11222 Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / Notices

DEPARTMENT OF HOUSING AND

URBAN DEVELOPMENT

Office of the Assistant Secretary for

Public and Indian Housing

[Docket No. N–95–3847; FR–3828–N–01]

NOFA for the Public and Indian

Housing Tenant Opportunities

Program Technical Assistance

AGENCY: Office of the Assistant

Secretary for Public and Indian

Housing, HUD.

ACTION: Notice of funding availability

for FY 1995.

SUMMARY: HUD is announcing the

availability of $25 million for Fiscal

Year 1995 under the Public and Indian

Housing Tenant Opportunities Program

(TOP). HUD reinvented resident

management and created the TOP to

expand the range of the residentmanaged activities, so that resident

organizations can set priorities based on

the needs in their communities. The

program provides assistance to Resident

Councils (RCs), Resident Management

Corporations (RMCs), Resident

Organizations (ROs) and National

Resident Organizations (NROs),

Regional Resident Organizations

(RROs), and Statewide Resident

Organizations (SROs), to fund training

and other tenant opportunities, such as

the formation of such entities,

identification of the relevant social

support needs, and securing of such

support for residents of public and

Indian housing. The NOFA discusses

eligibility, funding amounts, selection

criteria, how to apply for funding, and

the selection process.

DATES: Application kits may be

requested beginning March 1, 1995. The

application deadline will be specified in

the application kit, and will be firm as

to date and time. Applicants will have

at least 60 days from today’s publication

of the NOFA to prepare and submit their

applications.

ADDRESSES: To obtain a copy of the

application kit, please write the

Resident Initiatives Clearinghouse, Post

Office Box 6424, Rockville, MD 20850,

or call the toll free number 1–800–955–

2232. Requests for application kits must

include your name, mailing address

(including zip code), telephone number

(including area code), and should refer

to document FR–3828. This NOFA

cannot be used as the application.

FOR FURTHER INFORMATION CONTACT:

Christine Jenkins or Barbara J.

Armstrong, Office of Community

Relations and Involvement, Department

of Housing and Urban Development,

451 Seventh Street, S.W., Room 4112,

Washington, D.C. 20410; telephone:

(202) 708–3611. All Indian Housing

applicants may contact Tracy Outlaw or

Charles Bell, Office of Native American

Programs, Department of Housing and

Urban Development, 451 Seventh Street,

S.W., Room B–133, Washington, D.C.

20410; telephone: (202) 755–0032.

Hearing- or speech-impaired persons

may use the Telecommunications

Devices for the Deaf (TDD) by contacting

the Federal Information Relay Service

on 1–800–877–TDDY (1–800–877–8339)

or 202–708–9300 for information on the

program. (Other than the ‘‘800’’ TDD

number, telephone numbers are not tollfree.)

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act Statement

The information collection

requirements contained in this notice

have been approved by the Office of

Management and Budget, under section

3504(h) of the Paperwork Reduction Act

of 1980 (44 U.S.C. 3501–3520), and

assigned OMB control number 2577–

0127.

I. Purpose and Description

A. Authority

Section 20, United States Housing Act

of 1937 (42 U.S.C. 1437r); sec. 7(d),

Department of Housing and Urban

Development Act (42 U.S.C. 3535(d)).

B. Statutory Background

Section 122 of the Housing and

Community Development Act of 1987

(Pub. L. 100–42, approved February 5,

1988) amended the U.S. Housing Act of

1937 (1937 Act) by adding a new section

20. In part, section 20 states as its

purpose the encouragement of

‘‘increased resident management of

public housing projects [and the

provision of funding] * * * to promote

formation and development of resident

management entities’’ (Sec. 20(a)).

Under section 20(f)(1):

(The Secretary shall provide financial

assistance to resident management

corporations or resident councils that obtain,

by contract or otherwise, technical assistance

for the development of resident management

entities, including the formation of such

entities, the development of the management

capability of newly formed or existing

entities, the identification of the social

support needs of residents of public housing

projects, and the securing of such support.)

Under section 20(f)(2), this financial

assistance may not exceed $100,000

with respect to any public housing

project. Section 20 is implemented in 24

CFR part 905, subpart O (for Indian

housing), and part 964 (for public

housing). The rules set forth, among

other things, the policies, procedures,

and requirements of resident

participation and management of public

and Indian housing.

In FY 1988, $2.5 million was awarded

to 27 resident organizations; in FY 1989,

$2.5 million was awarded to 35 resident

organizations; in FY 1990, $2.4 million

was awarded to 37 resident

organizations; in FY 1991, $4.9 million

was awarded to 96 organizations; in FY

1992, $4.6 million was awarded to 94

organizations; in FY 1993, $4.7 million

was awarded to 94 organizations; and in

FY 1994, $24 million was awarded to

257 organizations with $1 million

awarded to ten NROs/RROs/SROs. In

FY 1995, $25 million is available to

Public and Indian Housing RCs/RMCs/

ROs, of which $1 million is set-aside for

NROs/RROs/SROs to provide technical

assistance and training activities under

the TOP program.

Today, 640 resident groups

throughout the country are in training

under this program. HUD supports the

tenant opportunities movement, as well

as other self-sufficiency and

improvement programs designed to

benefit public and Indian housing

residents. The Office of Community

Relations and Involvement (formerly

called the Office of Resident Initiatives)

has been created to deliver a variety of

resident initiative programs, with

assistance from a network of

Community Relations and Involvement

Specialists (CRIs) in HUD’s field

structure. The CRIs are available to

provide direct assistance to residents

and resident groups interested in

resident initiatives programs.

C. Key Features of this NOFA

(1) The TOP Program meets the need

in many communities for business

development, education, job training

and development, social services, and

opportunities for other self-help

initiatives. The program enables

resident entities to establish priorities

based on the efforts in their public and

Indian housing communities that are

aimed at furthering economic lift and

independence. The authority for the

TOP program is found in section 20 of

the 1937 Act; section 20(f) authorizes

technical assistance and training.

Financial assistance in the form of

technical assistance grants is provided

by the Secretary to resident grantees to

prepare for management activities in

their housing development (hereinafter

referred to as TOP technical assistance

grants). Technical assistance grants are

available for ‘‘the development of

resident management entities, including

the formation of such entities, the
Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / Notices 11223

development of the management

capability of newly formed or existing

entities, the identification of the social

support needs of residents of public

housing projects and the securing of

such support.’’

Residents may use TOP technical

assistance grants for training related to

any TOP initiative. The results from

organizations in training have been

significant and multifaceted. For

example, resident-managed activities

have resulted in economic development,

resident self-sufficiency, improved

living conditions, and enhanced social

services for residents (i.e., child care

and other youth projects). TOP will

provide public and Indian housing

residents the opportunity to be trained

and move toward responsible roles in

their communities. The training will

aim to enhance the functioning of the

resident council as well as develop

skills to engage in resident managed

activities in its community. TOP will

strongly encourage resident entities to

develop a partnership with their public

housing agency or Indian housing

authority (hereafter jointly referred to as

‘‘HA’’). The Department is committed to

building a real partnership among HAs,

residents, and HUD.

(2) RCs/RMCs/ROs that have been in

existence for several years or that were

recently formed may receive up to

$100,000.

(3) All applicants that are selected for

funding (including NROs/RROs/SROs)

will access the grant funds through the

Line of Credit Control System (LOCCS),

as explained in Section I.D, ‘‘Funding,’’

of this NOFA.

(4) An application kit is required as

the formal submission to apply for

funding. The kit includes information

on the preparation of a Work Plan and

Budget for activities proposed by the

applicant. This process facilitates the

expeditious execution of a TOP

Technical Assistance Grant (TOP TAG)

for those applicants that are selected to

receive funding. The kit also includes

narratives, certifications, and forms.

Included in the application kit this year

is a new certification that requires each

applicant RC/RMC/RO to certify that it

has held a democratic election. The

certification must be signed by an

authorized representative of the local

HA.

(5) The information listed below is

regarding all HOPE I grantees:

All HOPE I applicants’ applications

will be screened. A cross-check will be

made against the HOPE I Planning

grants and HOPE I Implementation

grants, to assure compliance with

section 20(f)(4) of the 1937 Act, which

states: ‘‘The Secretary may not provide

financial assistance under this

subsection to any resident management

corporation or resident council with

respect to which assistance for the

development or formation of such entity

is provided under title III.’’ HOPE I

Planning and Implementation grantees

were required to propose plans to

establish a RC, RMC, or cooperative

association where one did not exist for

the proposed homeownership site,

including the development or formation

of that entity. In addition, HOPE I Full

Planning and Implementation grant

applicants were expected to include in

their applications all eligible activities

necessary to make their proposed

homeownership program feasible (even

if some of the proposed activities were

to be carried out with non-HOPE 1

funds, such as resident management

funds). Consequently, in reviewing

Tenant Opportunities Program grant

applications, the following rules apply:

Rule 1. An applicant for TOP funds

that has received a HOPE 1 Full

Planning or Implementation grant (as a

lead or joint applicant) may not also

receive a TOP grant, unless the

applicant proposed in its HOPE 1

application to use resident management

funding to carry out those activities.

Rule 2. An applicant for TOP funds

that has received a HOPE 1 Mini

Planning grant (as a lead or joint

applicant) may not receive a TOP grant

for any activity proposed for funding in

the HOPE 1 grant. Mini Planning grant

applicants may apply for a TOP grant if

the activities proposed in the TOP

application are not duplicative.

(6) All applicants will have an

opportunity to correct technical

deficiencies in this application

submission as provided for in this

NOFA.

D. Funding

As noted, $25 million is being made

available on a competitive basis under

this NOFA to applicants that submit

timely applications and are selected for

funding. Section 20 provides that not

more than an aggregate of $100,000 may

be approved with respect to any TOP

project.

Of the $25 million total current funds,

$1 million will be awarded to National

Resident Organizations (NROs),

Regional Resident Organizations

(RROs), and Statewide Resident

Organizations (SROs), to provide

technical assistance to public and

Indian housing residents.

With the remaining $24 million, the

Department will be providing two types

of grants to RCs/RMCs/ROs: (1) Basic

Grant; and (2) Additional Grant.

Basic Grants

All RCs/RMCs/ROs that have been in

existence for several years and new

emerging groups that meet eligibility

requirements (see Definitions) may

apply for a Basic grant for up to

$100,000. All grantees will access the

TOP grant funds through a line of credit

control system (LOCCS).

To ensure the progress of the grantees,

each grantee will be allowed to draw

down through LOCCS only the specific

amount of funding needed to complete

the tasks and subtasks specified in the

work plan. The grantee must complete

all activities under Phases 1 and 2 in the

work plan prior to advancing to Phases

3 through 5 and receiving additional

funds, except for those activities that

can be reasonably construed as being

ongoing, such as technical assistance or

training.

The local HUD Field Office will be

responsible for approving the work plan

and determining the ability of the

grantee to access LOCCS.

Additional Grants

Any RC/RMC/RO selected for a

Resident Management (RM)/TOP grant

in FYs 1988–1994 (including a

minigrant for start-up activities) that

received less than a total of $100,000

may apply for an Additional Grant not

to exceed (including previous grants)

the total statutory maximum of

$100,000.

To ensure the progress of the grantees,

each grantee will be allowed to draw

down from LOCCS only the specific

amount of funding needed to complete

the tasks and subtasks specified in the

work plan. Each Additional Grant

grantee must provide a progress report

that will indicate progress and the

activities that are completed. The local

HUD Field Office will be responsible for

approving the work plan and

determining the ability of the grantee to

access LOCCS.

Each Additional Grant applicant must

demonstrate the need for additional

funding by submitting evidence of

completing specific activities. An

Additional Grant applicant may receive

a higher score if most of the activities

listed in Section I.L. of this NOFA are

completed and documentation is

included as evidence.

NROs/SROs/RROs Grant

The purpose of this grant is to provide

technical assistance to public and

Indian housing residents desiring either

to establish a RC/RMC/RO where one

does not exist or to organize an inactive

RC/RMC/RO. The awards will be

competitive, using the Rating Factors in
11224 Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / Notices

Section I.M of this NOFA, and

applicants must meet eligibility

requirements. The local HUD Field

Office will be responsible for approving

the work plan and determining the

ability of the grantee to access LOCCS.

E. TOP Technical Assistance Grant

Agreement

Grant awards will be made through a

TOP Technical Assistance Grant

Agreement which defines the legal

framework for the relationship between

HUD and a resident grantee for the

proposed activities approved for

funding. The grant agreement will

contain all applicable requirements,

including administrative requirements

such as progress reports, a final report,

a final audit, accessing the LOCCS to

draw down funds, and all the necessary

forms needed to execute the grant. No

funds can be drawn down by grantees

until the grant agreement is executed by

the local HUD Field Office.

F. Definitions

The following definitions apply to

public housing, as provided in 24 CFR

964.115 and 964.120:

Resident Council (RC). An

incorporated or unincorporated

nonprofit organization or association

that shall consist of persons residing in

public housing and must meet each of

the following requirements in order to

receive official recognition from the HA/

HUD, and be eligible to receive funds

for resident council activities, and

stipends for officers for their related

costs for volunteer work in public

housing:

(1) It may represent residents residing

in scattered site buildings, in areas of

contiguous row houses; or in one or

more contiguous buildings; in a

development; or in a combination of

these buildings or developments;

(2) It must adopt written procedures

such as by-laws, or a constitution which

provides for the election of residents to

the governing board by the voting

membership of the residents residing in

public housing on a regular basis but at

least once every 3 years. The written

procedures must provide for the recall

of the resident board by the voting

membership. These provisions shall

allow for a petition or other expression

of the voting membership’s desire for a

recall election, and set the number of

percentage of voting membership

(‘‘threshold’’) who must be in agreement

in order to hold a recall election. This

threshold shall not be less than 10

percent of the voting membership.

(3) It must have a democratically

elected governing board that is elected

by the voting membership. At a

minimum, the governing board should

consist of five elected board members.

The voting membership must consist of

heads of households (any age) and other

residents at least 18 years of age or older

and whose name appears on a lease for

the unit in the public housing that the

resident council represents.

Resident Management Corporation

(RMC). An entity that consists of

residents residing in public housing

must have each of the following

characteristics in order to receive

official recognition by the HA and HUD:

(1) It shall be a nonprofit organization

that is validly incorporated under the

laws of the State in which it is located;

(2) It may be established by more than

one resident council, so long as each

such council:

(a) Approves the establishment of the

corporation; and

(b) Has representation on the Board of

Directors of the corporation;

(3) It shall have an elected Board of

Directors, and elections must be held at

least once every 3 years;

(4) Its by-laws shall require the Board

of Directors to include resident

representatives of each resident council

involved in establishing the corporation;

include qualifications to run for office,

frequency of elections, procedures for

recall, and term limits if desired.

(5) Its voting members shall be heads

of households (any age) and other

residents at least 18 years of age and

whose name appears on the lease of a

unit in public housing represented by

the resident management corporation;

(6) Where a resident council already

exists for the development, or a portion

of the development, the resident

management corporation shall be

approved by the resident council board

and a majority of the residents. If there

is no resident council, a majority of the

residents of the public housing

development it will represent must

approve the establishment of such a

corporation for the purposes of

managing the project; and

(7) It may serve as both the resident

management corporation and the

resident council, so long as the

corporation meets the requirements of

this part for a resident council.

The following definitions apply to

Indian Housing as defined in 24 CFR

part 905.962:

Resident Management Corporation

(RMC). An entity that proposed to enter

into, or enters into a contract to manage

IHA property. The corporation must

have each of the following

characteristics:

(1) It must be a nonprofit organization

that is incorporated under the laws of

the State or Indian tribe in which it is

located.

(2) It may be established by more than

one resident organization, so long as

each such organization both approves

the establishment of the corporation and

has representation on the Board of

Directors of the corporation.

(3) It must have an elected Board of

Directors.

(4) Its by-laws must require the Board

of Directors to include representatives of

each resident organization involved in

establishing the corporation.

(5) Its voting members are required to

be residents of the project or projects it

manages.

(6) It must be approved by the

resident organization. If there is no

organization, a majority of the

households of the project or projects

must approve the establishment of such

an organization.

Resident Organization (RO). A

Resident Organization (or ‘‘Resident

Council’’ as defined in section 20 of the

Act) is an incorporated or

unincorporated nonprofit organization

or association that meets each of the

following criteria:

(1) It must consist of residents only,

and only residents may vote.

(2) If it represents residents in more

than one development or in all of the

developments of an IHA, it must fairly

represent residents from each

development that it represents.

(3) It must adopt written procedures

providing for the election of specific

officers on a regular basis.

(4) It must have a democratically

elected governing board. The voting

membership of the board shall consist

solely of the residents of the

development or developments that the

RO represents.

The following definitions apply to

NRO/RRO/SRO applicants:

National Resident Organization

(NRO). An incorporated nonprofit

organization or association for public

and Indian housing that meets each of

the following requirements:

(1) It is national (i.e., conducts

activities or provides services in at least

two HUD Areas or two States);

(2) It has experience in providing

start-up and capacity-building training

to residents and resident organizations;

and

(3) Public or Indian housing residents

representing different geographical

locations in the country must comprise

the majority of the board of directors.

Regional Resident Organization

(RRO). An incorporated nonprofit

organization or association for public or

Indian housing that meets each of the

following requirements:
Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / Notices 11225

(1) It is regional (i.e., not limited by

HUD Areas, including Tribal Areas);

and

(2) It has experience in providing

start-up and capacity-building training

to residents and resident organizations;

and

(3) Public or Indian housing residents

representing different geographical

locations in the region must comprise

the majority of the board of directors.

Statewide Resident Organization

(SRO). An incorporated nonprofit

organization or association for public or

Indian housing that meets the following

requirements:

(1) It is Statewide;

(2) It has experience in providing

start-up and capacity-building training

to residents and resident organizations;

and

(3) Public or Indian housing residents

representing different geographical

locations in the State must comprise the

majority of the board of directors.

G. Eligibility

Only organizations that meet the

definition of a RC/RMC/RO or a NRO/

RRO/SRO, as set forth under the Section

I.F, ‘‘Definitions,’’ of this NOFA will be

eligible for funding under this NOFA.

The following considerations also

apply:

(1) Only public and Indian housing

RCs/RMCs/ROs and NROs/SROs/RROs

are eligible to apply for this grant. The

local HAs, Section 8 developments, or

other federally subsidized housing

communities are not eligible to apply.

(2) A RC/RMC/RO will receive

consideration for a basic grant based on

the rating factors contained in Section

I.K. of this NOFA.

(3) A RC/RMC/RO selected for

funding in FYs 1988–1994 that received

less than the statutory maximum of

$100,000 may apply for an Additional

Grant not to exceed (including previous

grants) the total statutory maximum of

$100,000.

(4) A RC/RMC/RO will receive

consideration for an Additional Grant

based on the rating factors contained in

Section I.L. of this NOFA.

(5) Grantees that were awarded the

maximum total amount of $100,000 in

FYs 1988–1994 are not eligible to apply.

(6) Only one application will be

considered for funding from an

individual development. If more than

one application is received from a

development, only the application from

the duly elected RC/RMC/RO will be

considered. All other applications will

be rejected.

(7) A city-wide organization

(consisting of members from RCs/RMCs/

ROs who reside in housing

developments that are owned and

operated by the same HA within the

city) may represent more than one RC/

RMC/RO within an HA. Under some

circumstances, a number of the RCs/

RMCs/ROs who are members of a citywide organization may wish to apply

jointly for a grant. In that case, a citywide organization may represent these

developments and apply for a grant as

a city-wide applicant. The individual

developments under the umbrella of the

city-wide organization may apply for a

separate grant only if the activities that

are included in the individual

development’s application are not the

same activities that are included in the

city-wide organization’s application. All

applications will be screened for

duplicative activities. In addition, the

city-wide organization cannot include

an application for funding any

individual development that has

received RM/TOP technical assistance

funding totalling $100,000 in previous

years.

(8) A jurisdiction-wide organization

(consisting of members from RCs/RMCs/

ROs who reside in housing

developments that are owned and

operated by the same HA within that

HA’s jurisdiction, other than a city-wide

organization making an application in

accordance with paragraph (7) in this

Section I.G) may be formed for the

purpose of advising the HA Board of

Commissioners or Executive Directors

in all areas of HA operations. In that

case, the jurisdiction-wide organization

may apply for a grant to carry out

jurisdiction-wide programs. These

grants will have no impact on the

individual RC/RMC/RO funding.

(9) An NRO/SRO/RRO that is

organized to provide technical

assistance to RCs/RMCs/ROs may

receive grants up to $100,000. An NRO/

SRO/RRO previously funded for

$100,000 may apply for a new TOP

grant only if the groups represented in

its application are new groups. The

local HUD Field Office will screen the

application for this purpose.

H. Eligible Activities

Activities for which funding under

this NOFA may be provided to an

eligible RC/RMC/RO or NRO/RRO/SRO

include any combination of, but are not

limited to, the following:

(1) Resident Capacity Building:

• Training board members in

community organizing, board

development, and leadership training;

and

• Determining the feasibility of the

TOP initiatives for a specific

development.

(2) Resident Management:

• Building and strengthening its

capacity as an organization (e.g.,

establishing operating/planning

committees and block/building captains

to carry out specific organizational

tasks, developing by-laws, etc.);

developing a cohesive relationship

between the residents and the local

community; and building a partnership

with the HA;

• Training residents, as potential

employees of an RMC, in skills directly

related to the operation, management,

maintenance and financial systems of a

project;

• Training of residents with respect to

fair housing and equal opportunity

requirements;

• Gaining assistance in negotiating

management contracts and in related

contract monitoring and management

procedures, and designing a long-range

planning system related to contracts;

and

• Assisting in the actual creation of

an RC/RMC/RO, such as consulting and

acquiring legal assistance to incorporate,

prepare by-laws, draft a corporate

charter, and apply for nonprofit status.

(3) Resident Management Business

Development:

• Economic development training

related to resident management and

technical assistance for job training and

placement in RC/RMC/RO

developments;

• Technical assistance and training in

business development related to

resident management, through

feasibility and market studies;

development of business plans;

affirmative outreach activities; and

innovative financing methods,

including revolving loan funds; and

• Legal advice in establishing

resident management-required business

entities.

(4) Partnerships:

• Establishing and providing to

residents in each community training

related to the Partnership Paradigm

Technical Assistance (PPTA)/Technical

Assistance Organization (TAO) model.

This is an optional partnership that

would bring together residents, the HA,

and HUD, in an effort to create a

community-based process that offers

technical assistance and training related

to building the partnership between the

residents, the HA, and HUD and to

oversee and carry out activities in the

TOP program. HUD’s Office of

Community Relations and Involvement

(OCRI) may be contacted at the address

and telephone number listed at the

beginning of this NOFA for additional

information, if there is an interest in the

PPTA.
11226 Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / Notices

• Other partnerships developed by

the local residents/HA in the

community.

(5) Social Support Services (such as

self-sufficiency and youth initiatives):

• Feasibility studies to determine

training and social services needs;

• Coordination of support services;

• Training for programs such as child

care, early childhood development,

parent involvement, volunteer services,

parenting skills, and before- and afterschool programs;

• Training programs on health,

nutrition, and safety;

• Workshops for youth services, child

abuse and neglect prevention, and

tutorial services, in partnership with

community-based organizations, such as

local Boys and Girls Clubs, YMCA/

YWCA, Boys/Girls Scouts, Campfire,

Big Brothers/Big Sisters, 4–H Clubs, etc.;

and

• Training in the development of

strategies to implement youth programs

successfully. For example, assessing the

needs and problems of the youth;

improving youth initiatives that are

currently active; and training youth,

housing authority staff, and RCs/RMCs/

ROs on youth initiatives and program

activities.

(6) General:

• Required training on HUD

regulations and policies governing the

operation of low-income public and

Indian housing, financial management,

capacity building to develop the

necessary skills to assume management

responsibilities at the project, and

property management;

• Training in accessing other funding

sources;

• Developing performance standards

and assessment procedures to measure

the success of the RC/RMC/RO;

• Assistance in acquiring fidelity

bonding and insurance, but not the cost

of the bonding and insurance;

• Assessing potential management

functions or tasks that the RC/RMC/RO

might undertake;

• Training in resident managementrelated skills, such as computer and

clerical (payroll clerk/records

management) skills;

• Resident management-related

employment training and counseling;

• Hiring trainers or other experts

(resident grantees must ensure that all

training is provided by a qualified

housing management specialist, a

community development specialist, the

HA, or other sources knowledgeable

about the program). Generally, no more

than 50% of the grant funds or $50,000,

whichever is less, should be used for

any one consultant for this purpose;

• Rental or lease of a car, van, or bus

by resident grantees to attend training

related to the TOP initiatives; and

• Stipends, as provided in this

paragraph. Officers and members of a

RC/RMC/RO should not receive

stipends for participating in or receiving

training under the TOP. If RCs/RMCs/

ROs are interested in implementing

resident-managed activities, stipends

will be approved, subject to the

availability of funds, when the officers

and members of the resident entity have

successfully completed the first stage of

training on any TOP initiative, dual

management contract with the HA, or a

HA-operated career-related training

program. Generally, no more than 20%

of the grant funds should be used for

this purpose.

(7) Capacity building and training to

facilitate resident participation in the

Comprehensive Grant Program.

(8) Implementation of activities by a

RC/RMC/RO associated with the

operation and maintenance of the public

and Indian housing project. Examples of

eligible activities in this category that

have not been mentioned previously

are:

• Designing and implementing

financial management systems that

include provisions for budgeting,

accounting, and auditing;

• Designing and implementing

personnel policies; performance

standards for measuring staff

productivity; policies and procedures

covering organizational structure, such

as recordkeeping, maintenance,

insurance, occupancy, and management

information systems; any other

recognized functional responsibilities

relating to property management, in

general, and public and Indian housing

management, in particular; and

responsibilities relating to any TOP

initiative;

• Identifying the social support needs

of residents, and the securing of that

support by hiring a services coordinator

to coordinate and assist in

implementing the services needed by

the residents, such as health clinics, day

care, and security; and

• Assessing potential homeownership

opportunities for residents within

public and Indian housing or anywhere

in the community.

(9) Administrative costs necessary for

the implementation of activities

outlined in paragraphs (1) through (8) of

this Section I.H, ‘‘Eligible Activities,’’ of

the NOFA. Appropriate administrative

costs include, but are not limited to, the

following items or activities:

• Telephone, telegraph, printing, and

sundry nondwelling equipment (such as

office supplies, computer software, and

furniture). In addition, a reasonable

portion of funds may be applied to the

acquisition of equipment, such as

computer hardware and copying

machines, unless purchase of this

equipment can be made from a grantee’s

operating budget. A grantee must justify

the need for this equipment in

relationship to its management

capability and the level of its

management responsibilities;

• HUD-approved travel directly

related to activities for the

development/training and

implementation of resident management

or any tenant opportunity initiatives,

including conference fees, related per

diem for meals, and miscellaneous

travel expenses for individual staff or

board members of the RC/RMC/RO; and

• Child care expenses for individual

staff and board members, in cases where

staff or board members who need child

care are involved in training-related

activities associated with the

development of resident management

entities. Not more than 2 percent of the

total grant amount (0.02 times the grant

award amount) may be used for

expenses to support child care needs.

(10) For NROs/RROs/SROs only:

Organizing and establishing

democratically elected and effective

RCs/RMCs/ROs:

• Identifying existing funded resident

organizations in a geographical area that

are inactive and providing training and

technical assistance to help them

become active again;

• Assisting new resident

organizations within a geographical area

to become a RC, RMC, or RO; and

• Providing local or on-site training

and technical assistance to the inactive

or newly formed resident organization,

to enable it to implement activities

included in the Work Plan within the

time and budget constraints.

• Providing training and technical

assistance to the resident organizations

in accomplishing any of the eligible

activities related to the TOP initiatives.

I. Ineligible Activities

Ineligible items or activities include,

but are not limited to, the following:

(1) Entertainment, including

associated costs such as food and

beverages, except normal per diem for

meals related to travel;

(2) Purchase or rental of land or

buildings or any improvements to land

or buildings;

(3) Activities not directly related to

the TOP initiatives, e.g., lead-based

paint testing and abatement and

operating capital for economic

development activities;
Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / Notices 11227

(4) Purchase of any vehicle (car, van,

bus etc.) or any other property, other

than as described under paragraph (9) of

Section I.H, ‘‘Eligible Activities,’’ of this

NOFA, unless approved by HUD

Headquarters or the local HUD Field

Office;

(5) Architectural and engineering fees;

(6) Payment of salaries for routine

project operations, such as security and

maintenance, or for RC/RMC/RO staff,

except that a reasonable amount of grant

funds may be used to hire a person to

coordinate the TOP grant activities or

coordinate on-site social services;

(7) Payment of fees for lobbying

services;

(8) Any fraudulent or wasteful

expenditures or expenditures otherwise

incurred contrary to HUD program

regulations or directives will be

considered ineligible expenditures,

upon appropriate determination by an

audit by HUD Field Office staff, and

HUD will reduce the grantee’s grant for

the amount expended; and

(9) Any activity otherwise eligible

under this NOFA for which funds are

being provided from any other source.

J. Selection Process

Each application for a grant award

that is submitted in a timely manner, as

specified in the application kit, to the

local HUD field office and that

otherwise meets the requirements of this

NOFA, will be evaluated. An

application for either a Basic Grant or an

Additional Grant must receive a

minimum score of 80 points (out of the

maximum of 115 points) to be eligible

for funding. NROs/RROs/SROs must

receive a minimum score of 80 points

(out of a maximum of 110) to be eligible

for funding. An RC/RMC/RO or NRO/

RRO/SRO should submit its application

to the appropriate local HUD Field

Office (see Appendix to this NOFA).

The local Field Office will transfer all

RC/RMC/RO applications to a grant

review site for processing by a Grants

Management Team. Upon completion of

the review, all applications will be

placed in an overall nationwide ranking

order and funded until all funds are

exhausted, except that HUD may fund

grants out of rank order based on

geographical diversity and diversity in

size and type of housing development

(developments that include family highrise buildings of five or more stories or

those that include only low-rise

buildings).

K. Rating Factors—Basic Grants

An application for funding for a Basic

Grant will be reviewed based on the

following Rating Factors (maximum of

115 points). This 115-point maximum

includes 10 Bonus Points that will be

given if the applicant can show

evidence of clear and precise measures

of performance in carrying out its plan

to improve its public and Indian

housing communities. Examples of such

measures are lowering maintenance

costs, reducing local crime, and

increasing resident employment by

certain percentage points.

(1) Describe the Activities and Goals

of the RC/RMC/RO and the Community

(Maximum Points: 30):

• A high score (Maximum Points: 30)

is received where the RC/RMC/RO

identifies activities and describes the

goals of the community. The applicant

includes a clear and effective plan for

addressing the needs and accomplishing

the overall goals of the RC/RMC/RO.

• A medium score (Maximum Points:

15) is received where the RC/RMC/RO

identifies activities and describes the

goals of the community, but the plan to

address the needs and accomplish the

goals is general.

• A low score (Maximum Points: 5) is

received where the RC/RMC/RO does

not identify any activities and the plan

to address the needs and accomplish the

goals of the community is unclear.

• A score of zero (0 points) will be

given if the applicant fails to respond to

this factor.

(2) Evidence of Support by

Development’s Residents, and Resident

Involvement in the RC’s/RMC’s/RO’s

Activities (Maximum Points: 25):

• A high score (Maximum Points: 25)

is received where the RC/RMC/RO

describes the support by the residents

and provides documentation that shows

support and how involved the residents

are in the RC’s/RMC’s/RO’s activities.

An applicant must submit a copy of a

petition and/or other documentation

showing widespread support and

involvement, minutes of the RC’s/

RMC’s/RO’s latest monthly meeting, and

the attendance log.

• A medium score (Maximum Points:

10) is received where the RC/RMC/RO

describes the support by the residents

and the documentation of support

includes minutes of the RC’s/RMC’s/

RO’s latest monthly meeting and

attendance log, but no petition.

• A score of zero (0 points) is

received where the RC/RMC/RO fails to

provide documentation of support by

the development’s residents and no

support is mentioned in the narrative.

(3) Evidence That the RC/RMC/RO

Has a Partnership With the HA:

(Maximum Points: 15):

• A high score (Maximum Points: 15)

is received where the RC/RMC/RO

provides a letter of support from the

local HA that states its support of the

RC/RMC/RO, as well as a specific

description of what assistance the HA

will undertake on behalf of the RC/

RMC/RO.

• A medium score (Maximum Points:

10) is received where either: (i) The RC/

RMC/RO provides a letter of support

from the HA that does not specifically

state the activities for which the HA will

provide assistance; or (ii) the RC/RMC/

RO provides detailed documents (e.g.,

copies of correspondence exchanged

with the HA, summaries of meetings

held with the HA, and summaries of

efforts made to establish a partnership

with the HA) indicating that the

residents have made a substantial effort

to establish a partnership with the HA,

but the HA will not support the RC’s/

RMC’s/RO’s activities.

• A low score (Maximum Points: 5) is

received if the applicant mentions HA

support or obstacles encountered in

attempting to build a partnership with

the HA.

• A score of zero (0 points) is

received where the RC/RMC/RO fails to

submit a letter of support or

documentation of its efforts to obtain

HA support.

(4) Evidence That the RC/RMC/RO

Has Support of State/Tribal/Local

Government, Community Organizations,

or Other Public/Private Sector Groups

(Maximum Points: 20 + 5 bonus points).

Under this factor, 5 Bonus Points will be

given if the applicant submits evidence

that specific support is provided by

Weed and Seed organizations.

Otherwise, maximum point value is

given where the support letters contain

specific commitments, such as financial

assistance, technical assistance, on-thejob training, or other tangible support.

• A high score (Maximum Points: 20)

is received where the RC/RMC/RO

provides copies of letters of support

discussing specific assistance from three

or more entities (e.g., State/Tribal/local

government, community organizations,

or other public/private sector groups).

• A medium score (Maximum Points:

12) is received where the RC/RMC/RO

provides a letter of support from two

entities.

• A low score (Maximum Points: 5) is

received where the RC/RMC/RO fails to

provide any letters of support, but

support of the State/Tribal/local

government, community organizations,

or other public/private sector groups is

mentioned in the narrative.

(5) Capability of RC/RMC/RO in

Handling Financial Resources

(Maximum Points: 10). This factor can

be demonstrated by including previous

experience of the RC/RMC/RO or by

providing an explanation of how the

financial resources will be obtained:
11228 Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / Notices

• A high score (Maximum Points: 10)

is received where the RC/RMC/RO

provides evidence of having 2 or more

years of experience in handling

financial resources and has adequate

accounting procedures in place or

provides a plan to partner with the HA

or hire a private organization to develop

the financial controls.

• A medium score (Maximum Points:

5) is received where the RC/RMC/RO

provides evidence of having up to 2

years of experience in handling

financial resources, but no accounting

procedures are established nor has a

plan been provided to partner with the

HA or hire a private organization to

develop the financial controls.

• A score of zero (0 points) is

received where the RC/RMC/RO has no

experience in handling financial matters

and there is clearly no accounting

system or procedures established.

L. Rating Factors—Additional Grants

An application for funding for an

Additional Grant will be reviewed based

on the following Rating Factors

(maximum 115 points). This 115-point

maximum includes 10 Bonus Points that

will be given if the applicant can show

evidence of clear and precise measures

of performance in carrying out its plan

to improve its public and Indian

housing communities. Examples of such

measures are proposing to lower

maintenance costs, reduce local crime

and increase resident employment by

certain percentage points.

(1) Evidence of Need for Additional

Funding (Maximum Points: 30):

• A high score (Maximum Points: 30)

is received where the RC/RMC/RO

provides a copy of evidence showing

the completion of all of the activities

listed below, therefore demonstrating

progress and a need for additional

funding:

(a) Developed an active community

organization that includes

democratically elected officers

(example: election certification signed

by the local HA or an independent

third-party organization and minutes of

meetings);

(b) Developed by-laws pursuant to 24

CFR part 905, subpart O, or 24 CFR part

964, whichever is applicable, that

govern the operation of the organization

(example: a copy of the RC’s/RMC’s/

RO’s by-laws);

(c) Developed an organizational

structure that consists of floor/block

captains or residential community

groups and program committees to carry

out specific tasks (example: a copy of

the RC’s/RMC’s/RO’s organization

structure that lists floor/block captains,

community groups, and program

committees);

(d) Developed a basic financial

management and accounting system that

will provide effective control over and

accountability for all grant funds, or

acquired an accounting service to

perform this function (example: a

certification that the accounting system

is developed);

(e) Developed a Memorandum of

Understanding (MOU) between the RC/

RMC/RO and HA that states the

elements of their relationship and

delineates what support the HA will

provide to the resident organization

(e.g., on-the-job training, technical

assistance, equipment, space,

transportation, etc.) and the activities to

be conducted by the RC/RMC/RO

(example: a copy of an executed MOU

between the RC/RMC/RO and HA);

• A medium score (Maximum Points:

20) is received where the RC/RMC/RO

submits evidence of completing 4 of the

activities listed under ‘‘high score’’ of

this factor.

• A low score (Maximum Points: 10)

is received where the RC/RMC/RO

submits evidence of completing 2 of the

activities listed under ‘‘high score’’ of

this factor.

• A score of zero (0 points) is given

if the applicant submits no evidence of

accomplishing any of the activities

listed under ‘‘high score’’ of this factor

or it is clear that the applicant has made

no progress in the previous activities.

(2) Evidence of Support by

Development’s Residents, and Resident

Involvement in the RC’s/RMC’s/RO’s

Activities (Maximum Points: 25):

• A high score (Maximum Points: 25)

is received where the RC/RMC/RO

describes the support by the residents

and provides documentation that shows

support and how involved are the

residents in the RC’s/RMC’s/RO’s

activities. An applicant must submit a

copy of a petition and/or other

documentation showing widespread

support and involvement, minutes of

the RC’s/RMC’s/RO’s latest monthly

meeting, and the attendance log.

• A medium score (Maximum Points:

10) is received where the RC/RMC/RO

describes the support by the residents

and the documentation of support

includes minutes of the RC’s/RMC’s/

RO’s latest monthly meeting and

attendance log, but no petition.

• A score of zero (0 points) is

received where the RC/RMC/RO fails to

provide documentation of support by

the development’s residents or does not

mention support in the narrative.

(3) Evidence That the RC/RMC/RO

has a Strong Partnership With the HA

(Maximum Points: 25):

• A high score (Maximum Points: 25)

is received where the RC/RMC/RO

provides a letter of support from the

local HA that states its support of the

RC/RMC/RO, as well as a specific

description of what assistance the HA

will undertake on behalf of the RC/

RMC/RO (e.g., on-the-job training,

technical assistance, equipment, space,

transportation, etc.).

• A medium score (Maximum Points:

15) is received where either: (i) the RC/

RMC/RO provides a letter of support

from the HA that does not specifically

state the activities for which the HA will

provide assistance; or (ii) the RC/RMC/

RO provides detailed documents (e.g.,

copies of correspondence exchanged

with the HA, summaries of meetings

held with the HA, and summaries of

efforts made to establish a partnership

with the HA) showing that the residents

have made a substantial effort to

establish a partnership with the HA, but

the HA will not support the RC’s/

RMC’s/RO’s activities. Up to 5 points

will be awarded if support is mentioned

or obstacles encountered in attempting

to build a partnership with the HA are

mentioned.

• A score of zero (0 points) is

received where the RC/RMC/RO fails to

submit a letter of support or

documentation of its efforts to obtain

such support.

(4) Evidence That the RC/RMC/RO

has the Support of the State/Tribal/

Local Government, Community

Organizations, or Other Public/Private

Sector Groups (Maximum Points: 20 + 5

bonus points). Under this factor 5 Bonus

Points will be given if the applicant

submits evidence that specific support

is provided by Weed and Seed

organizations. Otherwise, maximum

point value is given where the support

letters contain specific commitments,

such as financial assistance, technical

assistance, on-the-job training, or other

tangible support.

• A high score (Maximum Points: 20)

is received where the RC/RMC/RO

provides copies of letters from three or

more entities (e.g., State/Tribal/local

government, community organizations,

or other public/private sector groups.

• A medium score (Maximum Points:

10) is received where the RC/RMC/RO

provides letters of support from two

entities.

• A low score (Maximum Points: 5) is

received where the RC/RMC/RO

provides a letter of support from one

entity.

M. Rating Factors—NROs/RROs/SROs

An application for funding will be

reviewed based on the following Rating

Factors (maximum of 110 points). This
Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / Notices 11229

110-point maximum includes 10 Bonus

Points that will be given if the applicant

can show evidence of clear and precise

measures of performance in carrying out

its plan to improve its public and Indian

housing communities (e.g., measures

proposed for creating new RCs).

(1) Describe the Goals and Objectives

of the NRO/RRO/SRO (Maximum

Points: 35):

• A high score (Maximum Points: 35)

is received where the NRO/RRO/SRO

provides a detailed plan clearly

describing the proposed methods for

accomplishing the overall goals and

objectives of organizing and training

RCs/RMCs/ROs in the TOP initiatives.

Applicants should also provide a

description of the proposed training,

identify selected trainers, and submit

support letters from selected trainers.

• A medium score (Maximum Points:

15) is received where the NRO/RRO/

SRO provides a general outline of

proposed methods for accomplishing

the goals and objectives of organizing

and training RCs/RMCs/ROs in the TOP

initiatives.

• A score of zero (0 points) is

received where the NRO/RRO/SRO does

not clearly state the goals and objectives

of the TOP initiative.

(2) Evidence of Support by NRO/RRO/

SRO Board of Directors and the Local

Housing Authority (Maximum Points:

10):

• A high score (Maximum Points: 10)

is received where the NRO/RRO/SRO

provides documentation that shows

support from its board of directors, as

evidenced by a board resolution,

minutes of meetings, and letters of

support. The applicants should also

provide a letter of support from each HA

where the applicant proposes to train

residents.

• A medium score (Maximum Points:

5) is received where the NRO/RRO/SRO

provides documentation of support that

is limited to minutes of meetings.

• Low score (Maximum Points: 2) is

received where the NRO/RRO/SRO fails

to provide documentation of support,

but support is mentioned.

(3) Evidence of Prior Resident

Training Experience. This factor can be

demonstrated by the support of the RCs/

RMCs/ROs and the local HAs. The

letters of support should indicate the

success and quality of prior training.

(Maximum Points: 30):

• A high score (Maximum Points: 30)

is received where the applicant provides

documentation that shows support by

the residents (i.e., letters of support,

board resolutions, and minutes of

meetings) and support letters from the

HA.

• A medium score (Maximum Points:

15) is received where the applicant

provides documentation that is limited

to minutes of meetings.

• Low score (Maximum Points: 5) is

received where the applicant fails to

provide documentation of support by

the development’s residents and the

HA, but support is mentioned.

(4) Evidence of the Capability to

Provide Local Training. The applicant

should demonstrate the ability to

sustain the training and technical

assistance through provision of local or

on-site trainers and to coordinate these

activities throughout the grant period.

The applicant should also demonstrate

that the residents will have access to

continued training and technical

assistance through the local provider

after the completion of the grant period.

(Maximum Points: 15):

• A high score (Maximum Points: 15)

is received where the applicant provides

a detailed plan clearly showing its

capability to identify and provide local

training and to coordinate activities of

the local training provider.

• A medium score (Maximum Points:

5) is received where the applicant

provides a general description of its

capability to identify and provide local

training.

• A score of zero (0 points) is

received where the applicant does not

clearly state its capability to identify

and provide local training.

(5) Capability of Handling Financial

Resources. This factor can be

demonstrated through previous

experience, adequate financial control

procedures, or similar evidence, or by

an explanation of how such capability

will be obtained. (Maximum Points: 10):

• A high score (Maximum Points: 10)

is received where the NRO/RRO/SRO

provides evidence of having 2 or more

years of experience in handling

financial resources and has adequate

accounting procedures in place.

• A medium score (Maximum Points:

5) is received where the NRO/RRO/SRO

provides evidence of having less than 2

years of experience in handling

financial resources or has provided a

plan for developing financial controls

that are adequate.

• A score of zero (0 points) is

received where the NRO/RRO/SRO has

no experience in handling financial

matters and does not submit evidence

that shows that an adequate accounting

system is in place or under

development.

N. HA Notification

HUD will send a notification to the

HAs associated with the applications

selected for funding.

II. Application Process

A. Actions Preceding Application

Submission

Consistent with this NOFA, HUD may

direct a HA to notify its existing RCs/

RMCs/ROs, as well as NROs, SROs, and

RROs, of this funding opportunity. It is

important for residents to be advised

that, even in the absence of a RC/RMC/

RO, the opportunity exists to establish

a RC/RMC/RO before applying for

funding. If no RC/RMC/RO exists for

any of the developments, HUD

encourages a HA to post this NOFA in

a prominent location within the HA’s

main office, as well as in each

development’s office.

B. Application Submission and

Development

(1) Submission. An application kit is

required as the formal submission to

apply for funding. The kit includes the

overview of the TOP program,

application requirements, forms,

certifications, assurances, worksheets,

selection criteria, workplan and budget

information. An application may be

obtained by writing the Resident

Initiatives Clearinghouse, P.O. Box

6091, Rockville, MD 20850, or by calling

the toll-free number: 1–800–955–2232.

Requests for application kits must

include your name, mailing address

(including zip code), and telephone

number (including area code), and

should refer to document FR–3828.

Applications may be requested

beginning March 1, 1995. Each RC/

RMC/RO and NRO/RRO/SRO must

submit its application to the local HUD

Field Office or, in the case of an IHA,

to the appropriate HUD Office of Native

American Programs, listed in the

Appendix to this NOFA.

Each applicant must submit the

original and 2 copies of its application.

The Appendix lists addresses of HUD

Field Offices that will accept a

completed application. All applications

must be received by the local HUD Field

Office no later than 3:00 p.m. (local

time) on the deadline date listed in the

application kit. In the interest of fairness

to all competing applicants, any

application that is received after the

deadline date and time will be

considered ineligible. Applicants

should take this practice into account

and make early submission of their

materials to avoid any risk of loss of

eligibility brought about by

unanticipated delays or other deliveryrelated problems. HUD will date-stamp

incoming applications to evidence

(timely or late) receipt, and, upon

request, will provide an

acknowledgment of receipt. Facsimile
11230 Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / Notices

and telegraphic applications are not

authorized and will not be considered.

HUD also encourages an applicant to

submit a copy of the application to the

HA for the jurisdiction in which the RC/

RMC/RO is located.

(2) Development. (a) The application

must contain the following information:

(i) For all applicants: Narrative

statements addressing the issues

outlined in paragraph (2)(b) of this

Section II.B (‘‘Application Submission

and Development’’) of the NOFA.

(ii) RCs/RMCs/ROs: Name and

address of the RC/RMC/RO. Name and

title of the board members of the RC/

RMC/RO and date of the last election. A

copy of the RC’s/RMC’s/RO’s

organizational documents (board

resolution, charter, articles of

incorporation (if incorporated)) and bylaws, narratives for all rating factors

(Basic or Additional Grant), support

letters, evidence needed for certain

rating factors, forms, certifications,

assurances, workplan, and budget

information. Name and phone number

of contact person (in the event further

information or clarification is needed

during the application review process).

Name, address, and phone number of

the HA for the applicant’s jurisdiction,

to which inquiries may be addressed

concerning the application.

(iii) NROs/RROs/SROs: Name and

address of the applicant. Name, title,

and telephone number of a contact

person (in the event further information

or clarification is needed during the

application review process). Name and

title of the board members and date of

last election. A copy of the articles of

incorporation and nonprofit documents

(i.e., by-laws, tax-exempt status or other

organizational documents). Applicants

should also include a narrative

statement discussing the geographical

areas in which the applicant wishes to

organize RCs/RMCs/ROs. In addition,

the name and address of the HA for any

jurisdiction in which the applicant

proposes to organize new or inactive

RCs/RMCs/ROs, and a proposed

schedule of activities.

(b) The narrative statements required

under paragraph (2)(a)(i) of this Section

II.B of the NOFA shall include the

following:

(i) For all applicants:

• The name of any development for

which the funds are proposed to be

used;

• A summary of the program

proposed in the application. Also

include in the summary the proposed

length of time, in months, needed to

complete TOP activities (i.e., 24 months,

36 months, etc). The maximum length to

complete all activities is 5 years;

• The application must be signed by

an authorized member of the board of

the RC/RMC/RO or NRO/RRO/SRO (not

the HA), and must include a resolution

from the RC/RMC/RO or NRO/RRO/SRO

stating that it agrees to comply with the

terms and conditions established under

this program and under 24 CFR parts

964 (for public housing) and 905 (for

Indian housing); and

• Assurances (e.g., board resolution

or certificate) that the RC/RMC/RO or

NRO/RRO/SRO will comply with all

applicable Federal laws, Executive

Orders, regulations, and policies

governing this program, including all

applicable civil rights laws, regulations,

and program requirements.

(ii) For Basic Grant applicants:

• Factor 1: A narrative describing the

activities of the RC/RMC/RO and the

community and overall group goals for

specified TOP initiatives and how the

proposed activities will meet the needs

of the RC/RMC/RO;

• Factor 2: A narrative describing the

extent to which the residents support

the proposed activities of the RC/RMC/

RO and how active the residents are in

the community.

• Factor 3: A narrative describing the

partnership with the HA and the extent

to which the HA supports the activities

outlined in the proposal;

• Factor 4: A narrative describing the

extent to which local agencies,

community organizations, and the

private sector support the activities

outlined in the proposal, including the

provision of financial resources,

technical assistance, or other support;

and

• Factor 5: A narrative describing the

RC’s/RMC’s/RO’s financial and

accounting procedures that have been

implemented, or plans to develop these

procedures, to ensure that funds are

properly spent.

(iii) For Additional Grant applicants:

• Factor 1: Provide evidence that

certain activities are completed which

demonstrates the need for additional

funding;

• Factor 2: A narrative describing the

extent to which the residents support

the proposed activities of the RC/RMC/

RO and how active the residents are in

the community.

• Factor 3: A narrative describing the

extent to which the local HA supports

the activities outlined in the proposal;

and

• Factor 4: A narrative describing the

extent to which local agencies,

community organizations, and the

private sector support the activities

outlined in the proposal, including the

provision of financial resources,

technical assistance, or other support.

(iv) For NRO/RRO/SRO applicants:

• Factor 1: A narrative describing the

activities proposed by the NROs/RROs/

SRO and providing a detailed plan that

clearly describes the methods for

accomplishing the goals and objectives

of the TOP initiatives;

• Factor 2: A narrative describing the

extent to which the board of the NRO/

RRO/SRO and the HA support the

proposed activities;

• Factor 3: A narrative describing the

applicant’s prior experience in training

residents, which can be demonstrated

by the support of the RCs/RMCs/ROs

and the local HAs. The letters of support

should indicate the success and quality

of training;

• Factor 4: A narrative describing the

organization’s capability for providing

local training; and

• Factor 5: A narrative describing the

project’s financial and accounting

procedures, or plans to develop these

procedures to ensure that funds are

spent properly.

(3) HA Support. (a) HUD is in full

support of a cooperative relationship

between each RC/RMC/RO and its HA.

A resident organization is urged to

involve its HA in the application

planning and submission process. This

can be achieved through meetings to

discuss resident concerns and objectives

and how best to translate these

objectives into activities in the

application. The RC/RMC/RO is also

encouraged to obtain a letter of support

from the HA, indicating to what extent

the HA supports the proposed activities

listed by the RC/RMC/RO and how the

HA will assist the RC/RMC/RO. To

foster partnership, HUD encourages

NROs/RROs/SROs to obtain letters of

acknowledgment from the appropriate

HAs regarding the intent to organize

residents.

(b) A RC/RMC/RO is encouraged to

include an indication of support and

assistance by development residents

(e.g., RC/RMC/RO Board resolution,

copies of minutes, letters, petition, etc.),

the neighboring community, and local

public or private organizations.

(c) All Additional Grant applicants

should include in their applications

documentation that demonstrates the

need for additional funding, as well as

support letters from the HA and local

and private organizations.

III. Checklist of Application

Submission Requirements

The Application Kit will contain a

checklist of all application submission

requirements to complete the

application process.
Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / Notices 11231

A. Training Requirements

(1) RC/RMC/RO grantees are required

to have training, and NRO/SRO/RRO

grantees are requested to provide

training, in the areas listed below, but

the amount and scope of training will

depend on the resident groups’ goals.

For example, training required to

assume property management is more

extensive than training needed to

establish a landscaping enterprise. The

required training areas are:

(a) HUD regulations and policies

governing the operation of low-income

housing, which includes the part 900

series of 24 CFR; Section 3 (of the

Housing and Urban Development Act of

1968, 12 U.S.C. 1701u), implemented in

24 CFR part 135; other Fair Housing Act

requirements; and applicable civil rights

laws as implemented for public housing

(24 CFR part 964) and Indian housing

(24 CFR part 905);

(b) Financial management, including

budgetary and accounting principles

and techniques, in accordance with

Federal guidelines, including OMB

Circulars A–110 (and implementing

regulations at 24 CFR part 84) and A–

122, which contain Federal

administrative requirements for grants,

and A–133, relating to audit

requirements for nonprofit

organizations;

(c) Capacity building to develop the

necessary skills to assume management

responsibilities at the project; and

(d) Based on the goals of the RC/RMC/

RO, property management or any TOP

activities training that is required.

(2) Each grantee must ensure that this

training is provided by a qualified

housing management specialist

(Consultant/Trainer), community

development specialist, the HA, or other

local agencies knowledgeable about the

program.

B. OMB Procurement Requirements

(1) The resident grantees must follow

24 CFR part 84, which implements OMB

Circular A–110 and prescribes standards

and policies essential to the proper

execution of procurement transactions,

including standards of conduct for

resident grantees’ employees, officers, or

agents engaged in procurement actions,

to avoid any conflict of interest.

(2) A grantee may use two methods in

obtaining consultant services:

(a) A ‘‘full service’’ approach may be

used where the applicant solicits

competitive proposals for assisting in

the preparation of the application, with

inclusion of the consultant work if the

applicant is selected to receive a grant.

The total allowed for hiring an

individual consultant for this purpose

shall not exceed 50% or $50,000,

whichever is less, of the total award to

the grantee. The evaluation criteria in

the solicitation must address the

qualifications and experience of

prospective consultants for all tasks (the

contract may stipulate that in the event

that the application is not approved, the

consultant is not entitled to any

payment); and

(b) Separation of application

preparation from consultant work to be

performed after the award of a grant.

This approach allows an applicant to

solicit competitive proposals and

contract with a Consultant-Trainer/

Housing Management Specialist for the

development of an application for

technical assistance funding. If the

applicant is selected for funding, the

Consultant-Trainer/Housing

Management Specialist must compete

along with other prospective

Consultant-Trainer/Housing

Management Specialists through an

open and free procurement process for

a training and technical assistance

contract. This will eliminate any

competitive advantage attained by the

Consultant-Trainer/Housing

Management Specialist who was

awarded a contract for the development

of the application/Work Plan and

Budget. The total allowed for hiring an

individual consultant for this purpose

shall not exceed 50% or $50,000,

whichever is less, of the total award to

the grantee.

IV. Corrections to Deficient

Applications

HUD will notify an applicant in

writing of any technical deficiencies in

the application. Any deficiency capable

of cure will involve only items not

necessary for HUD to assess the merits

of an application against the Rating

Factors specified in this NOFA. For

example, signatures needed on certain

forms, certifications, workplan, budget,

and other required forms may be

considered curable deficiencies. All

applicants including NROs/RROs/SROs

must submit corrections to the local

HUD Field Office (including Native

American Program Offices, as

appropriate) within 14 calendar days

from the date of HUD’s letter notifying

the applicant of any technical

deficiency. If corrections are received by

the local Field Office after the 14-day

timeframe, the applications will be

considered incomplete and will not be

considered for funding.

After the application due date,

applicants will not have an opportunity

to submit independently information

omitted from the application that

directly relates to the evaluation factors

contained in the subheading ‘‘Rating

Factors’’ of this NOFA, so as to enhance

the merits of the application. HUD

encourages all applicants to submit all

documents with their applications

before the due date, so that applicants

will not be affected by the technical

deficiency period.

V. Other Matters

A. Freedom of Information Act

Applications submitted in response to

this NOFA are subject to disclosure

under the Freedom of Information Act

(FOIA). To assist the Department in

determining whether to release

information contained in an application

in the event a FOIA request is received,

an applicant may, through clear

earmarking or otherwise, indicate those

portions of its application that it

believes should not be disclosed. The

applicant’s views will be used solely to

aid the Department in preparing its

response to a FOIA request; the

Department is required by the FOIA to

make an independent evaluation of the

information.

HUD suggests that an applicant

provide a basis, when possible, for its

belief that confidential treatment is

appropriate; general assertions or

blanket requests for confidentiality,

without more information, are of limited

value to the Department in making

determinations concerning the release of

information under FOIA. The

Department is required to segregate

disclosable information from nondisclosable items, so an applicant

should be careful to identify each

portion of the application for which

confidential treatment is requested.

The Department emphasizes that the

presence or absence of comments or

earmarking regarding confidential

information will have no bearing on the

evaluation of applications submitted in

response to this solicitation.

B. Environmental Impact

In accordance with 40 CFR 1508.4 of

the regulations of the Council on

Environmental Quality and 24 CFR

50.20(b) of the HUD regulations, the

policies and procedures contained in

this rule relate only to technical

assistance and, therefore, are

categorically excluded from the

requirements of the National

Environmental Policy Act.

C. Executive Order 12606, the Family

The General Counsel, as the

Designated Official under Executive

Order 12606, The Family, has

determined that this notice does not

have potential for significant impact on
11232 Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / Notices

family formation, maintenance, and

general well-being, and, thus, is not

subject to review under the Order. No

significant change in existing HUD

policies or programs will result from

promulgation of this notice, as those

policies and programs relate to family

concerns.

D. Executive Order 12612, Federalism

The General Counsel, as the

Designated Official under section 6(a) of

Executive Order 12612, Federalism, has

determined that the policies contained

in this notice will not have substantial

direct effects on States or their political

subdivisions, or on the relationship

between the Federal government and

the States, or on the distribution of

power and responsibilities among the

various levels of government. As a

result, the notice is not subject to review

under the Order. The NOFA will fund

technical assistance and activities for

resident management and other TOP

initiatives of public and Indian housing.

It will have no meaningful impact on

States or their political subdivisions.

E. Documentation and Public Access

Requirements; Applicant/Recipient

Disclosures: HUD Reform Act

Documentation and public access

requirements. Pursuant to section 102 of

the Department of Housing and Urban

Development Reform Act of 1989 (42

U.S.C. 3537a) (HUD Reform Act), 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 fiveyear period beginning not less than 30

days after the award of the assistance.

Materials 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 a Federal

Register notice of 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

documentation and public access

requirements.)

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 part 12,

subpart C, and the notice published in

the Federal Register on January 16,

1992 (57 FR 1942), for further

information on these disclosure

requirements.)

F. 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 (see 56 FR

22088, May 13, 1991). 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 under 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.)

G. Prohibition Against Lobbying of HUD

Personnel

Section 112 of the HUD Reform Act

added a new section 13 to the

Department of Housing and Urban

Development Act (42 U.S.C. 3531 et

seq.). Section 13 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.

Section 13 is implemented in 24 CFR

part 86. If readers are involved in any

efforts to influence the Department in

these ways, they are urged to read part

86, particularly the examples contained

in Appendix A of that part.

Any questions about the rule should

be directed to the Office of Ethics, room

2158, Department of Housing and Urban

Development, 451 Seventh Street, S.W.,

Washington, D.C. 20410–3000.

Telephone: (202) 708–3815 (voice/TDD)

(these are not toll-free numbers). Forms

necessary for compliance with the rule

may be obtained from the local HUD

office.

H. Drug-Free Workplace Certification

The Drug-Free Workplace Act of 1988

(42 U.S.C. 701) requires grantees of

federal agencies to certify that they will

provide drug-free workplaces. Each

potential recipient under this NOFA

must certify that it will comply with

drug-free workplace requirements in

accordance with the Act and with

HUD’s rules at 24 CFR part 24, subpart

F.

Catalog of Federal Domestic Assistance

The Catalog of Federal Domestic

Assistance program number is 14.853.

Authority: 42 U.S.C. 1437r; 42 U.S.C.

3535(d).

Dated: February 22, 1995.

Joseph H. Shuldiner,

Assistant Secretary for Public and Indian

Housing.

Appendix—Names, Addresses, and

Telephone Numbers of HUD Field Offices

Accepting Applications for Tenant

Opportunities Program Technical Assistance

Massachusetts State Office

Public Housing Division, Room 375, Thomas

P. O’Neill, Jr. Federal Building, 10

Causeway Street, Boston, Massachusetts

02222–1092, (617) 565–5234

Connecticut State Office

Public Housing Division, First Floor, 330

Main St., Hartford, Connecticut 06106–

1860, (203) 240–4523

New Hampshire State Office

Public Housing Division, Norris Cotton

Federal Building, 275 Chestnut St.,

Manchester, New Hampshire 03101–2487,

(603) 666–7681

Rhode Island State Office

Public Housing Division, Sixth Floor, 10

Weybosset Street, Providence, Rhode

Island 02903–3234, (401) 528–5351

New York State Office

Public Housing Division, 26 Federal Plaza,

New York, New York 10278–0068, (212)

264–6500

Buffalo Area Office

Public Housing Division, 465 Main Street,

Lafayette Court, 5th Floor, Buffalo, New

York 14203–1780, (716) 846–5755
Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / Notices 11233

New Jersey State Office

Public Housing Division, One Newark

Center, Thirteenth Floor, Newark, New

Jersey 07102–5260, (201) 622–7900

Washington, D.C. Office

Public Housing Division, 820 First St. N.E.,

Suite 300, Washington, D.C. 20002–4502,

(202) 275–9200

Pennsylvania State Office

Public Housing Division, Liberty Square

Building, 105 South Seventh Street,

Philadelphia, Pennsylvania 19106–3392,

(215) 597–2560

Maryland State Office

Public Housing Division, City Crescent

Building, 10 South Howard St., 5th Floor,

Baltimore, Maryland 21202–2505, (410)

962–2520

Pittsburgh Area Office

Public Housing Division, 412 Old Post Office

Courthouse, 7th Avenue and Grant St.,

Pittsburgh, Pennsylvania 15219–1906,

(412) 644–6428

Virginia State Office

Public Housing Division, The 3600 Centre,

3600 West Broad St., P.O. Box 90331,

Richmond, Virginia 23230–0331, (804)

278–4507

West Virginia State Office

Public Housing Division, 405 Capitol St.,

Suite 708, Charleston, West Virginia

25301–1795, (304) 347–7000

Georgia State Office

Public Housing Division, Richard B. Russell

Federal Building, 75 Spring Street, S.W.,

Atlanta, Georgia 30303–3388, (404) 331–

5136

Alabama State Office

Public Housing Division, Beacon Ridge

Tower, 600 Beacon Parkway West, Suite

300, Birmingham, Alabama 35209–3144,

(205) 290–7617

Kentucky State Office

Public Housing Division, P.O. Box 1044, 601

W. Broadway, Louisville, Kentucky 40201–

1044, (502) 582–5251

Mississippi State Office

Public Housing Division, Dr. A. H. McCoy

Federal Building, 100 West Capitol St.,

Suite 910, Jackson, Mississippi 39269–

1096, (601) 965–5308

North Carolina State Office

Public Housing Division, Koger Building,

2306 W. Meadowview Rd., Greensboro,

North Carolina 27407–3707, (910) 547–

4001

Caribbean Office

Public Housing Division, New San Juan

Office Building, 159 Carlos E. Chardon

Ave., San Juan, Puerto Rico 00918–1804,

(809) 766–6121

South Carolina State Office

Public Housing Division, Strom Thurmond

Federal Building, 1835 Assembly St.,

Columbia, South Carolina 29201–2480,

(803) 765–5592

Knoxville Area Office

Public Housing Division, John J. Duncan

Federal Building, 710 Locust St., 3rd Floor,

Knoxville, Tennessee 37902–2526, (615)

545–4384

Tennessee State Office

Public Housing Division, 251 Cumberland

Bend Drive, Suite 200, Nashville,

Tennessee 37228–1803, (615) 736–5213

Jacksonville Area Office

Public Housing Division, Southern Bell

Tower, 301 West Bay Street, Suite 2200,

Jacksonville, Florida 32202–5121, (904)

232–2626

Illinois State Office

Public Housing Division, Ralph Metcalfe

Federal Building, 77 West Jackson

Boulevard, Chicago, Illinois 60604–3507,

(312) 353–5680

Michigan State Office

Public Housing Division, Patrick V.

McNamara Federal Building, 477 Michigan

Ave., Detroit, Michigan 48226–2592, (313)

226–7900

Indiana State Office

Public Housing Division, 151 North Delaware

St., Indianapolis, Indiana 46204–2526,

(317) 226–6303

Grand Rapids Area Office

Public Housing Division, 2922 Fuller Ave.,

N.E., Grand Rapids, Michigan 49505–3499,

(616) 456–2100

Minnesota State Office

Public Housing Division, 220 2nd St. South,

Bridge Place Building, Minneapolis,

Minnesota 55401–2195, (612) 370–3000

Cincinnati Area Office

Public Housing Division, 525 Vine St., 7th

Floor, Cincinnati, Ohio 45202–3188, (513)

684–2884

Cleveland Area Office

Public Housing Division, Renaissance

Building, 1350 Euclid Ave., 5th Floor,

Cleveland, Ohio 44115–1815, (216) 522–

4058

Ohio State Office

Public Housing Division, 200 North High

Street, Columbus, Ohio 43215–2499, (614)

469–5737

Wisconsin State Office

Public Housing Division, Henry S. Reuss

Federal Plaza, 310 W. Wisconsin Ave.,

Suite 1380, Milwaukee, Wisconsin 53203–

2289, (414) 297–3214

Texas State Office

Public Housing Division, 1600

Throckmorton, P.O. Box 2905, Fort Worth,

Texas 76113–2905, (817) 885–5401

Houston Area Office

Public Housing Division, Norfolk Tower,

2211 Norfolk, Suite 200, Houston, Texas

77098–4096, (713) 834–3274

San Antonio Area Office

Public Housing Division, Washington Square

Building, 800 Dolorosa St., San Antonio,

Texas 78207–4563, (210) 229–6800

Arkansas State Office

Public Housing Division, TCBY Tower, 425

West Capitol Ave., Little Rock, Arkansas

72201–3488, (501) 324–5931

Louisiana State Office

Public Housing Division, Fisk Federal

Building, 1661 Canal St., Suite 3100, New

Orleans, Louisiana, 70112–2887 (504) 589–

7200

New Mexico State Office

Public Housing Division, 625 Truman Street

N.E., Albuquerque, NM 87110–6443, (505)

262–6463

Nebraska State Office

Public Housing Division, 10909 Mill Valley

Rd., Omaha, Nebraska 68154–3955, (402)

492–3100

St. Louis Area Office

Public Housing Division, Robert A. Young

Federal Building, 1222 Spruce St. Room

3207, St. Louis, Missouri 63103–2836,

(314) 539–6583

Kansas/Missouri State Office

Public Housing Division, Room 200, Gateway

Tower II, 400 State Avenue, Kansas City,

Kansas 66101–2406, (913) 551–5462

Iowa State Office

Public Housing Division, Federal Building,

210 Walnut St., Rm. 239, Des Moines, Iowa

50309–2155, (515) 284–4512

Colorado State Office

Public Housing Division, 633 17th Street,

First Interstate Tower North, Denver,

Colorado 80202–3607, (303) 672–5440

California State Office

Public Housing Division, Philip Burton

Federal Building & U.S. Courthouse, 450

Golden Gate Avenue, P.O. Box 36003, San

Francisco, California 94102–3448, (415)

556–4752

Hawaii State Office

Public Housing Division, 7 Waterfront Plaza,

500 Ala Moana Blvd., Suite 500, Honolulu,

Hawaii 96813–4918, (808) 552–8175

Los Angeles Area Office

Public Housing Division, 1615 W. Olympic

Blvd., Los Angeles, California 90015–3801,

(213) 251–7122

Sacramento, California Office

Public Housing Division, 777 12th St., Suite

200, Sacramento, California 95814–1997,

(916) 551–1351

Arizona State Office

Public Housing Division, Two Arizona

Center, 400 N. 5th St., Suite 1600, Phoenix,

Arizona 85004–2361, (602) 379–4434

Oregon State Office

Public Housing Division, Cascade Building,

520 Southwest Sixth Ave., Portland,

Oregon 97204–1596, (503) 326–2561
11234 Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / Notices

Washington State Office

Public Housing Division, Suite 200, Seattle

Federal Office Building, 909 First Avenue,

Seattle, Washington 98104–1000, (206)

220–5101

Alaska State Office

Public Housing Division, University Plaza

Building, 949 E. 36th Ave., Suite 401,

Anchorage, Alaska 99508–4399, (907) 271–

4170

Native American Program Offices

Serves: All States East of the Mississippi

River and Iowa

Administrator, Eastern/Woodlands Office of

Native American Programs, 5P, 77 W.

Jackson Boulevard, 24th Floor, Chicago,

Illinois 60604–3507, (312) 886–4532

Serves: Oklahoma, Kansas, Missouri, Texas,

Arkansas and Louisiana

Administrator, Southern Plains Office of

Native American Programs, 6.7P, Murrah

Federal Building, 200 N.W. 5th Street,

Oklahoma City, Oklahoma 73102, (405)

231–4101

Serves: Colorado, Montana, the Dakotas,

Nebraska, Utah and Wyoming

Mr. Vernon Haragara, Administrator,

Southern Plains Office of Native American

Programs, 8P, First Interstate Tower North,

633 17th Street, Denver, Colorado 80202–

3607, (303) 672–5462

Serves: California, Nevada, Arizona and New

Mexico

Mr. Raphael Mecham, Administrator,

Southwest Office of Native American

Programs, Two Arizona Center, 9 OIP, 400

N. Fifth Street, Suite 1650, Phoenix,

Arizona 85004, (602) 379–4156

Serves: Washington, Idaho and Oregon

Mr. Jerry Leslie, Administrator, Northwest

Office of Native American Programs, 10PI,

Seattle Federal Office Building, 909 First

Avenue, Suite 300, Seattle, Washington

98104, (206) 220–5270

Serves: Alaska

Mr. Marlin Knight, Administrator, Alaska

Office of Native American Programs,

10.1PI, University Plaza Building, 949 East

36th Avenue, Suite 401, Anchorage, Alaska

99508–4399, (907) 271–4633

[FR Doc. 95–4968 Filed 2–24–95; 11:36 am]

BILLING CODE 4210–33–P