[Federal Register Volume 67, Number 36 (Friday, February 22, 2002)]
[Notices]
[Pages 8428-8440]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-4215]
[[Page 8427]]
-----------------------------------------------------------------------
Part V
Department of Housing and Urban Development
-----------------------------------------------------------------------
Notice of Funding Availability (NOFA); Fair Share Allocation of
Incremental Voucher Funding, Fiscal Year 2002; Notice
Federal Register / Vol. 67, No. 36 / Friday, February 22, 2002 /
Notices
[[Page 8428]]
-----------------------------------------------------------------------
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4726-N-01]
Notice of Funding Availability (NOFA); Fair Share Allocation of
Incremental Voucher Funding, Fiscal Year 2002
AGENCY: Office of the Assistant Secretary for Public and Indian
Housing, HUD.
ACTION: Notice of funding availability.
-----------------------------------------------------------------------
SUMMARY: Purpose of the NOFA. The purpose of this NOFA is to invite
public housing agencies (PHAs) to apply for vouchers on a fair share
allocation basis under the Housing Choice Voucher Program. The vouchers
are for issuance to families on a PHA's housing choice voucher waiting
list to enable these families to access decent, safe, and affordable
housing of their choice on the private rental market.
Available Funds. Approximately $103,979,000 in one-year budget
authority for approximately 18,000 housing choice vouchers. Prior to
the funding of any new applications under this NOFA for FY 2002,
$8,881,265 of this budget authority will be used to fund 1,540 vouchers
for 13 PHAs that were erroneously omitted from the selection process
under the FY 2001 Fair Share NOFA. See section II(C)(3) of this NOFA
regarding the specific PHAs, dollar amounts and corresponding number of
vouchers that each of the 13 PHAs will receive. This will leave
$95,097,735 in one-year budget authority available for the funding of
approximately 16,460 vouchers for applications submitted in FY 2002
under this NOFA. Also, see the note at the bottom of Appendix A of this
NOFA which fully addresses deductions from funding for allocation areas
in order to fund these 13 previously unfunded PHAs.
Eligible Applicants. Public housing agencies (PHAs). PHAs that fall
into any of the categories in section VII(B)(2) of this NOFA are
ineligible to have an application funded under this NOFA. Indian
Housing Authorities (IHA), Indian tribes and their tribally designated
housing entities are not eligible applicants. The Native American
Housing Assistance and Self-Determination Act of 1996 does not allow
HUD to enter into new housing choice voucher annual contributions
contracts (ACC) with IHAs after September 30, 1997.
Application Due Date. March 25, 2002.
Match. None.
Additional Information
If you are interested in applying for funding under this NOFA,
please read the balance of this NOFA which will provide you with
detailed information regarding the submission of an application,
Housing Choice Voucher Program requirements, the application selection
process to be used by HUD in selecting applications for funding, and
other valuable information relative to a PHA's application submission
and participation in the program covered by this NOFA.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application (an original and
one copy) is due on or before March 25, 2002, at the address shown
below. This application deadline is firm. In the interest of fairness
to all competing PHAs, HUD will not consider any application that is
received after the application deadline. Applicants should take this
practice into account and make early submission of their materials to
avoid any risk of loss of eligibility brought about by unanticipated
delays or other delivery-related problems. HUD will not accept, at any
time during the NOFA competition, application materials sent via
facsimile (FAX) transmission.
Address for Submitting Applications. Submit your original
application and one copy to Michael E. Diggs, Director of the Grants
Management Center, Department of Housing and Urban Development, 501
School Street, SW., Suite 800, Washington, DC 20024.
The Grants Management Center (GMC) is the official place of receipt
for all applications in response to this NOFA. Applications not
submitted to the GMC will not be considered. A copy of the application
is not required to be submitted to the local HUD Field Office. For ease
of reference, the term ``local HUD Field Office'' will be used in this
NOFA to mean the local HUD Field Office Hub and local HUD Field Office
Program Center.
New Security Procedures. In response to the terrorist attacks in
September 2001, HUD has implemented new security procedures that impact
on application submission procedures. Please read the following
instructions carefully and completely. HUD will not accept hand
delivered applications. Applications may be mailed using the United
States Postal Service (USPS) or may be shipped via the following
delivery services: United Parcel Service (UPS), FedEx, DHL, or Falcon
Carrier. No other delivery services are permitted into HUD Headquarters
without escort. You must, therefore, use one of the four carriers
listed above.
Mailed Applications. Your application will be considered timely
filed if postmarked on or before 12:00 midnight on the application due
date and received by the GMC within fifteen (15) days of the
application due date. All applicants must obtain and save a Certificate
of Mailing showing the date when you submitted your application to the
USPS. The Certificate of Mailing will be your documentary evidence that
your application was timely filed.
Applications Sent By Overnight/Express Mail Delivery. If you
application is sent by overnight delivery or express mail, your
application will be timely filed if it is received by the GMC before or
on the application due date, or when you submit documentary evidence
that your application was placed in transit with the overnight
delivery/express mail service by no later than the application due
date. Due to new security measures, you must use one of four carrier
services that do business with HUD Headquarters regularly. These
services are UPS, DHL, FedEx, and Falcon Carrier. Delivery by these
services must be made during HUD's Headquarters business hours, between
8:30 AM and 5:30 PM, Eastern Time, Monday to Friday. If these companies
do not service your area, you should submit your application via the
SUPS.
Application Kit Not Required. An application kit is not available
and is not necessary for submitting an application for funding under
this NOFA. This NOFA contains all of the information necessary for the
submission of an application for voucher funding in connection with
this NOFA.
For Further Information and Technical Assistance. Prior to the
application due date, you may contact George C. Hendrickson, Housing
Program Specialist, Room 4216, Office of Public and Assisted Housing
Delivery, Department of Housing and Urban Development, Room 4216, 451
Seventh Street, SW., Washington, DC 20410; telephone (202) 708-1872,
ext. 4064. Subsequent to application submission, you may contact the
Grants Management Center at (202) 358-0221. (These are not toll-free
numbers.) Persons with hearing or speech impairments may access these
numbers via TTY (text telephone) by calling the Federal Information
Relay Service at 1-800-877-8339 (this is a toll-free number).
[[Page 8429]]
II. Authority, Purpose, Fair Share Allocation Amount, Voucher
Funding, and Eligibility
(A) Authority
Authority for the approximately $103,979,000 in one-year budget
authority for housing choice vouchers for low-income families is found
in the Departments of Veterans Affairs and Housing and Urban
Development, and Independent Agencies Appropriations Act, FY 2002 (Pub.
L. 107-73, approved November 26, 2001), referred to as the FY 2002 HUD
Appropriations Act. The allocation of housing assistance budget
authority for housing choice vouchers, by allocation area based on fair
share factors, is pursuant to the provisions of 24 CFR part 791,
subpart D, implementing section 213(d) of the Housing and Community
Development Act of 1974, as amended.
(B) Purpose
The purpose of the housing choice voucher funding being made
available under this NOFA is to provide housing assistance to very low-
income families to enable them to access decent, safe, and affordable
housing of their choice on the private market.
(C) Fair Share Allocation Amount
This NOFA announces the availability of approximately $103,979,000
in one-year budget authority for a fair share formula allocation that
will provide housing assistance to approximately 18,000 very low-income
families. From this funding, $8,881,265 for 1,540 vouchers for 13 PHAs
will first be used to correct a HUD error resulting in the funding
selection omission of these 13 PHAs under the FY 2001 Fair Share NOFA.
(See section II(C)(3), Unfunded Corrections.)
(1) Fair Share Allocation For Each Allocation Area. Appendix A of
this NOFA lists the allocation of housing assistance budget authority
for vouchers for each allocation area, based on fair share factors.
Appendix A also provides an estimate of the total number of vouchers
that could be funded from the housing assistance available for each
allocation area based on the weighted local average costs of voucher
assistance for a two-bedroom unit. The actual number of units assisted
within each allocation area will vary from the estimates prepared by
Headquarters since the actual costs of voucher assistance for each PHA
vary from the average.
(2) Potential additional funding. If additional voucher funding
becomes available for fair share use during FY 2002, HUD plans to
distribute any additional funding to allocation areas using the same
percentage distribution as reflected in Appendix A to this NOFA. Any
additional funding will be used under the competitive requirements of
this NOFA to fund PHA applications which were approvable but not
funded, or approved and funded at less than 100 percent of the
requested amount for which the PHA was eligible under this NOFA.
(3) Unfunded Corrections. Prior to the issuance of this NOFA, HUD
determined that 13 PHA applicants under the FY 2001 Fair Share NOFA
were not funded due to an error on the part of HUD. Funding in the
amount of $8,881,265 will be subtracted from the Fair Share funding
available under this NOFA to fund these 13 PHAs as follows: County of
Merced, California Housing Authority--$2,385,412 for 532 vouchers;
Sonoma County, California Housing Authority--$1,847,490 for 260
vouchers; Fort Collins, Colorado Housing Authority--$524,170 for 65
vouchers; Plant City, Florida Housing Authority--$71,195 for 15
vouchers; City of Stuart, Florida Housing Authority--$71,156 for 15
vouchers; County of DeKalb, Georgia Housing Authority--$1,303,604 for
197 vouchers; Scott, Minnesota Housing Authority--$285,765 for 48
vouchers; Camden, New Jersey Housing Authority--$1,377,456 for 200
vouchers; Village of Kiryas Joel, New York Housing Authority--$415,614
for 50 vouchers; Fargo, North Dakota Housing and Redevelopment Agency--
$165,079 for 44 vouchers; Beaver City, Utah Housing Authority--$27,836
for 4 vouchers; Vermont State Housing Authority--$194,492 for 45
vouchers; and Winnebago County, Wisconsin Housing Authority--$211,996
for 65 vouchers.
(D) Voucher Funding
(1) Determination of Funding Amount for the PHA's Requested Number
of Vouchers. HUD will determine the amount of funding that a PHA will
be awarded under this NOFA based upon an actual annual per unit cost,
as provided by the Office of Public and Indian Housing's Section 8
Finance Division {except for Moving to Work (MTW) agencies the per unit
cost will be calculated in accordance with the agency's MTW Agreement,
using the following two step process (as may be modified based upon a
percentage of annual per unit cost if necessary to produce the
approximately 18,000 vouchers provided for under this NOFA):
(a) HUD will extract the total expenditures for all the PHA's
housing choice voucher and certificate programs and the unit months
leased information from the most recent approved year end statement
(form HUD-52681) that the PHA has filed with HUD. HUD will divide the
total expenditures for all of the PHA's housing choice voucher and
certificate programs by the unit months leased to derive an average
monthly per unit cost.
(b) HUD will multiply the monthly per unit cost by 12 (months) to
obtain an annual per unit cost.
(E) Eligible Applicants
Any PHA currently administering the Housing Choice Voucher Program
under an annual contributions contract (ACC) with HUD for at least one
full year prior to the application deadline date shall be eligible to
apply for funding under this NOFA. Any such PHA; however, falling into
one or more of the categories in section VII(B)(2) of this NOFA, is
ineligible to have an application funded under this NOFA.
A PHA may submit only one application under this NOFA. This one
application per PHA limit applies regardless of whether or not the PHA
is a State or regional PHA, except in those instances where such a PHA
has more than one PHA code number due to its operating under the
jurisdiction of more than one HUD Field Office. In such an instance, a
separate application under each code shall be considered for funding,
with the cumulative total of vouchers applied for under the
applications not to exceed the maximum number of vouchers the PHA is
eligible to apply for under section V(A) of this NOFA; i.e., no more
than the number of vouchers the same PHA would be eligible to apply for
if it only had one PHA code number.
A contract administrator which does not have an annual
contributions contract (ACC) with HUD for housing choice vouchers, but
which constitutes a PHA under 24 CFR 791.102 by reason of its
administering housing choice tenant-based assistance on behalf of
another PHA on October 21, 1998, shall not be eligible to submit an
application under this NOFA.
Indian Housing Authorities (IHA), Indian tribes and their tribally
designated housing entities are not eligible to apply because the
Native American Housing Assistance and Self-Determination Act of 1996
does not allow HUD to enter into new housing choice voucher annual
contributions contracts (ACC) with IHAs after September 30, 1997.
In some cases a PHA currently administering the housing choice
voucher program has, at the time of
[[Page 8430]]
publication of this NOFA, been designated by HUD as a troubled PHA
under the Section 8 Management Assessment Program (SEMAP), or has major
program management findings from Inspector General audits that are
unresolved. HUD will not accept an application from such a PHA as a
contract administrator if, on the application due date, the troubled
PHA designation has not been removed by HUD, or the findings are not
resolved. If the PHA wants to apply for funding under this NOFA, the
PHA must submit an application that designates another contractor that
is acceptable to HUD. The PHA's application must include an agreement
by the other contractor to administer the new funding increment on
behalf of the PHA, and (in the instance of a PHA with unresolved major
program management findings) a statement that outlines the steps the
PHA is taking to resolve the program findings.
Immediately after the publication of this NOFA, the local HUD Field
Office will notify, in writing, those PHAs that have been designated by
HUD as troubled under SEMAP, and those PHAs with unresolved major
program management findings that are not eligible to apply without such
an agreement. Concurrently, the local HUD Field Office will provide a
copy of each such written notification to the Director of the GMC. The
PHA may appeal the decision, in writing, if HUD has mistakenly
classified the PHA as having unresolved major program management
findings. The PHA may not appeal its designation as a troubled PHA
under SEMAP. Any appeal with respect to unresolved major program
management findings 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. The appeal
should be submitted to the local HUD Field Office where a final
determination shall be made. Concurrently, the local HUD Field Office
shall provide the GMC with a copy of the PHA's written appeal and the
Field Office's written response to the appeal. Major program management
findings are those that would cast doubt on the capacity of the PHA to
effectively administer any new housing choice voucher funding in
accordance with applicable HUD regulatory and statutory requirements.
(F) Eligible Participants
Information on those families and individuals eligible to receive a
voucher is located at the following HUD Web site: www.hud.gov/offices/pih/programs/hcv.
III. General Program Requirements
(A) General Program 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 systemic
violation of the Fair Housing Act by the Secretary alleging ongoing
discrimination; (b) is the defendant in a Fair Housing Act lawsuit
filed by the Department of Justice alleging an ongoing pattern or
practice of discrimination; or (c) has received a letter of
noncompliance findings under Title VI of the Civil Rights Act of 1964,
section 504 of the Rehabilitation Act of 1973, or section 109 of the
Housing and Community Development Act of 1974, the applicant's
application will not be evaluated under this NOFA if, prior to the
application deadline, the charge, lawsuit, or letter of findings has
not been resolved to the satisfaction of the Department. HUD's decision
regarding whether a charge, lawsuit, or letter of findings has been
satisfactorily resolved will be based upon whether appropriate actions
have been taken to address allegations of ongoing discrimination in the
policies or practices involved in the charge, lawsuit, or letter of
findings.
(2) Additional Nondiscrimination Requirements In addition to
compliance with the civil rights requirements listed at 24 CFR
5.105(a), 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.), Title IX of the Education Amendments Act of 1972,
and the Americans with Disabilities Act of 1990 (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) Examine the PHA's own programs or proposed programs, including
an identification of any impediments to fair housing (identified in the
jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice--in
its Consolidated Plan); in a reasonable fashion in view of the
resources available, and the work to be done in connection with the
local jurisdiction's initiatives to affirmatively further fair housing
that requires the PHA's involvement, as well as maintaining records
reflecting these analyses and actions; develop a plan to (i) address
those impediments in a reasonable fashion in view of the resources
available; (ii) work with local jurisdictions to implement any of the
jurisdiction's initiatives to affirmatively further fair housing; and
(iii) maintain records reflecting this analysis and actions.
(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 responses under this NOFA to address
affirmatively furthering fair housing.
(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) Increasing the Participation of Faith-Based and Community-Based
Organizations in HUD Program Implementation. HUD believes that
grassroots organizations; e.g., civic organizations, congregations and
other community-based and faith-based organizations, have not been
effectively utilized. These grassroots organizations have a strong
history of providing vital community services such as assisting the
homeless and preventing homelessness; counseling individuals and
families on fair housing rights; providing elderly housing
opportunities; developing first time homeownership programs; increasing
homeownership and rental housing opportunities; developing affordable
and accessible housing in neighborhoods across the country; and
creating economic development programs. The goal of this policy
priority is to make HUD's housing choice voucher program more
effective, efficient, and accessible by expanding opportunities for
faith-based and community-based organizations to participate in
developing solutions for their own neighborhoods. PHAs are encouraged
to coordinate with and otherwise involve faith-based and other
community-based organizations in those activities under the housing
choice voucher program where their services, expertise and knowledge
may be most effective.
[[Page 8431]]
(6) Conducting Business In Accordance With Core Values and Ethical
Standards. To reflect core values, all applicants shall develop and
maintain a written code of conduct in the PHA administrative plan that
(1) requires compliance with the conflict of interest requirements of
the Housing Choice Voucher Program at 24 CFR 982.161, and (2) prohibits
the solicitation or acceptance of gifts or gratuities, in excess of a
nominal value, by any officer or employee of the PHA, or any
contractor, subcontractor or agent of the PHA. The PHA's administrative
plan shall state PHA policies concerning PHA administrative and
disciplinary remedies for violation of the PHA code of conduct. The PHA
should inform all officers, employees and agents of its organization of
the PHA's code of conduct.
(B) PHA Responsibilities and Housing Assistance Requirements
(1) Housing Choice Voucher Regulations. PHAs must administer the
housing choice vouchers received under this NOFA in accordance with HUD
regulations at 24 CFR part 982 governing the Housing Choice Voucher
Program.
(2) Housing Choice Voucher Program Admission Requirements. Housing
choice voucher assistance must be provided to eligible applicants in
conformity with regulations and requirements governing the Housing
Choice Voucher Program and the PHA's administrative plan.
(3) Turnover. When a voucher under this NOFA becomes available for
reissue (e.g., the family initially selected for the program drops out
of the program or is unsuccessful in the search for a unit), the
voucher may be used only for the next eligible family on the PHA's
housing choice voucher waiting list.
(4) Vouchers for Disabled Families. In those instances where the
PHA indicated in its application (in connection with Selection
Criterion 4 and/or Selection Criterion 5 of this NOFA) that it would
use a specified percentage of its vouchers awarded under the NOFA
solely for disabled families, that specified percentage of vouchers
must be used for disabled families for not less than one year from the
date the rental assistance is placed under an annual contributions
contract (ACC). If there is an insufficient pool of disabled families
on the PHA's housing choice voucher waiting list, the PHA shall conduct
outreach to encourage eligible disabled families to apply. Outreach may
include contacting independent living centers, advocacy organizations
for persons with disabilities, and medical, mental health, and social
service providers for referrals of persons with disabilities who would
benefit from housing choice voucher assistance. If the PHA's housing
choice voucher waiting list is closed, and if the PHA has an
insufficient number of disabled families on that waiting list to use
all the vouchers earmarked for the disabled, the PHA should open the
waiting list for applications from disabled families. PHAs must take
care to keep track of the number of disabled family vouchers that have
been awarded versus the number of such vouchers actually issued to
disabled families.
IV. Fair Share Application Rating Process
(A) Selection Criteria
The GMC will use the selection criteria shown below for the rating
of applications submitted in response to this NOFA. The maximum score
under the selection criteria for fair share funding is 100 points.
(1) Selection Criterion 1: Housing Needs (40 points).
(a) Description: This criterion assesses the housing need in the
primary market area specified in the PHA's application compared with
the housing need for the State. Housing need is defined as the number
of very low-income renter households with severe rent burden, based on
1990 Census data. Very low-income is defined as income at or below the
housing choice voucher very low-income limits. Severe rent burden is
defined as a household paying 50 percent or more of its gross income
for rent.
(b) Needs Data: For the purpose of this criterion, housing needs
are based on a tabulation of 1990 Census data prepared for the
Department by the Bureau of the Census.
Note: Use of 1990 census data was necessary, in lieu of the use
of 2000 census data, due to the lack of complete 2000 census data.
Data on housing needs are available for all States, all counties
(county equivalents), and places with populations of 10,000 or more as
of 1990. Housing needs information will be posted at the following HUD
Web site: www.hud.gov/offices/adm/grants/otherhud.cfm, indicating the
proportion of each State's housing needs for primary markets.
(c) Rating and Assessment: The number of points assigned is based
on the percentage of the State's housing need that is within the PHA's
primary market area. The primary market area is defined as the
jurisdiction (or its closest equivalent in terms of areas for which
housing needs data are available) in which the PHA is legally
authorized to operate and where the vouchers will be issued, as
described in its application. (See Section VI(C) of this NOFA regarding
the description of the primary market area required to be included in
each PHA's application.) The GMC will assign one of the following point
totals (40 points maximum even in those instances where the percentage
of housing need in a PHA's primary market area when multiplied times
three points would equal a total in excess of 40 points; i.e., no PHA
shall receive more than 40 points for housing needs):
(1) For each percentage point of the State's housing need in the
PHA's primary market area (rounded to the nearest percentage point) the
PHA will receive three points.
(2) A State or regional (multi-county) PHA will receive points
based on the areas it serves where the vouchers will be issued; i.e.,
the sum of the housing needs for the counties and/or localities
comprising its primary market area. For each percentage point of the
State's housing need in the State or regional PHA's primary market area
(rounded to the nearest percentage point), the PHA will receive three
points.
(3) A PHA with a primary market area that is a community with a
population of 10,000 or less, or a PHA for which housing needs data are
not available, will receive three points.
(2) Selection Criterion 2: Lease-Up and Budget Authority
Utilization (15 points).
(a) Description: This criterion focuses on a PHA's success in
leasing its housing choice vouchers and certificates, and using the
budget authority associated with its vouchers and certificates. While a
PHA must have either a lease-up or budget authority utilization rate of
at least 97 percent under section VII(B)(2)(c) of this NOFA in order to
have an acceptable application, Selection Criterion 2 provides for the
award of selection points to those PHAs having either a voucher and
certificate lease-up rate or a budget authority utilization rate of 99
percent or higher. The lease-up and budget authority utilization
percentages for a PHA's combined certificate and voucher program will
be calculated by HUD based upon the methodology indicated in Appendix B
of this NOFA, and shall cover PHA fiscal years ending September 30,
2000; December 31, 2000; March 31, 2001; and June 30, 2001. Lease-up or
budget authority utilization rates of a half or more of one percentage
point will be rounded to the next highest percentage point for purposes
of qualifying for the points available under
[[Page 8432]]
Selection Criterion 2 (for example, 98.5 percent will be rounded up to
99 percent). PHAs that meet either the 97 percent lease-up or budget
authority utilization threshold requirement in section VII(B)(2) of
this NOFA, or that have a 99 percent or higher lease-up or budget
authority utilization rate and qualify for the points available under
Selection Criterion 2 will be listed with the Fair Share NOFA at the
following HUD Web site: www.hud.gov/offices/adm/grants/otherhud.cfm. A
PHA not listed may submit information with its application, following
the methodology of Appendix B and using the format of Appendix C which
includes a completed example and the blank form format to be filled out
and submitted with the PHA's application, for its fiscal year ending
September 30, 2000; December 31, 2000; March 31, 2001; June 30, 2001;
or subsequent fiscal year not yet processed by HUD but certified by the
PHA.
(b) Rating and Assessment: The GMC will assign one of two point
values as follows:
* 15 points: The PHA has a lease-up or budget authority utilization
rate for its combined voucher and certificate program of 99 percent.
* 0 points: The PHA has less than a 99 percent lease-up and budget
authority utilization rate for its combined voucher and certificate
program.
(3) Selection Criterion 3: Expanding Housing Opportunities (10
points).
(a) Description: This criterion is based upon the Section 8
Management Assessment Program (SEMAP) performance indicator of the same
title located at 24 CFR 985.3(g). The sole difference being that
Selection Criterion 3 shall apply to all PHAs (not only to PHAs with
jurisdiction in metropolitan fair market rent (FMR) areas, but also to
PHAs with jurisdiction in non-metropolitan FMR areas). This selection
criterion addresses whether the PHA has adopted and implemented a
written policy to encourage participation by owners of units located
outside areas of poverty or minority concentration; informs voucher
holders of the full range of areas where they may lease units both
inside and outside the PHA's jurisdiction; and supplies a list of
landlords or other parties who are willing to lease units, including
units outside areas of poverty or minority concentration.
(b) Rating and Assessment: The GMC will assign one of two point
values as follows:
* 10 points: The PHA certifies to HUD in its application for
funding under this NOFA that it is eligible for the points under the
SEMAP indicator entitled ``Expanding housing opportunities'' (see 24
CFR 985.3(g)) as of the date it is submitting its application to HUD
for funding under this NOFA.
Note: As indicated above, Selection Criterion 3 also includes
PHAs with jurisdiction in non-metropolitan FMR areas. Consequently,
such PHAs may also qualify for the 10 points available under
Selection Criterion 3.
* 0 points: The PHA does not certify to HUD in its application for
funding under this NOFA that it is eligible for the points under the
SEMAP indicator entitled ``Expanding housing opportunities'' (see 24
CFR 985.3(g)).
(4) Selection Criterion 4: Disabled Families (10 points).
(a) Description: The GMC will assign 10 points to PHAs that certify
in their application to HUD that at least 15 percent or more of the
vouchers they are funded for under this NOFA will be used to house
disabled families, and that there is a sufficient number of disabled
families on the PHA's waiting list or otherwise in the community to
utilize all such vouchers designated for the disabled. Disabled
families are defined as follows:
(i) Disabled Family. Disabled family means a family whose head,
spouse, or sole member is a person with disabilities. It may include
two or more persons with disabilities living together, or one or more
persons with disabilities living with one or more live-in aides.
(ii) Person with disabilities. Means a person who:
a. Has a disability, as defined in 42 U.S.C. 423;
b. Is determined, pursuant to HUD regulations, to have a physical,
mental or emotional impairment that:
1. Is expected to be of long-continued and indefinite duration;
2. Substantially impedes his or her ability to live independently;
and
3. Is of such a nature that the ability to live independently could
be improved by more suitable housing conditions; or
4. Has a developmental disability as defined in 42 U.S.C. 6001.
5. Does not exclude persons who have the disease of acquired
immunodeficiency syndrome or any conditions arising from the etiologic
agent for acquired immunodeficiency syndrome; and
6. For purposes of qualifying for low-income housing, does not
include a person whose disability is based solely on any drug or
alcohol dependence.
(b) Rating and Assessment: The GMC will assign one of two point
values, as follows:
* 10 points: The PHA submits a certification with its application
certifying that it will use not less than 15 percent of the vouchers it
is funded for by HUD under this NOFA to house disabled families, and
that there are a sufficient number of disabled families on its waiting
list or otherwise in the community to utilize all such vouchers
designated for the disabled.
* 0 points: The PHA fails to submit in its application the
certification called for immediately above regarding its use of not
less than 15 percent of the vouchers it is funded for by HUD under this
NOFA to house disabled families.
(5) Selection Criterion 5: Medicaid Home and Community Based
Services Waivers Under Section 1915(c) of the Social Security Act (5
points).
(a) Description: This selection criterion is for PHAs interested in
the provision of housing choice voucher assistance to families within
their primary market area who are disabled and also covered under a
waiver of Section 1915(c) of the Social Security Act. Section 1915(c)
waivers are approved by the Health Care Financing Administration within
the Department of Health and Human Services (HHS) for the agency within
each State responsible for the administration of the medicaid program.
Contacting the responsible State agency (for example, the Agency for
Health Care Administration in the State of Florida) will assist the PHA
in determining how many, if any, individuals are covered by a Section
1915(c) waiver in the PHA's primary market area. These waivers allow
medicaid-eligible individuals at risk of being placed in hospitals,
nursing facilities or intermediate care facilities the alternative of
being cared for in their homes and communities. These individuals are
thereby assisted in preserving their independence and ties to family
and friends at a cost no higher than that of institutional care.
While a Section 1915(c) waiver may cover individuals other than
those who are disabled, the focus of Selection Criterion 5 is on
disabled families only. The definition of disabled families listed
under Selection Criterion 4 will be used by PHAs for purposes of the
issuance of vouchers to disabled families in connection with Selection
Criterion 5; i.e., only those families that meet the definition of a
disabled family in this NOFA are to be considered in connection with a
PHA determining how many such disabled families are covered by a
Section 1915(c) waiver in their primary market area and whether to try
to qualify for the 5 points available under Selection Criterion 5.
[[Page 8433]]
Any PHA attempting to qualify for the 5 points available under
Selection Criterion 5 must provide a certification in its application
to HUD for funding under this NOFA. The certification must indicate
that not less than 3 percent of the vouchers it is awarded under this
NOFA will be used to house eligible disabled families covered by a
waiver under Section 1915(c) of the Social Security Act, and that
collaborative efforts already undertaken with the responsible State
agency have identified a sufficient number of such families within the
PHA's primary market area, and an agreement has been reached with that
agency for future referrals of such families.
(b) Rating and Assessment: The GMC will assign one of two point
values as follows:
*5 points: The PHA provided a certification in its application for
funding under this NOFA indicating that it will use not less than 3
percent of the vouchers it is funded for by HUD to house voucher
eligible, disabled families covered by a waiver under Section 1915(c)
of the Social Security Act, and that collaborative efforts already
undertaken with the responsible State agency have identified a
sufficient number of such families within the PHA's primary market area
and an agreement has been reached with that agency for future referrals
of such families.
*0 points: The PHA does not provide in its application for funding
under this NOFA the certification called for immediately above.
(c) Prohibition Against Double Counting. The number (percentage) of
disabled families that a PHA indicates it will issue vouchers to when
qualifying for the 5 points available under Selection Criterion 5
cannot be used to also qualify for the 15 points available under
Selection Criterion 4 or conversely.
(6) Selection Criterion 6: Homeownership Option Under Housing
Choice Voucher Program (10 points)
(a) Description: PHAs are encouraged, consistent with 24 CFR
982.625--982.641, to establish a homeownership component or to expand
upon an existing component within their housing choice voucher program.
Points will be awarded under this NOFA to PHAs that are able to submit
specific types of documentation verifying the establishment of a
housing choice voucher homeownership program, and homeownership
closings.
(b) Rating and Assessment: The GMC will assign points under
Selection Criterion 6 as follows:
(i) 5 points: The PHA has established a housing choice voucher
homeownership program as evidenced by its submission with its
application of a copy of the PHA Board resolution approving changes to
the PHA's administrative plan for the implementation of the
homeownership option under its housing choice voucher program.
(ii) 5 points: The PHA qualifies for the five points under
paragraph (i) immediately above and has had one or more closings under
its homeownership program, as evidenced by the PHA's submission of
documentation with its application supportive of at least one
homeownership unit that has completed the closing process. Such
documentation may include a copy of a fully executed deed, title,
recapture agreement, etc.
Note: The PHA can only qualify for the five points under this
paragraph (ii) if it has first qualified for the five points under
paragraph (i) immediately above.
(iii) 0 points: The PHA fails to submit the appropriate information
in its application documenting the establishment of a housing choice
voucher homeownership program, and fails to provide the appropriate
information related to the closing of a homeownership unit.
(7) Selection Criterion 7: Family Self-Sufficiency (FSS) Slots
Filled (10 points)
(a) Description: PHAs are encouraged, consistent with 24 CFR 984,
to fill the slots required under a mandatory FSS program, and to
establish a voluntary FSS program and fill slots under that program
where a mandatory FSS program is not required. Points will be awarded
under this NOFA to PHAs submitting a certification with their
application certifying that they have filled 60 percent or more of the
required slots under a mandatory FSS program, or that have filled one
or more slots under a voluntary FSS program. Prior to calculating the
percentage of mandatory FSS slots filled, HUD will reduce the number of
mandatory slots to reflect any HUD-approved exception and/or program
graduates.
(b) Rating and Assessment: The GMC will assign rating points under
Selection Criterion 7 as follows (PHAs may receive a maximum of 10
points under the Mandatory FSS Program category or 10 points under the
Voluntary FSS Program category, but shall not receive more than a
combined maximum total of 10 points under Selection Criterion 7):
(i) Mandatory FSS Program (percentages rounded to the nearest whole
percent)
a. 10 points: 80 percent or more of the PHA's FSS slots are filled.
b. 5 points: 60--79 percent of the PHA's FSS slots are filled.
c. 0 points: less than 60 percent of the PHA's FSS slots are
filled.
(ii) Voluntary FSS Program
a. 10 points: 25 or more of the PHA's FSS slots are filled.
b. 5 points: 1 to 24 of the PHA's FSS slots are filled.
c. 0 points: none of the PHA's FSS slots are filled.
V. Fair Share Application Selection Process
(A) Maximum and Minimum Funding Allowed
The GMC may recommend for approval the maximum funding for a PHA
under this NOFA that does not exceed the lesser of 25 percent of the
PHA vouchers [including Moving to Work (MTW) units] reserved; i.e., the
number of units in its adjusted baseline (see 24 CFR 982.102(d)(ii)),
as of the due date for applications under this NOFA, or 25 percent of
the number of vouchers available in the allocation area (see Appendix
A). If, however, all the funds for an allocation area cannot be
obligated under the 25 percent/25 percent policy described above, PHAs
within the allocation area may be funded in order of highest to lowest
score for up to 25 percent of their reserved vouchers. (See section
VI(B) of this NOFA regarding the PHA statement required in this
regard.) In addition to these requirements regarding the maximum number
of vouchers a PHA may request funding for under this NOFA, a limitation
on the minimum number of vouchers a PHA may apply for shall also apply;
i.e., no PHA shall apply for or be funded for less than 24 vouchers.
PHAs who do not have the need for, or who would have difficulty with
the lease-up of this minimum number of vouchers should not submit an
application under this NOFA.
(B) Funding Procedure
HUD seeks to maximize, insofar as practical, the number of PHAs
awarded funding under this NOFA. The GMC will recommend applications
for approval in rank order (highest to lowest score) within each
allocation area. No PHA shall be eligible to request or be funded at
more than the maximum funding indicated under section V (A) above of
this NOFA. The number of vouchers for which a PHA will first receive
consideration by the GMC for funding will be based upon initially using
the lesser of 5 percent of a PHA's reserved units (any result less than
24
[[Page 8434]]
units will be rounded up to the minimum of 24 units), or 25 percent of
the vouchers available for the allocation area. If funding remains
available within the allocation area, the percentage used for the PHAs'
reserved units will increase to the percent, not to exceed 25 percent,
required to use as much of the funding as possible within the
allocation area.
Where the GMC finds it has some number of vouchers left but not
enough to fully fund the next ranked application or applications
receiving the same score, funding will be recommended by the GMC for
the application indicating it will accept the lesser number of vouchers
(see Section VI(B) of this NOFA). In the event there are two or more
PHAs ranked at the same position (same number of rating points)
indicating they will accept the lesser number of vouchers, the PHA
whose application is eligible for the largest number of vouchers among
these PHAs will be recommended by the GMC for funding.
(C) Reallocations Between Allocation Areas
The GMC will make every reasonable effort to use all funds
allocated to an allocation area within that area. It may be necessary,
however, to reallocate funds from one allocation area to another when
the funds cannot be used in the area to which they were initially
allocated. (See 24 CFR 791.405(d)). In such cases, the GMC will re-
allocate funds to the allocation area having the largest number of
approvable vouchers remaining unfunded due to lack of sufficient fair
share funding.
(D) Applications Recommended by the GMC for Funding
After the GMC has screened PHA applications and disapproved any
applications found unacceptable for further processing, the GMC will
review all acceptable applications to ensure they are technically
adequate and responsive to the requirements of the NOFA. As PHAs are
selected, the cost of funding the applications will be subtracted from
the funds available. Applications will be funded for the total number
of units recommended for approval by the GMC in accordance with this
NOFA.
VI. Fair Share Application Submission Requirements
(A) Form HUD-52515
All PHAs must complete and submit form HUD-52515, Funding
Application, for housing choice vouchers, (dated January 1996). Section
C of the form should be left blank. PHAs are requested to enter their
housing authority code number, as well as their electronic mail
address, telephone number, and facsimile telephone number in the same
space at the top of the form where they are also to enter the PHA's
name and mailing address. This form includes all the necessary
certifications for Fair Housing, Drug Free Workplace and Lobbying
Activities.
Appendix A to this NOFA lists the estimate of the number of
vouchers and budget authority available for each allocation area. PHAs
must limit their applications for the ``fair share'' program to a
reasonable number of vouchers based on the capacity of the PHA to
lease-up within 12 months of ACC execution. The number of vouchers on
the PHA application may not exceed that allowed under section V(A) of
this NOFA. The form must be completed in its entirety, with the
exception of section C, signed and dated. Copies of form HUD-52515 may
be obtained from the local HUD Field Office or may be downloaded from
the following HUD Web site: www.hud.gov. On the HUD Web site click on
``handbooks and forms,'' then click on ``HUD-5'' and click on ``HUD-
52515.'' The Form HUD-52515 will also be located with this NOFA at the
following HUD Web site: www.hud.gov/offices/adm/grants/otherhud.cfm.
A PHA may submit only one application (form HUD-52515). (See
section II(E), Eligible Applicants, of this NOFA which fully addresses
this one application per eligible applicant requirement and the one
very limited exception allowed under that requirement.)
The GMC will reduce the number of vouchers requested in any
application exceeding the maximum number that may be funded under
section V(A) of this NOFA.
(B) Letter of Intent and Narrative
The PHA must state in its cover letter to the application whether
it will accept a reduction in the number of vouchers, and the minimum
number of vouchers (not less than 24) it will accept, since the funding
is limited and HUD may only have enough funds to approve a smaller
amount than the number of vouchers requested. The PHA must also
indicate whether it will accept and can lease within 12 months an
allocation of vouchers numbering as many as 25 percent of its reserved
vouchers. (See section V(A) of this NOFA).
The application should include a narrative description of how the
application meets the application selection criteria in section IV(A)
of this NOFA. This narrative description must include the
certifications specifically called for under Selection Criteria 3, 4, 5
and 7 in order for the PHA to receive the points available under each
of these criteria. The narrative description should also address how
the PHA meets Criterion 2, and the basis for the number of points the
PHA claims it is entitled to under Selection Criteria 1 and 6.
Failure to submit the certifications called for under Selection
Criteria 3, 4, 5, and 7 will result in the PHA receiving zero points
for each Selection Criterion for which the certification is absent.
Failure to submit these certifications shall not be considered a
curable (correctable) technical deficiency under this NOFA. Failure of
the PHA to submit information under Selection Criterion 6 shall also
not be considered to be a curable (correctable) technical deficiency
under this NOFA.
Failure to submit information addressing the basis upon which the
PHA is eligible for the points under Selection Criterion 1, or the
points it feels it is eligible for under Selection Criterion 2 shall
result in the GMC scoring the PHA solely on the basis of information
already on-hand.
(C) Description of Primary Market Area
Each PHA must specify in the application its primary market area;
i.e., the area in which it is authorized to operate and in which the
housing choice vouchers will be issued. This information may be
different than that entered by such a PHA on the form HUD-52515, as the
form calls for the PHA to identify its ``legal area of operation''
which may be far more geographically expansive than the specific city,
county, or area within a State where a PHA, particularly a regional or
State PHA, intends to issue the fair share vouchers. This information
is critical because, as indicated in section IV(A)(1)(c) of this NOFA,
the geographic area in which the vouchers are intended to be issued and
in which the PHA is legally authorized to operate a Housing Choice
Voucher Program will be used to determine the percentage of the state's
housing needs that are within the PHA's primary market area under
Selection Criterion 1. For example, although a PHA may be legally
authorized to operate throughout the entire county in which it is
located, if the vouchers will be issued only in two cities within that
county then the primary market area is those two cities and not the
entire county. Likewise, for a State PHA which may be legally
authorized to operate throughout the entire State, but which intends to
issue the fair share vouchers in only one
[[Page 8435]]
county, the primary market area is solely that county. In addition, the
primary market area shall not include a geographic area in which the
PHA is issuing vouchers, outside its normal, legally authorized area of
operation, based upon an agreement with another PHA(s) to issue
vouchers in the other PHA's jurisdiction.
(D) Statement Regarding the Steps the PHA Will Take to Affirmatively
Further Fair Housing
The areas to be addressed in the PHA's statement should include,
but not necessarily be limited to:
(1) An examination of the PHA's own programs or proposed programs,
including an identification of any impediments to fair housing
(identified in the jurisdiction's Analysis of Impediments (AI) to Fair
Housing Choice in its Consolidated Plan); and a description of a plan
developed to (a) address those impediments in a reasonable fashion in
view of the resources available; (b) work with local jurisdictions to
implement any of the jurisdiction's initiatives to affirmatively
further fair housing; and (c) the maintenance of records reflecting
this analysis and actions;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
The PHA's statement must fully address the above areas. A general
statement that the PHA will promote fair housing choice by reason of
not discriminating on the basis of race, color, religion, etc. will not
be sufficient.
(E) Moving to Work (MTW) PHA Certification
See section VII(B)(2)(c) regarding the 97 percent lease-up or
budget authority utilization certification to be submitted by an MTW
PHA not required to report under SEMAP.
(F) Form HUD-2993
All PHAs must complete and submit form HUD-2993, Acknowledgement of
Application Receipt. In addition to the PHA entering its name and
address on the form, the full title of the program under which the PHA
is seeking funding must also be entered. This form is located in the
General Section of the SuperNOFA and is also available at the following
HUD Web site: www.hud.gov. On this Web site click on ``handbooks and
forms.''
VII. Corrections to Deficient Applications
(A) Acceptable Applications
An acceptable application is one that meets all of the application
submission requirements in Section VI of this NOFA and does not fall
into any of the categories listed in Section VII(B) of this NOFA. The
GMC will initially screen all applications and notify PHAs of technical
deficiencies by letter.
With respect to correction of deficient applications, HUD may not,
after the application due date and consistent with HUD's regulations in
24 CFR part 4, subpart B, consider any unsolicited information an
applicant may want to provide. HUD may contact an applicant to clarify
an item in the application or to correct technical deficiencies. Please
note, however, that HUD may not seek clarification of items or
responses that improve the substantive quality of a response to any
selection factors. In order not to unreasonably exclude applications
from being rated and ranked, HUD may contact applicants to ensure
proper completion of the application and will do so on a uniform basis
for all applicants. Examples of curable (correctable) technical
deficiencies include failure to submit the proper certifications (with
the exception that failure to submit the certifications called for
under Selection Criteria 3, 4, 5, and 7 shall not be considered
curable) or failure to submit an application that contains an original
signature by an authorized official. In each case under this NOFA, the
GMC will notify the applicant in writing or by facsimile (fax)
transmission by describing the clarification or technical deficiency.
The applicant must submit clarifications or corrections of technical
deficiencies in accordance with the information provided by the GMC
within 7 calendar days of the date of receipt of the HUD notification.
Where the HUD notification indicates that the PHA response is to be
sent by fax, the PHA must fax its response to (202) 358-0345 and
maintain its fax receipt as proof of meeting the 7 calendar day
deadline. If the deficiency is not corrected within this time period,
HUD will reject the application as incomplete, and it will not be
considered for funding.
(B) Unacceptable Applications
(1) After the 7 calendar day technical deficiency correction
period, the GMC will disapprove all PHA applications that it determines
are not acceptable for processing. The GMC'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 III(A)(1) of this NOFA, Compliance With Fair Housing and Civil
Rights Laws.
(b) The PHA is designated as troubled by HUD under SEMAP, or has
major program management findings in an Inspector General audit for its
voucher or certificate programs that are unresolved. The only exception
to this category is if the PHA has been identified under the policy
established in Section II(E) of this NOFA and the PHA makes application
with a designated contract administrator. Major program management
findings are those that would cast doubt on the capacity of the PHA to
effectively administer any new housing choice voucher funding in
accordance with applicable HUD regulatory and statutory requirements.
(c) The PHA has failed to achieve a lease-up or budget authority
utilization rate of 97 percent for its combined certificate and voucher
units under contract for its fiscal year ending in on either September
30, 2000; December 31, 2000; March 31, 2001; or June 30, 2001. PHAs
that have been determined by HUD to have passed either the 97 percent
lease-up, or 97 percent budget authority utilization requirement for
their fiscal year ending on September 30, 2000; December 31, 2000;
March 31, 2001; or June 30, 2001, will be listed with the Fair Share
NOFA at the following HUD Web site: www.hud.gov/offices/adm/grants/otherhud.cfm. A PHA not listed may submit monthly lease-up and budget
authority utilization information (following the methodology of
Appendix B and using the format in Appendix C of this NOFA) as part of
its application supportive of its contention that it should have been
included among those PHAs HUD listed on the HUD web site as having
achieved either a 97 percent lease-up rate or 97 percent budget
authority utilization rate for fiscal years ending on September 30,
2000; December 31, 2000; March 31, 2001; June 30, 2001; or subsequent
full fiscal year not yet processed by HUD but certified by the PHA.
Unless utilization information is submitted using the blank format in
Appendix C, the application will otherwise be determined ineligible for
funding under this NOFA. (Note: The lease-up and budget authority
utilization requirement shall not apply to units associated with
funding increments obligated during the last PHA fiscal year and units
obligated for litigation. In addition, lease-up or budget authority
utilization rates of 96.5
[[Page 8436]]
percent but less than 97 percent will be rounded up to 97 percent.)
Moving To Work (MTW) agencies that are required to report under the
Section 8 Management Assessment Program (SEMAP) shall be held to the 97
percent lease-up and budget authority utilization requirements
referenced above. MTW agencies which are not required to report under
SEMAP must submit a certification with their application certifying
that they are not required to report under SEMAP, and that they meet
the 97 percent lease-up or budget authority utilization requirements.
(d) The PHA is involved in litigation and HUD determines that the
litigation may seriously impede the ability of the PHA to administer
the vouchers.
(e) A PHA's application that does not comply with the requirements
of 24 CFR 982.102 and this NOFA after the expiration of the 7 calendar
day technical deficiency correction period will be rejected from
processing.
(f) The PHA's application was submitted after the application due
date.
(g) The application was not submitted to the official place of
receipt as indicated in the paragraph entitled ``Address for Submitting
Applications'' at the beginning of this NOFA.
(h) The PHA has been debarred or otherwise disqualified from
providing assistance under the program.
(i) The PHA did not have its PHA plans approved by HUD for the FY
2000 plan cycle on the application due date for this NOFA.
VIII. Findings and Certifications
(A) Paperwork Reduction Act Statement
The Housing Choice Voucher Program 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 Impact
In accordance with 24 CFR 50.19(b)(11) and 58.35(b)(1) of the HUD
regulations, tenant-based rental activities under this program are
categorically excluded from the requirements of the National
Environmental Policy Act of 1969 (NEPA) and are not subject to
environmental review under the related laws and authorities. Activities
under the homeownership option of this program are categorically
excluded from NEPA requirements and excluded from most other
environmental requirements in accordance with 24 CFR 58.35(b)(5), but
PHAs are responsible for the environmental requirements in 24 CFR
982.626(c). This NOFA provides funding for both these activities under
24 CFR part 982, and does not alter the environmental requirements in
that part. Accordingly, under 24 CFR 50.19(c)(5), issuance of this NOFA
is also categorically excluded from environmental review under NEPA.
(C) Catalog of Federal Domestic Assistance Numbers
The Federal Domestic Assistance number for this program is
14.871.
(D) Federalism Impact
Executive Order 13132 (captioned ``Federalism'') prohibits, to the
extent practicable and permitted by law, an agency from promulgating a
regulation that has federalism implications and either imposes
substantial direct compliance costs on State and local governments and
is not required by statute, or preempts State law, unless the relevant
requirements of section 6 of the Executive Order are met. None of the
provisions in this NOFA will have federalism implications and they will
not impose substantial direct compliance costs on State and local
governments or preempt State law within the meaning of the Executive
Order. As a result, the notice is not subject to review under the
Order.
(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 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. HUD will comply with the documentation,
public access, and disclosure requirements of section 102 with regard
to the 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 at 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 for public inspection all
applications and related documentation, including letters of support,
for 5 years beginning not less than 30 days following the award or
allocation. 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.
(3) Applicant Debriefing. Beginning not less than 30 days after the
awards for assistance are announced in the above mentioned Federal
Register notice, and for not longer than 120 days after awards for
assistance are announced, HUD will provide a debriefing to any
applicant requesting a debriefing on their application. All requests
for debriefings must be made in writing and submitted to the Grants
Management Center at the address indicated in Section I of this NOFA,
under the paragraph titled ``Address for Submitting Applications.''
Materials provided to you during your debriefing will include the final
scores you received for each of the selection criteria, final evaluator
comments for each of the selection criteria, and the final assessment
indicating the basis upon which assistance was provided or denied.
(F) Section 103 HUD Reform Act
HUD will comply with section 103 of the Department of Housing and
Urban Development Reform Act of 1989 and HUD's implementing regulations
in subpart B of 24 CFR part 4 with regard to the funding competition
announced today. 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 limited by section 103 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
[[Page 8437]]
confine their inquiries to the subject areas permitted under section
103 and subpart B of 24 CFR part 4.
Applicants or employees who have ethics related questions should
contact the HUD Ethics Law Division at (202) 708-3815. (This is not a
toll-free number.) For HUD employees who have specific program
questions, such as whether particular subject matter can be discussed
with persons outside HUD, 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 at 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 Lobbying Disclosure Act of 1995 (Pub. L. 104-65; approved
December 19, 1995), which repealed section 112 of the HUD Reform Act,
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: February 14, 2002.
Michael Liu,
Assistant Secretary for Public and Indian Housing.
APPENDIX A
Section 8 Incremental Vouchers--FY 2002 Fair Share Allocations
------------------------------------------------------------------------
Allocation area Dollars Units
------------------------------------------------------------------------
Alabama........................................... 832,781 222
Alaska & Washington............................... 2,222,989 382
Arizona........................................... 1,390,642 247
Arkansas.......................................... 502,566 135
California........................................ 18,874,594 2,517
Colorado.......................................... 1,467,914 232
Connecticut....................................... 1,297,804 202
Delaware.......................................... 192,562 34
District of Columbia & Maryland................... 2,047,095 354
Florida........................................... 4,160,328 759
Georgia........................................... 2,166,426 404
Hawaii & Pacific Islands.......................... 648,297 92
Idaho............................................. 233,272 59
Illinois.......................................... 5,027,075 819
Indiana........................................... 1,360,001 305
Iowa.............................................. 723,213 181
Kansas............................................ 552,154 141
Kentucky.......................................... 856,898 229
Louisiana......................................... 1,207,967 289
Maine............................................. 371,200 76
Massachusetts..................................... 3,936,760 508
Michigan.......................................... 3,132,546 595
Minnesota......................................... 1,373,359 236
Mississippi....................................... 543,302 152
Missouri.......................................... 1,358,168 302
Montana........................................... 259,819 55
Nebraska.......................................... 417,236 101
Nevada............................................ 643,161 106
New Hampshire..................................... 334,649 55
New Jersey........................................ 3,751,948 501
New Mexico........................................ 384,684 87
New York.......................................... 16,083,712 2,237
North Carolina.................................... 1,777,975 381
North Dakota...................................... 157,492 40
Ohio.............................................. 3,506,237 744
Oklahoma.......................................... 709,171 179
Oregon............................................ 1,183,315 225
Pennsylvania...................................... 4,188,667 804
Puerto Rico & Virgin Islands...................... 816,843 228
Rhode Island...................................... 453,347 82
South Carolina.................................... 769,394 185
South Dakota...................................... 205,513 49
Tennessee......................................... 1,174,639 279
Texas............................................. 5,786,829 1,128
Vermont........................................... 224,622 40
Utah.............................................. 484,393 91
Virginia.......................................... 1,603,074 334
West Virginia..................................... 387,725 110
Wisconsin......................................... 1,738,387 374
Wyoming........................................... 96,684 24
---------------------
US Total...................................... 103,619,429 17,911
------------------------------------------------------------------------
Note: The ``U.S. Total'' above for voucher funding/vouchers is
the result of a reduction, from the $103,979,000 (approximately
18,000 vouchers) announced as available at the beginning of this
NOFA, to $103,619,429 (approximately 17,911 vouchers) in order to
fund two PHAs; i.e., the Fargo, North Dakota Housing Authority for
$165,079 for 44 vouchers, and the Vermont State Housing Authority
for $194,492 for 45 vouchers. These two PHAs were among 13 PHAs not
funded by HUD under the FY 2001 Fair Share NOFA due to HUD error.
Because the vouchers allocated to North Dakota and Vermont (see the
allocation table above) are so limited for FY 2002, the funding
($359,571) needed to correct the FY 2001 HUD error affecting these
two PHAs was subtracted from the $103,979,000 prior to allocating
the balance of the funding ($103,619,429) to all allocation areas.
This preserved the limited allocation of vouchers for the States of
North Dakota and Vermont for FY 2002. The funding needed to fund the
vouchers for the balance of 11 PHAs (those PHAs also not funded
under the FY 2001 Fair Share NOFA due to HUD error, see section
II(C)(3) of this NOFA) will be subtracted by the GMC from the
dollars for the allocation areas above where these 11 PHAs are
located. This will be done by the GMC prior to preparing its funding
recommendations for FY 2002 applications. Subtracting the funding
from these allocation areas at that point will preserve the full
allocation of vouchers for each of these allocation areas at the
outset so as to provide PHAs in those allocation areas with the
fullest opportunity to qualify to be funded for 25 percent of the
vouchers available within each of these allocation areas, as
appropriate. The result of these cumulative deductions for these 13
PHAs ($8,881,265 for 1,540 vouchers) shall leave $95,097,735 for
approximately 16,460 vouchers, as indicated at the beginning of this
NOFA, available for PHAs to submit applications under this FY 2002
Fair Share NOFA.
APPENDIX B
Methodology for Determining Lease-Up and Budget Authority Utilization
Percentage Rates
Using data from the HUDCAPS system, HUD determined which PHAs
met the 97% budget authority utilization or 97% lease-up criteria.
The data used in the determination was based on PHA fiscal years
ending September 30, 2000; December 31, 2000; March 31, 2001; and
June 30, 2001. The budget authority utilization and lease-up rates
were determined based upon the methodology indicated below.
Budget Authority Utilization
Percentage of budget authority utilization was determined by
comparing the total contributions required to the annual budget
authority (ABA) available for the PHA year ending September 30,
2000; December 31, 2000; March 31, 2001; or June 30, 2001 for the
PHA's combined certificate and voucher program. Annual budget
authority associated with new funding increments obligated during
the last PHA fiscal year and annual budget authority for litigation
were excluded.
Total contributions required were determined based on the
combined actual costs approved by HUD on the form HUD-52681, Year
End Settlement Statement. The components that make up the total
contributions required are the total of housing assistance payments,
ongoing administrative fees earned, hard to house fees earned, and
IPA audit costs. From this total any interest earned on
administrative fees is subtracted. The net amount is the total
contributions required.
ABA is the prorated portion applicable to the PHA year for each
funding increment that
[[Page 8438]]
had an active contract term during all or a portion of the PHA year.
ABA is adjusted for new funding increments obligated during the last
PHA fiscal year and for litigation funding increments.
Example:
PHA ABC
[Fiscal year 10/1/99 through 9/30/00]
------------------------------------------------------------------------
------------------------------------------------------------------------
HUD 52681 Approved Data:
HAP................................................... $2,150,000
Administrative Fee.................................... 215,000
Hard to House Fee..................................... 1,000
Audit................................................. 2,000
Total............................................. 2,368,000
========================================================================
Program Receipts other than Annual Contributions...... (2,500)
-------------
Total contributions required...................... 2,365,500
------------------------------------------------------------------------
Calculation of Annual Budget Authority
----------------------------------------------------------------------------------------------------------------
Increments Contract term Total BA ABA
----------------------------------------------------------------------------------------------------------------
001......................................................... 11/01/99-10/31/00 $1,300,000 $1,191,667
002......................................................... 01/01/00-12/31/00 1,200,000 900,000
003......................................................... 04/01/00-03/31/01 950,000 475,000
004......................................................... 07/01/00-06/30/01 1,500,000 375,000
---------------------------------------------------
Totals.................................................. ....................... 4,950,000 2,941,667
================================================================================================================
ABA associated with litigation.............................. ....................... ........... 475,000
---------------------------------------------------
Total ABA................................................... ....................... ........... (2,466,667)
----------------------------------------------------------------------------------------------------------------
Budget Authority Utilization
------------------------------------------------------------------------
------------------------------------------------------------------------
Total contributions required............................... $2,365,500
divided by
Annual budget authority.................................... 2,466,667
equals
Budget Authority Utilization............................... 95.9%
------------------------------------------------------------------------
Lease-up Rate
The lease-up rate was determined by comparing the reserved units
(funding increments active as of the end of the PHA year) to the
unit months leased (divided by 12) reported on the combined HUD
52681, Year End Settlement Statement(s) for September 30, 2000;
December 31, 2000; March 31, 2001; or June 30, 2001.
Units associated with new funding increments obligated during
the last PHA fiscal year and units obligated for litigation were
excluded from the reserved units.
Example:
------------------------------------------------------------------------
Increments Contract term Units
------------------------------------------------------------------------
001.............................. 11/01/ 99-10/31/00 242
002.............................. 01/01/00-12/31/00 224
003.............................. 04/01/00-03/31/01 178
004.............................. 07/01/00-06/30/01 280
--------------------------------------
Totals....................... ....................... 924
========================================================================
Increment 003 litigation......... ....................... (178)
Adjusted contract units.......... ....................... 746
Unit months leased reported by ....................... 8,726
PHA.............................
divided by 12................ ....................... 727
Units Leased..................... ....................... 727
Lease-up Rate:
Units leased................. ....................... 727
divided by adjusted ....................... 746
contract units equal....
Lease-up Rate................ ....................... 97.5%
------------------------------------------------------------------------
[[Page 8439]]
APPENDIX C
Example
Main Street HA 12/31/01 Year End January 1, 2001 Through December 31, 2001
[ACC units applicable: 653 (Litigation and new units obligated during the fiscal year are excluded)]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Annual
Cumulative budget
Month Total HAP UMLs Admin fee HH fee Requirements total authority
(ABA)
--------------------------------------------------------------------------------------------------------------------------------------------------------
January......................................................... $291,874 623 $29,119 $0 $320,993 $320,993 $295,650
February........................................................ 211,945 620 30,058 1,125 243,128 564,121 295,650
March........................................................... 234,521 618 29,961 450 264,932 829,053 295,650
April........................................................... 226,489 620 30,058 750 257,297 1,086,350 295,650
May............................................................. 240,414 616 29,864 675 270,953 1,357,303 295,650
June............................................................ 245,600 614 29,767 825 276,192 1,633,495 295,650
July............................................................ 251,300 615 29,815 675 281,790 1,915,285 309,103
August.......................................................... 265,304 611 29,621 900 295,825 2,211,110 309,103
September....................................................... 285,504 610 29,573 375 315,452 2,526,562 309,103
October......................................................... 298,503 612 29,670 525 328,698 2,855,260 309,103
November........................................................ 325,008 628 30,445 300 355,753 3,211,013 309,103
December........................................................ 355,006 640 31,027 225 386,258 3,597,271 309,105
---------------------------------------------------------------------------------------
Totals...................................................... 3,231,468 7,427 358,978 6,825 ............ 3,597,271 3,628,520
--------------------------------------------------------------------------------------------------------------------------------------------------------
Leaseup Rate: 94.78% (UMLs/ACC units).
ABA Utilization 99.14% (Requirements/ABA).
Certification:
----------------------------------------------------------------------
Executive Director
----------------------------------------------------------------------
Section 8 Program Administrator
----------------------------------------------------------------------
HA Name:
----------------------------------------------------------------------
ACC Units applicable:
--------------------------------------------------------------------------------------------------------------------------------------------------------
Cumulative Annual budget
Month Total (HAP+UAP) UMLs Admin fee HH fee Requirements total authority (ABA)
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
Totals................... $ ................ $ $ ............... $ $
--------------------------------------------------------------------------------------------------------------------------------------------------------
Leaseup Rate: ______% (UMLs/ACC units).
ABA Utilization ______% (Requirements/ABA).
[[Page 8440]]
Certification:
----------------------------------------------------------------------
Executive Director Date
----------------------------------------------------------------------
Section 8 Program Administrator Date
[FR Doc. 02-4215 Filed 2-21-02; 8:45 am]
BILLING CODE 4210-33-P