not only comment on the application, but also state 
that HUD may consider the letter to be the final comments and that no 
additional comments will be forthcoming from the unit of general local 
government.

III. Checklist of Application Submission Requirements

(A) Application Requirements

    (1) Form HUD-52515. An Application for Existing Housing, Form HUD-
52515, must be completed in accordance with the rental certificate 
program regulations. Application and certification forms can be 
obtained from the HUD State or Area Office/Native American Programs 
Office.
    All the items in this Section III must be included in the 
application submitted to the HUD State or Area Office/Native American 
Programs Office. The application must include an explanation of how the 
application meets, or will meet, Threshold Criteria 1, 2 and 3.
    The application must include a letter of intent from the PCWA 
stating its commitment to provide resources and support for the Family 
Unification Program. The PCWA letter of intent must explain (i) the 
method used to identify eligible families, (ii) the process to certify 
eligible families, (iii) the PCWA assistance to families to locate 
suitable housing, (iv) the staff resources committed to the program, 
and (v) PCWA experience with the administration of similar programs 
including cooperation with an HA.
    The PCWA serving the jurisdiction of the HA is responsible for 
providing the information for Threshold Criterion 3, ``Need for Family 
Unification Program,'' to the HA for submission with the HA 
application. The application must include a statement by the PCWA 
describing the need for a Family Unification Program. This should 
include a discussion of the case-load of the PCWA and information about 
homelessness, family violence resulting in involuntary displacement, 
number and characteristics of families who are experiencing the 
placement of children in out-of-home care as a result of inadequate 
housing, and the PCWA's experience in obtaining housing through HUD 
assisted housing programs and other sources for families lacking 
adequate housing. A State-wide Public Child Welfare Agency must provide 
information on Selection Criterion 3 to all HAs that request data, 
otherwise, HUD will not consider applications from any HAs with the 
State-wide PCWA as a participant in its program. The HA must state in 
its cover letter to the application whether it will accept a reduction 
in the number of units and the minimum number of units it will accept 
since the funding is limited and HUD may only have enough funds to 
approve a smaller amount than the number of units requested.
    (2) Certification Regarding Drug-Free Workplace. The Drug-Free 
Workplace Act of 1988 requires grantees of Federal agencies to certify 
that they will provide a drug-free workplace. Thus, each HA must 
certify (even though it has done so previously) that it will comply 
with the drug-free workplace requirements in accordance with CFR part 
24, subpart F
    (3) Certification Regarding Lobbying. Section 319 of the Department 
of the Interior Appropriations Act, Public Law 101-121, approved 
October 23, 1989 (31 U.S.C. 1352) (the ``Byrd Amendment'') generally 
prohibits recipients of Federal contracts, grants, and loans from using 
appropriated funds for lobbying the Executive or Legislative Branches 
of the Federal Government in connection with a specific contract, 
grant, or loan.
    The Department's regulations on these restrictions on lobbying are 
codified at 24 CFR part 87. To comply with 24 CFR 87.110, any HA 
submitting an application under this announcement for more than 
$100,000 of budget authority must submit a certification and, if 
applicable, a Disclosure of Lobbying Activities (SF-LLL). IHAs 
established by an Indian tribe as a result of the exercise of the 
tribe's sovereign power are excluded from coverage of the Byrd 
Amendment, but IHAs established under State law are not excluded from 
the statute's coverage.
    (4) Evaluation Certifications. The HA and the PCWA in separate 
certifications must state that the HA and Public Child Welfare Agency 
agree to cooperate with HUD and provide requested data to the HUD 
office delegated the responsibility for the program evaluation. No 
specific language for this certification is prescribed by HUD.

(B) Checklist for Application Requirements

    The checklist for application requirements provided in this Section 
specifies the information that must be included in the application. HAs 
are encouraged to review the checklist to ensure that the application 
submitted is complete.

Checklist for Application Requirements

    The following checklist specifies the required information which 
must be submitted in the joint application. It is recommended, but not 
required, that the application contain a narrative explaining how the 
application meets the Threshold Criteria. 

                                          Initial Screening Checklist                                           
----------------------------------------------------------------------------------------------------------------
      Housing agency         HUD State or area office                                                           
-------------------------------------------------------                                                         
    Yes            No           Yes            No                                                               
----------------------------------------------------------------------------------------------------------------
{time} .....      {time}        {time}        {time}    The application contains a completed Form HUD 52515.    
{time} .....      {time}        {time}        {time}    The application specifies the number of rental          
                                                         certificates requested.                                
{time} .....      {time}        {time}        {time}    The application states by number of bedrooms the total  
                                                         number of units requested by the HA (e.g., one bedroom 
                                                         units, two bedroom units).                             
{time} .....      {time}        {time}        {time}    The application demonstrates that it is responsive to   
                                                         the condition of the housing stock in the community and
                                                         the housing assistance needs of low income families    
                                                         (including the elderly, handicapped, disabled, large   
                                                         families and those displaced) residing in or expected  
                                                         to reside in the community.                            
{time} .....      {time}        {time}        {time}    The application demonstrates that the applicant         
                                                         qualifies as a public housing agency and is legally    
                                                         qualified and authorized to participate in the rental  
                                                         assistance programs for the area in which the programs 
                                                         are to be carried out. Such demonstration includes: (i)
                                                         The relevant enabling legislation, (ii) any rules and  
                                                         regulations adopted or to be adopted by the agency to  
                                                         govern its operations, and (iii) a supporting opinion  
                                                         from the agency counsel. If such documents are         
                                                         currently on file in the State or Area Office/Native   
                                                         American Programs Office, they do not have to be       
                                                         resubmitted.                                           
{time} .....      {time}        {time}        {time}    The application includes a statement that the housing   
                                                         quality standards to be used in the operation of the   
                                                         program will be as set forth in 24 CFR 882.109 and/or  
                                                         24 CFR 887.251 or that variations in the Acceptability 
                                                         Criteria are proposed or have been approved by the     
                                                         State or Area Office/Native American Programs Office.  
                                                         In the latter case, each proposed variation shall be   
                                                         specified and justified.                               
----------------------------------------------------------------------------------------------------------------


----------------------------------------------------------------------------------------------------------------
      Housing agency               Field office                                                                 
-------------------------------------------------------                                                         
    Yes            No           Yes            No                                                               
----------------------------------------------------------------------------------------------------------------
{time} .....      {time}        {time}        {time}    The application contains the HA schedule of leasing,    
                                                         which must provide for the expeditious leasing of units
                                                         in the program. In developing the schedule, an HA must 
                                                         specify the number of units in the program that are    
                                                         expected to be leased at the end of each three-month   
                                                         interval. The schedule must project lease-up by        
                                                         eligible families within twelve months or sooner after 
                                                         execution of the ACC by HUD.                           
{time} .....      {time}        {time}        {time}    The application contains estimates of the average       
                                                         adjusted income for prospective participants for each  
                                                         bedroom size.                                          
----------------------------------------------------------------------------------------------------------------


----------------------------------------------------------------------------------------------------------------
            HA                         HUD                                                                      
-------------------------------------------------------                                                         
    Yes            No           Yes            No                                                               
----------------------------------------------------------------------------------------------------------------
{time} .....      {time}        {time}        {time}    The application contains a narrative explaining how the 
                                                         application meets Threshold Criterion 2, Coordination  
                                                         Between HA and Public Child Welfare Agency to Identify 
                                                         and Assist Eligible Families.                          
{time} .....      {time}        {time}        {time}    The application contains the Public Child Welfare Agency
                                                         Statement of Need for Family Unification Demonstration 
                                                         Program, Threshold Criterion 3.                        
{time} .....      {time}        {time}        {time}    The application contains an evaluation certification    
                                                         from the HA and from the PCWA.                         
----------------------------------------------------------------------------------------------------------------


   Requirement for Drug-Free Workplace Certification, and Anti-Lobbying Certification and Disclosure Statement  
----------------------------------------------------------------------------------------------------------------
      Housing agency               Field office                                                                 
-------------------------------------------------------                                                         
    Yes            No           Yes            No                                                               
----------------------------------------------------------------------------------------------------------------
{time} .....      {time}        {time}        {time}    The application meets HUD's drug-free workplace         
                                                         requirements set out at 24 CFR part 24, subpart F. (The
                                                         application contains an executed Certification for a   
                                                         Drug-Free Workplace.)                                  
{time} .....      {time}        {time}        {time}    The application meets HUD's regulations regarding anti- 
                                                         lobbying set out at 24 CFR 87. The anti-lobbying       
                                                         requirements apply to applications that, if approved,  
                                                         would result in the HA obtaining more than $100,000 in 
                                                         budget authority. The Department has determined that   
                                                         IHAs established by an Indian tribe as a result of the 
                                                         exercise of their sovereign power are excluded from    
                                                         coverage, but IHAs established under State law are not 
                                                         excluded from coverage. To comply, HAs must submit an  
                                                         Anti-lobbying Certification and, if warranted, a       
                                                         Disclosure of Lobbying Activities.                     
----------------------------------------------------------------------------------------------------------------

IV. Corrections to Deficient Applications

(1) Acceptable Applications

    (a) To be eligible for processing, an application must be received 
by the HUD Office no later than the application submission deadline 
date and time specified in this notice. The HUD Office will screen all 
applications and notify HAs of technical deficiencies by letter. 
Allowable corrections relate only to technical items, as determined by 
HUD, which do not improve the substantive quality of the application 
relative to the threshold criteria.
    All HAs must submit corrections within 14 calendar days from the 
date of HUD's letter notifying the applicant of any technical 
deficiency. Information received after 3 p.m. local time on the 
fourteenth calendar day of the correction period will not be accepted 
and the application will be rejected as being incomplete.
    All HAs are encouraged to review the ``Checklist for Application 
Requirements'' provided in Section III of this NOFA. The checklist 
identifies all the requirements needed for application processing. An 
HA application that does not comply with the requirements of 24 CFR 
882.204(a) and this notice, including the drug-free workplace 
certification and the anti-lobbying certification disclosure 
requirements, after the 14-day technical deficiency correction period, 
will be rejected.

(2) Unacceptable Applications

    (a) After the 14-calendar day technical deficiency correction 
period, if any, HUD will disapprove HA applications that it determines 
are not acceptable for processing. The HUD notification of rejection 
letter must state the basis for the decision.
    (b) Applications that fall into any of the following categories 
will not be processed:
    (i) The Department of Justice has brought a civil rights suit 
against the applicant HA and the suit is pending;
    (ii) There has been an adjudication of a civil rights violation in 
a civil action brought against the HA by a private individual, unless 
the HA is operating in compliance with a court order, or implementing a 
HUD approved resident selection and assignment plan or compliance 
agreement designed to correct the areas of noncompliance.
    (iii) There are outstanding findings of noncompliance with civil 
rights statutes, Executive Orders, or regulations as a result of formal 
administrative proceedings, or the Secretary has issued a charge 
against the applicant under the Fair Housing Act, unless the applicant 
is operating under a conciliation or compliance agreement designed to 
correct the areas of noncompliance;
    (iv) HUD has deferred application processing by HUD under Title VI 
of the Civil Rights Act of 1964, the Attorney General's Guidelines (28 
CFR 50.3) and the HUD Title VI regulations (24 CFR 1.8), or under 
section 504 of the Rehabilitation Act of 1973 and the HUD section 504 
regulations (24 CFR 8.57).
    (v) The HA has serious, unaddressed, outstanding Inspector General 
audit findings or fair housing and equal opportunity monitoring review 
findings or HUD State or Area Office/Native American Programs Office 
management review findings for one or more of its rental certificate, 
rental voucher, or moderate rehabilitation programs, or, in the case of 
an HA that is not currently administering a Rental Voucher, Rental 
Certificate, or Moderate Rehabilitation Program, for its Public Housing 
Program or Indian Housing Program.
    (vi) The leasing rate for rental certificates and rental vouchers 
under ACC for at least one year is less than 85 percent.
    (vii) The HA is involved in litigation and HUD determines that the 
litigation may seriously impede the ability of the HA to administer an 
additional increment of rental vouchers or rental certificates.

V. Other Matters

(A) Environmental Impact

    At the time of the FY 1993 funding round for the Family Unification 
Program, a Finding of No Significant Impact (FONSI) with respect to the 
environment was made in accordance with the Department's regulations at 
24 CFR part 50, which implement section 102(2)(C) of the National 
Environmental Policy Act of 1969 (42 U.S.C. 4332). Because the Family 
Unification Program remains substantially unchanged from the FY 1993 
funding round, the FY 1993 FONSI is applicable to the FY 1994 funding 
round, and is available for public inspection between 7:30 a.m. and 
5:30 p.m. weekdays in the Office of the Rules Docket Clerk, Office of 
General Counsel, Department of Housing and Urban Development, Room 
10276, 451 Seventh Street, SW., Washington, DC 20410.

(B) Federalism Impact

    The General Counsel, as the Designated Official under section 6(a) 
of Executive Order 12612, Federalism, has determined that this NOFA 
does not have substantial, direct effect on the States, on their 
political subdivisions, or on the relationship between the Federal 
government and the States, or on the distribution of power or 
responsibilities among the various levels of government, because this 
NOFA would not substantially alter the established roles of HUD, the 
States and local governments, including HAs.

(C) Impact on the Family

    The General Counsel, as the Designated Official under Executive 
Order 12606, The Family, has determined that the policies contained in 
these guidelines may have a significant impact on the maintenance and 
general well-being of some families. The Family Unification Program can 
be expected to provide additional decent and sanitary housing for very 
low-income families with children who seek to maintain the family unit. 
Since the impact on the family is considered beneficial, no further 
review is necessary.

(D) Accountability in the Provision of HUD Assistance

    HUD has promulgated a final rule to implement section 102 of the 
Department of Housing and Urban Development Reform Act of 1989 (HUD 
Reform Act). The final rule is codified at 24 CFR part 12. Section 102 
contains a number of provisions that are designed to ensure greater 
accountability and integrity in the provision of certain types of 
assistance administered by HUD. On January 16, 1992, HUD published at 
57 FR 1942, additional information that gave the public (including 
applicants for, and recipients of, HUD assistance) further information 
on the implementation of section 102. The documentation, public access, 
and disclosure requirements of section 102 are applicable to assistance 
awarded under this NOFA as follows:
    (1) Documentation and Public Access. HUD will ensure that 
documentation and other information regarding each application 
submitted pursuant to this NOFA are sufficient to indicate the basis 
upon which assistance was provided or denied. This material, including 
any letters of support, will be made available for public inspection 
for a five-year period beginning not less than 30 days after the award 
of the assistance. Material will be made available in accordance with 
the Freedom of Information Act (5 U.S.C. 552) and HUD's implementing 
regulations at 24 CFR part 15. In addition, HUD will include the 
recipients of assistance pursuant to this NOFA in its quarterly Federal 
Register notice of all recipients of HUD assistance awarded on a 
competitive basis. (See 24 CFR 12.14(a) and 12.16(b), and the notice 
published in the Federal Register on January 16, 1992 (57 FR 1942), for 
further information on these requirements.)
    (2) Disclosures. HUD will make available to the public for five 
years all applicant disclosure reports (HUD Form 2880) submitted in 
connection with this NOFA. Update reports (also Form 2880) will be made 
available along with the applicant disclosure reports, but in no case 
for a period less than three years. All reports--both applicant 
disclosures and updates--will be made available in accordance with the 
Freedom of Information Act (5 U.S.C. 552) and HUD's implementing 
regulations at 24 CFR part 15. (See 24 CFR subpart C, and the notice 
published in the Federal Register on January 16, 1992 (57 FR 1942), for 
further information on these disclosure requirements.)

(E) Prohibition Against Lobbying Activities

    The use of funds awarded under this NOFA is subject to the 
disclosure requirements and prohibitions of section 319 of the 
Department of Interior and Related Agencies Appropriations Act for 
Fiscal Year 1990 (31 U.S.C. 1352) (the ``Byrd Amendment'') and the 
implementing regulations at 24 CFR part 87. These authorities prohibit 
recipients of Federal contracts, grants, or loans from using 
appropriated funds for lobbying the Executive or Legislative Branches 
of the Federal Government in connection with a specific contract, 
grant, or loan. The prohibition also covers the awarding of contracts, 
grants, cooperative agreements, or loans unless the recipient has made 
an acceptable certification regarding lobbying. Under 24 CFR part 87, 
applicants, recipients, and subrecipients of assistance exceeding 
$100,000 must certify that no Federal funds have been or will be spent 
on lobbying activities in connection with the assistance.
    Indian Housing Authorities (IHAs) established by an Indian tribe as 
a result of the exercise of the tribe's sovereign power are excluded 
from coverage of the Byrd Amendment, but IHAs established under State 
law are not excluded from the statute's coverage.

(F) Prohibition Against Lobbying of HUD Personnel

    Section 13 of the Department of Housing and Urban Development Act 
(42 U.S.C. 3537b) contains two provisions dealing with efforts to 
influence HUD's decisions with respect to financial assistance. The 
first imposes disclosure requirements on those who are typically 
involved in these efforts--those who pay others to influence the award 
of assistance or the taking of a management action by the Department 
and those who are paid to provide the influence. The second restricts 
the payment of fees to those who are paid to influence the award of HUD 
assistance, if the fees are tied to the number of housing units 
received or are based on the amount of assistance received, or if they 
are contingent upon the receipt of assistance.
    HUD's regulation implementing section 13 is codified at 24 CFR part 
86. If readers are involved in any efforts to influence the Department 
in these ways, they are urged to read the final rule, particularly the 
examples contained in Appendix A of the rule. Appendix A to this rule 
contains examples of activities covered by this rule. Any questions 
concerning the rule should be directed to the Office of Ethics, Room 
2158, Department of Housing and Urban Development, 451 Seventh Street, 
SW, Washington DC 20410. Telephone: (202) 708-3815 (voice/TDD). This 
not a toll-free number. Forms necessary for compliance with the rule 
may be obtained from the local HUD office.

(G) Prohibition Against Advance Information on Funding Decisions

    Section 103 of the HUD Reform Act proscribes the communication of 
certain information by HUD employees to persons not authorized to 
receive that information during the selection process for the award of 
assistance. HUD's regulation implementing section 103 is codified at 24 
CFR part 4, and was recently amended by an interim rule published in 
the Federal Register on August 4, 1992 (57 FR 34246). In accordance 
with the requirements of section 103, HUD employees involved in the 
review of applications and in the making of funding decisions are 
restrained by 24 CFR part 4 from providing advance information to any 
person (other than an authorized employee of HUD) concerning funding 
decisions, or from otherwise giving any applicant an unfair competitive 
advantage. Persons who apply for assistance in this competition should 
confine their inquiries to the subject areas permitted by 24 CFR part 
4. Applicants who have questions should contact the HUD Office of 
Ethics (202) 708-3815 (voice/TDD). (This is not a toll-free number.)

    Dated: August 17, 1994.
Joseph Shuldiner,
Assistant Secretary for Public and Indian Housing.
[FR Doc. 94-21166 Filed 08-26-94; 8:45 am]
BILLING CODE 4210-33-P