35022 Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices

DEPARTMENT OF HOUSING AND

URBAN DEVELOPMENT

[Docket No. FR–4066–N–01]

Office of the Assistant Secretary for

Public and Indian Housing; NOFA for

FY 1996 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 1996.

SUMMARY: HUD is announcing the

availability of $15 million for Fiscal

Year 1996 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, and includes an

appendix setting out the Consultant/

Trainer Checklist.

DATES: Application kits may be

requested beginning July 3, 1996. The

application deadline will be specified in

the application kit, and will be firm as

to date and time. Applicants will have

at least 30 days from today’s publication

of the NOFA to prepare and submit their

applications.

The separate deadline for comments

on the information collection

requirements is September 3, 1996.

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–4066. Applicants may

access the TOP Application Kit through

HUD’s World Wide Web site at http://

www.hud.gov/pih. This NOFA cannot

be used as the application.

Comments on the proposed

information collection requirements

must refer to the NOFA for FY 1996 for

the Public and Indian Housing Tenant

Opportunities Program Technical

Assistance (FR–4066), and must be sent

to: Reports Liaison Officer, Office of

Community Relations and Involvement,

Department of Housing and Urban

Development, 451 7th Street, SW, Room

4112, Washington, DC 20410–3600.

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, SW., Room 4112,

Washington, D.C. 20410; telephone:

(202) 708–3611. All Indian Housing

applicants may contact Tracy Outlaw,

Office of Native American Programs,

Department of Housing and Urban

Development, 451 Seventh Street, SW,

Room B–133, Washington, D.C. 20410;

telephone: (202) 755–0088. For hearingand speech-impaired persons, these

numbers may be accessed via TTY (text

telephone) by calling the Federal

Information Relay Service at 1–800–

877–8339. (Other than the ‘‘800’’ TTY

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 (OMB) in

accordance with the Paperwork

Reduction Act of 1995 (44 U.S.C. 3501–

3520), and have been assigned OMB

control number 2577–0087. 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. Because this OMB control

number will be expiring later this year,

the Department is soliciting comments,

as required under 5 CFR 1320.8(d),

before submitting the information

collection requirements contained in

this NOFA to OMB for renewal of the

control number in accordance with 5

CFR 1320.10. Information on the

estimated information collection burden

is provided under the heading, Other

Matters, at the end of this notice.

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)).

The amount of funding provided under

this NOFA was appropriated for the

program in the Omnibus Consolidated

Rescissions and Appropriations Act of

1996 (Pub. L. 104–134, 110 Stat. 1321;

approved April 26, 1996).

B. Statutory Background

Section 122 of the Housing and

Community Development Act of 1987

(Pub. L. 100–42, approved February 5,

1988) amended the United States

Housing Act of 1937 (1937 Act) by

adding a new section 20 (42 U.S.C.

1437r) (section 20). Section 20 states as

part of 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):

. . . [T]he 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 950, 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.

The TOP 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. 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). The TOP technical

assistance grants are available 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
Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices 35023

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. The

Department strongly encourages

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.

In FY 1996, $15 million is available

to public and Indian housing RCs/

RMCs/ROs, of which $500,000 is setaside for NROs/RROs/SROs to provide

technical assistance and training

activities under the TOP program.

Today, approximately 905 resident

groups throughout the country are in

training under this program. HUD

supports the tenant opportunities

movement, as well as other selfsufficiency and improvement programs

designed to benefit public and Indian

housing residents. HUD’s Office of

Community Relations and Involvement

has the responsibility of delivering 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. Termination and Enforcement of

Grant Award

All grant awards may be terminated if

a recipient materially fails to comply

with the terms and conditions of an

award in accordance with Revised OMB

Circular A–110 and 24 CFR part 84

(§§ 84.60, 84.61, and 84.62).

D. New Features of This NOFA

(1) All applicants are required to

submit a TOP Work Plan that includes

TOP-specific training programs/

performance standards for

implementing the TOP grant. The

purpose of the training programs/

performance standards is to facilitate

positive outcomes, products or

deliverables such as jobs, businesses,

and services. The applicant must select

and implement the training programs/

performance standards of choice in

accordance with the needs of the

community. The training programs/

performance standards are not allinclusive, and grantees may work with

the HUD Field Offices to establish other

training programs/performance

standards to meet their needs, provided

that the results would be measurable.

(See Section I.Q of this NOFA).

(2) All TOP grantees must adhere to

the new travel policy established by

HUD. The policy ensures that all travel

funded under TOP is directed toward

the successful completion of the

required TOP Work Plan/Performance

Standards and time frames as explained

in Section I.Q of this NOFA. The travel

policy sets a maximum amount of

$5,000 over the 3- to 5-year period of the

grant. Requests for funds beyond the

limit of $5,000 must be approved by the

local HUD Office. All grantees must

attend a HUD-sponsored TOP

orientation training prior to expending

TOP funds, with the exception of funds

needed to attend the training. If the

grantee’s grant agreement is executed

and the organization is properly

established in the Line of Credit Control

System/Voice Response System

(LOCCS/VRS), the grantee must draw

down the total amount needed to attend

the training. If the grantee’s grant

agreement is not executed and the

organization is not properly established

in the LOCCS/VRS, the grantee may

request the HA to advance the

organization the total amount needed to

attend the HUD orientation training.

The grantee must reimburse the HA

when the organization is properly

established in the LOCCs/VRS.

This travel policy is not applicable to

NROs/RROs/SROs. HUD will be

developing a travel policy that

establishes guidelines for NROs/RROs/

SROs in the near future.

(3) To ensure the successful

implementation of the TOP Work plan

activities, RCs/RMCs/ROs are required

to determine the need to contract for

outside consulting/training services,

after considering their own capacity.

Each RC/RMC/RO is encouraged to

make maximum use of its HA;

nonprofits; or other Federal, State, or

local government resources for technical

assistance and training needs. All Basic

Grantees may use up to $15,000 to

obtain a consultant/trainer from the

TOP database of registered consultant/

trainers for assistance in implementing

Tasks 1 through 4 of the TOP Work

Plan. (The TOP Work Plan is included

in the TOP Application Kit).

The HA; other nonprofits; and

Federal, State, or local government

resources may serve as the consultant/

trainer; however, the identified source

that intends to establish a contract with

the RC/RMC/RO must register with

HUD prior to executing a contract.

(4) HUD encourages all interested

consultants/trainers to register to

participate in the TOP by completing

the Consultant/Trainer Checklist

included as an Appendix to this NOFA

and mailing it to the following address:

Department of Housing and Urban

Development, Office of Public and

Indian Housing, Office of Resident

Involvement, 451 7th Street, SW, Room

4112, Washington, D.C. 20410.

The TOP grantee may select the HA

as the consultant/trainer, however, the

HA must register to be included in the

TOP database. Grantees may invite other

familiar consultants/trainers to register

in the TOP database.

(5) After completion of Tasks 1

through 4 of the TOP Work Plan, the

RC/RMO/RO may hire a consultant/

trainer to assist in the implementation

of Tasks 5 through 7 of the TOP Work

Plan. The grantees must follow 24 CFR

84, which implements OMB Circular A–

110 and prescribes standards and

policies essential to ensure open and

free competition for the proper

execution of procurement transactions

when selecting a consultant/trainer.

HUD will make available the source list

of registered consultant/trainers upon

request, for use in a competitive

solicitation for consultant services to

assist the RC/RMC/RO in implementing

TOP Work Plan Tasks 5 through 7 of the

TOP Work Plan. The amount allowed

for hiring an individual consultant for

this purpose shall not exceed 50 percent

of the total grant award or $50,000,

whichever is less. HUD Field Offices

will monitor this process to ensure

compliance with these requirements.

(6) Applicants shall not solicit any

proposals for application preparation or

a training and technical assistance

contract prior to receiving a TOP grant

award. This year HUD is eliminating the

‘‘full-service’’ and ‘‘separation of

application preparation’’ approaches to

be used by grantees for obtaining

consultant services. The full-service

approach allowed RCs/RMCs/ROs to

solicit competitive proposals for

consultants to assist in the preparation

of the application and included

provisions for a training and technical

assistance contract without another

competitive process if the RCs/RMCs/

ROs were selected to receive a grant.
35024 Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices

The separation of application

preparation from consultant work to be

performed after the award of a grant

approach allowed an applicant to solicit

competitive proposals and contract with

a Consultant-Trainer/Housing

Management specialist for the

development of an application for

technical assistance. If the applicant

was selected for funding, the

Consultant/Trainer/Housing

Management Specialist had to compete

again through an open and free

procurement process for a training and

technical assistance contract.

(7) All NROs/RROs/SROs must be

registered as a nonprofit organization at

the time of application submission.

NROs/RROs/SROs must list in the

application the name of the RCs/RMCs/

ROs that the organization will train or

provide technical assistance and must

provide letters of support from each

entity identified in the application. The

NROs/RROs/SROs cannot list RCs/

RMC/ROs that have received a

maximum of $100,000.

(8) HUD no longer allows the

formation of Partnership Paradigm

Technical Assistance (PPTA)

organizations or the Technical

Assistance Organizations (TAOs).

Therefore, no PPTA or TAO

applications will be considered for a

TOP grant.

(9) HUD has included eligible

activities for the elderly or disabled

persons. (See section I.K(5) of this

NOFA).

(10) All RCs/RMCs/ROs, city-wide/

jurisdiction-wide organizations and

NROs/RROs/SROs previously funded

the maximum of $100,000 under the

TOP cannot reapply for funding under

this NOFA. This decision was made in

accordance with section 20(f)(2), which

states ‘‘the financial assistance provided

under this subsection with respect to

any public housing project may not

exceed $100,000.’’ This section would

also prohibit an award to NROs/RROs/

SROs if the resident organizations being

served have received the maximum

amount of $100,000.

E. Other Features of This NOFA

(1) RCs/RMCs/ROs that have duly

elected boards may receive up to

$100,000.

(2) All applicants that are selected for

funding (including NROs/RROs/SROs)

will access the grant funds through the

LOCCS/VRS as explained in Section I.F,

‘‘Funding,’’ of this NOFA.

(3) An application kit is required as

the formal submission to apply for

funding. The kit includes information

on the preparation of a TOP Work Plan/

Performance Standards 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 (see Section I.H., TOP

Technical Assistance Grant Agreement).

The kit also includes narratives,

certifications, and forms.

(4) A specific certification form is

included in the application kit that

requires each 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 and/or an independent third party

monitor. (Not applicable to Indian ROs

or NROs/RROs/SROs).

(5) The information listed below is

regarding all HOPE I (lead or joint)

applicants:

All applications that are submitted by

HOPE I (lead or joint) grantees 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 I

funds, such as resident management

funds). Consequently, in reviewing TOP

grant applications, for all applicants

who are HOPE I (lead or joint) grantees

the following rules apply:

Rule 1. An applicant for TOP funds

that has received a HOPE I 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 I

application to use TOP funding to carry

out those activities.

Rule 2. An applicant for TOP funds

that has received a HOPE I Mini

Planning grant (as a lead or joint

applicant) may not receive a TOP grant

for any activity proposed for funding in

the HOPE I 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 that are curable in this

application submission as provided for

in this NOFA.

F. Funding

As noted, $15 million was

appropriated in FY 1996 for the TOP. Of

this amount, $25,000 has been allocated

to one RC not funded in the FY 1995

funding cycle because of a HUD

technical error. The remainder of the

funds is being made available on a

competitive basis under this NOFA to

applicants that submit timely

applications and are selected for

funding. Under section 20(f)(2), this

financial assistance may not exceed

$100,000 with respect to any public

housing project.

Of the remaining $14,975,000 in

funds, $500,000 will be awarded to

NROs, RROs, and SROs. The purpose of

these grants 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.

With the remaining $14,475,000, the

Department will provide two types of

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

Grants; and (2) Additional Grants.

Basic Grants

All RCs/RMCs/ROs that have been in

existence for several years, and new

emerging groups that meet eligibility

requirements (see Definitions, Section

I.I of the NOFA), may apply for a Basic

Grant for up to $100,000. All grantees

will access the TOP grant funds through

the LOCCS/VRS.

To ensure the progress of the grantees,

each grantee will be allowed to draw

down through LOCCS/VRS only the

specific amount of funding needed to

complete the tasks and subtasks

specified in the TOP Work Plan. The

grantee must complete all activities

under Tasks 1 through 4 in the TOP

Work Plan prior to advancing to TOP

Work Plan Tasks 5 through 7 and

receiving additional funds.

The local HUD Field Office or Area

Office of Native American Programs

(ONAP) will be responsible for

approving the TOP Work Plan and

permitting grantees access to the

LOCCS/VRS.

Additional Grants

Any RC/RMC/RO selected for a

Resident Management(RM)/TOP grant

in FYs 1988–1995 (including a mini

grant for start-up activities) that

received less than a total of $100,000
Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices 35025

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/VRS only the

specific amount of funding needed to

complete the tasks and subtasks

specified in the TOP Work Plan. Each

Additional Grant grantee must provide

a progress report that will indicate

accomplishments and the remaining

tasks to be completed. The local HUD

Field Office or Area ONAP will be

responsible for approving the TOP Work

Plan and permitting grantees access to

the LOCCS/VRS.

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.O(1) of this NOFA are

completed and documentation is

included as evidence.

NROs/SROs/RROs Grants

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

Section I.P of this NOFA, and applicants

must meet eligibility requirements. The

local HUD Field Office or Area ONAP

will be responsible for approving the

TOP Work Plan and determining the

ability of the grantee to access the

LOCCS/VRS.

Each NRO/RRO/SRO must be

registered as a nonprofit organization at

the time of application submission.

NROs/RROs/SROs must list in the

application the name of the RCs/RMCs/

ROs that the organization will train or

provide technical assistance, and

provide letters of support from each

entity identified in the application. The

NROs/RROs/SROs cannot list RCs/

RMC/ROs that have already received the

maximum of $100,000.

G. Fair Housing Act Requirement

No grantee may discriminate based on

race, national origin, religion, color,

familial status, disability, or sex in the

provision of any benefits or services.

H. 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 administrative documents

and forms needed to execute the grant.

No funds can be drawn down by a

grantee until the grant agreement is

executed by the local HUD Field Office

or Area ONAP.

I. 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 950:

Resident Management Corporation

(RMC). An entity that proposes to enter

into, or enters into, a contract to manage

IHA property. The corporation shall

have each of the following

characteristics:

(1) It shall 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 shall have an elected Board of

Directors;

(4) Its by-laws shall 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; and
35026 Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices

(6) It shall be approved by the

resident organization. If there is no

organization, a majority of the

households of the project or projects

shall 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 shall 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 shall fairly

represent residents from each

development that it represents;

(3) It shall adopt written procedures

providing for the election of specific

officers on a regular basis; and

(4) It shall 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

NROs/RROs/SROs applicants:

(Note: A NRO/RRO/SRO must be

incorporated as a nonprofit organization at

the time of application submission to be

eligible for funding under this NOFA.)

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:

(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.

J. Eligibility

Only organizations that meet the

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

RRO/SRO, as set forth under the Section

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

eligible for funding under this NOFA.

The local HUD Field Office or Area

ONAP will screen applications to

determine compliance with the

following:

(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) An RC/RMC/RO must have a

democratically elected governing board

to be eligible for funding. The applicant

will be required to complete a

certification of resident council board

election, which must be notarized and

signed by the local HA or an

independent third-party monitor. (Not

applicable to Indian ROs and NROs/

RROs/SROs.)

(3) A RC/RMC/RO will receive

consideration for a Basic Grant based on

the rating factors contained in Section

I.N of this NOFA.

(4) A RC/RMC/RO selected for

funding in FYs 1988–1995 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. Grantees that were awarded

the maximum total amount of $100,000

in FYs 1988–1995 are not eligible to

apply.

(5) A RC/RMC/RO will receive

consideration for an Additional Grant

based on the rating factors contained in

Section I.O of this NOFA.

(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 and apply

jointly for a TOP grant. However, the

city-wide organization cannot represent

any RC/RMC/RO that has received

Resident Management (RM)/TOP

technical assistance funding totalling

$100,000 in previous years. 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, and as long as no public

housing development receives more

than $100,000. All applications will be

screened for duplicative activities.

(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.I) 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.

Jurisdiction-wide organization

applicants may receive up to the

maximum total of $100,000, provided

no public housing development

included in its application receives

more than a total of $100,000 of TOP

funding.

(9) An NRO/SRO/RRO that is

organized to provide technical

assistance to RCs/RMCs/ROs may

receive grants up to the maximum total

of $100,000, provided no public housing

development included in its application

receives more than a total of $100,000

of TOP funding. An NRO/SRO/RRO

previously funded for $100,000 cannot

reapply for funding under this NOFA,

because of the statutory limitation of

$100,000.

K. 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.
Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices 35027

(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, including the residents’

rights under the housing program,

procedures for reporting violations, all

civil rights-related program

requirements, requirements for

reasonable accommodation, and

alleviating architectural barriers.

• 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 a

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:

• Training that is required to

establish a partnership between the HA

and the residents. RCs/RMCs/ROs under

the same HA’s jurisdiction may wish to

come together jointly, pool grant funds,

and hire a consultant who will provide

technical assistance and training related

to building a partnership with the HA

and assist in implementing activities in

the TOP program.

• Other partnerships developed by

the local residents/HA in the

community.

(5) Social Support Services (such as

self-sufficiency; youth initiatives; and

elderly/handicapped activities):

• Conducting feasibility studies to

determine training and social services

needs;

• Coordinating 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;

• Conducting 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.

• Developing a plan to establish a

congregate meal program for seniors,

including seniors living in a family

project;

• Developing a plan to establish a

transportation system that would

provide transportation of residents to

senior and youth activities and activities

for persons with disabilities; and

• Training programs in developing a

resident newspaper that would be

written by and for residents.

(6) General:

• Training required 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 training programs/

performance standards and assessment

procedures to measure the success of

the RC/RMC/RO;

• Gaining 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. By

law, resident grantees must ensure that

all training is provided by a qualified

public housing management specialist

(Consultant/Trainer) or the local HA. To

ensure the successful implementation of

the TOP Work Plan activities, the RCs/

RMCs/ROs are required to determine the

need to contract for outside consulting/

training services, after considering their

own capacity. The RCs/RMCs/ROs are

encouraged to make maximum use of

their HA, nonprofits, or other Federal,

State, or local government resources for

technical assistance and training needs.

All Basic Grantees may use up to

$15,000 to obtain a consultant/trainer

from the TOP database of registered

consultant/trainers for assistance in

implementing Tasks 1 through 4 of the

TOP Work Plan. (The TOP Work Plan is

included in the TOP Application Kit.)

The HA, other nonprofits, Federal,

State or local government resources may

serve as the consultant/trainer; however,

the identified source that intends to

establish a contract with the RC/RMC/

RO must register with HUD prior to

executing a contract.

After completion of Tasks 1 through

4 of the TOP Work Plan, the RC/RMO/

RO may hire a consultant/trainer to

assist in the implementation of Tasks 5

through 7 of the TOP Work Plan. The

grantees must follow 24 CFR 84, which

implements OMB Circular A–110 and

prescribes standards and policies

essential to ensure open and free

competition for the proper execution of

procurement transactions when

selecting a consultant/trainer. HUD will

make available the source list of

registered consultant/trainers upon

request, for use in a competitive

solicitation for consultant services to

assist the RC/RMC/RO in implementing

TOP Work Plan Tasks 5 through 7 of the

TOP Work Plan. The amount allowed

for hiring an individual consultant for

this purpose shall not exceed 50 percent

of the total grant award or $50,000,

whichever is less. HUD Field Offices

will monitor this process to ensure

compliance with these requirements.

• 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 will only receive stipends

for participating in or receiving training

under the TOP, subject to the

availability of funds, if the following

applies:

(i) The RCs/RMCs/ROs have

completed at least two training

programs/performance standards, one of

which must be the training program/

performance standard listed as number
35028 Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices

one in the Work Plan/Training

Programs/Performance Standards

section (see Work Plan/Training

Programs/Performance Standards,

Section I.Q of this NOFA). The stipends

should be used for additional costs

incurred during the training programs,

such as childcare and transportation

costs; or

(ii) RCs/RMCs/ROs are being trained

to implement resident management

activities only, and the officers and

members of the resident entity are

within 3 to 6 months of establishing a

dual/full management contract with the

PHA/IHA. Generally, no more than 10

percent 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 the

TOP travel policy and 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.

The services coordinator should identify

a plan to provide short-term technical

assistance, assess, 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.K, ‘‘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. A grantee must justify the

need for this equipment in relationship

to implementing the TOP initiatives.

• Travel directly related to the

successful completion of the required

TOP Work Plan. All grantees must

adhere to the travel policy established

by HUD and must have received TOP

orientation training prior to spending

any TOP funds, with the exception of

funds needed to attend a HUDsponsored TOP orientation training. The

policy sets travel costs at a maximum

amount of $5,000 per RC/RMC/RO (not

applicable to NROs/RROs/SROs).

• 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:

• Identify inactive RCs/RMCs/ROs

that have RM/TOP grants and provide

local training and technical assistance to

enable the organizations to implement

the RM/TOP Work Plan;

• Assist residents in organizing a RC/

RMC/RO and provide appropriate

training and technical assistance (i.e.,

incorporation, nonprofit status, by-laws,

elections; buildings, floor, and block

captains; leadership training; form a

partnership with the HA; develop and

implement a needs assessment survey).

This list is not inclusive.

• Provide training and technical

assistance to the resident organizations

in accomplishing any of the eligible

activities related to the TOP initiatives.

• Provision of training must be

performed within the jurisdiction of the

resident organization. This will require

the trainer to be a local person or entity.

All NROs/RROs/SROs must be

knowledgeable and adhere to all

policies that relate to the RC/RMC/RO.

L. 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 performed in

connection with implementing the TOP

Work Plan. (See TOP Travel Notice for

more specific guidance.)

(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;

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

bus, etc.) or any other property, other

than as described under paragraph (9) of

Section I.K, ‘‘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.

M. Selection Process

Each application for a grant award

that is submitted in a timely manner, as

specified in the application kit, to the

appropriate local HUD field office or

Area Office of Native American

Programs (ONAP) (see Appendix to this

NOFA) 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 50 points

(out of the maximum of 110 points) to

be eligible for funding. NROs/RROs/

SROs must receive a minimum score of

50 points (out of a maximum of 110) to

be considered for funding. The local

Field Office or Area ONAP 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.

N. Rating Factors—Basic Grants

An application for funding for a Basic

Grant will be reviewed based on the

following Rating Factors (maximum of

110 points, including 10 bonus points).
Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices 35029

(1) DESCRIBE THE ACTIVITIES AND

GOALS OF THE RC/RMC/RO AND THE

COMMUNITY (Maximum Points: 25):

• A high score (Maximum Points: 25)

is received where the RC/RMC/RO

identifies activities and describes the

goals of the community. The applicant

includes a detailed and structured plan

for addressing the needs and

accomplishing the overall goals of the

RC/RMC/RO.

• A medium score (Maximum Points:

12) 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 support by the residents and

provides documentation that shows

support and the involvement of the

residents in the RC’s/RMC’s/RO’s

activities. An applicant must submit a

copy of a petition or other

documentation (e.g., membership list)

showing 75–100 percent of support and

involvement of the residents, minutes of

the RC’s/RMC’s/RO’s recent monthly

meeting, and the attendance log.

• A medium score (Maximum Points:

12) is received where the RC/RMC/RO

describes support by the residents and

the documentation of support includes

a petition or other documentation (e.g.,

membership list) showing 50 percent of

support and involvement of the

residents.

• A low score (5 points) is received

where the RC/RMC/RO describes

support by the residents and the

documentation of support includes

documentation (e.g., petition,

membership list) showing less than 50

percent of support and involvement of

the residents.

• 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

support is not mentioned in the

narrative.

(3) EVIDENCE THAT THE RC/RMC/

RO HAS A PARTNERSHIP WITH THE

HA: (Maximum Points: 25 + 10 bonus

points). Under this factor, 10 Bonus

Points will be given if the applicant can

provide a narrative describing any

additional partnerships the RC/RMC/RO

has developed with the housing

authority in order to implement other

programs or initiatives such as Section

3 initiatives, HUD’s Drug Elimination

Program, Youth Sports Program,

Comprehensive Grant (CGP), or other

related initiatives. The narrative

describing the additional partnerships

must be signed by both the HA’s

Executive Director and a member of the

RC’s/RMC’s/RO’s Board. The narrative

cannot include activities that are listed

in the letter of support provided by the

local HA.

• A high score (Maximum Points: 25)

is received where the RC/RMC/RO

provides a letter of support from the

local HA that shows evidence that the

HA and RC/RMC/RO have been working

in partnership for at least 2 years, and

the HA has provided opportunities and

services such as training, contracts for

services, transportation, and other inkind services. (The letter must be signed

by the local HA Executive Director.)

There must be evidence that the HA has

committed to support the RC/RMC/RO

activities under the TOP program and

has assisted in the preparation of the

RC/RMC/RO’s application for funding.

The partnership must also be evidenced

by submitting a copy of an executed

Memorandum of Understanding (MOU).

• A medium score (Maximum Points:

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

RMC/RO provides a letter of support

from the HA that states its support of

the RC’s/RMC’s/RO’s activities, but

there is no evidence of a commitment to

assist the RC/RMC/RO in implementing

the TOP Work Plan or of a partnership

established between the HA and the

residents; 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: 15)

• A high score (Maximum Points: 15)

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:

7) is received where the RC/RMC/RO

provides letters of support from two

entities.

• A low score (Maximum Points: 3) 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.

• 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

support from the State/Tribal/local

government, community organizations,

or other public/private sector groups.

(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:

• 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 lacks

experience but has provided an

acceptable plan (i.e., hiring the HA or

other private organizations) to develop

the financial controls.

• A medium score (Maximum Points:

5) is received where the RC/RMC/RO

provides evidence of having 1 year of

experience in handling financial

resources, but no accounting procedures

are established and no acceptable plan

has been provided to hire the HA or

other private organizations to develop

the financial controls.

• A low score (Maximum Points: 2) is

received where the RC/RMC/RO

provides evidence of having less than 1

year of experience in handling financial

resources.

• A score of zero (0 points) is

received where the RC/RMC/RO has no

experience in handling financial

resources and there is clearly no

accounting system or procedures

established.

O. Rating Factors—Additional Grants

An application for funding for an

Additional Grant will be reviewed based
35030 Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices

on the following Rating Factors

(maximum 110 points, including 10

bonus points).

(1) EVIDENCE OF

ACCOMPLISHMENTS AND NEED FOR

ADDITIONAL FUNDING (Maximum

Points: 30):

• A high score (Maximum Points: 30)

is received where the RC/RMC/RO

provides a summary that includes

accomplishments and a description of

need for additional funding. Applicant

must also provide evidence that shows

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 and/or an independent

third-party organization and minutes of

meetings);

(b) Developed by-laws pursuant to 24

CFR part 950, 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 floor/block captains or

residential community groups and

program committees that are in training

or had training to carry out specific

tasks (example: a copy of a list that

includes the floor/block captains or

residential community groups and

program committees, and training plan

or certificate of completion of training);

(d) Developed a basic financial

management and accounting system that

will provide effective control over and

accountability for all grant funds;

(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); and

(f) Evidence of completing a course of

TOP-related training (example: a copy of

the certificate or letter from the

consultant/trainer that indicates the

successful completion of training by the

RC/RMC/RO).

• A medium score (Maximum Points:

20) is received where the RC/RMC/RO

provides a summary that includes

accomplishments and a description of

need for additional funding and submits

evidence of completing four 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 two of

the activities listed under ‘‘high score’’

of this factor, but does not submit a

summary that includes

accomplishments and a description of

need for additional funding.

• A score of zero (0 points) is given

if the applicant does not submit a

summary that includes

accomplishments and a description of

need for additional funding or evidence

of accomplishing any of the activities

listed under ‘‘high score’’ of 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 support by the residents and

provides documentation that shows

support and the involvement of the

residents in the RC’s/RMC’s/RO’s

activities. An applicant must submit a

copy of a petition or other

documentation (e.g., membership list)

showing 75–100 percent of support and

involvement of the residents, minutes of

the RC’s/RMC’s/RO’s recent monthly

meeting, and the attendance log.

• A medium score (Maximum Points:

12) is received where the RC/RMC/RO

describes support by the residents and

the documentation of support includes

a petition or other documentation (e.g.,

membership list) showing 50 percent of

support and involvement of the

residents.

• A low score (5 points) is received

where the RC/RMC/RO describes

support by the residents and the

documentation of support includes

documentation (e.g., petition,

membership list) showing less than 50

percent of support and involvement of

the residents.

• 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

support is not mentioned in the

narrative.

(3) EVIDENCE THAT THE RC/RMC/

RO HAS A PARTNERSHIP WITH THE

HA: (Maximum Points: 25 + 10 bonus

points). Under this factor, 10 Bonus

Points will be given if the applicant can

provide a narrative describing any

additional partnerships the RC/RMC/RO

has developed with the housing

authority in order to implement other

programs or initiatives such as Section

3 initiatives, HUD’s Drug Elimination

Program, Youth Sports Program, CGP, or

other related initiatives. The narrative

describing the additional partnerships

must be signed by both the HA’s

Executive Director and a member of the

RC’s/RMC’s/RO’s Board. The narrative

cannot include activities that are listed

in the letter of support provided by the

local HA.

• A high score (Maximum Points: 25)

is received where the RC/RMC/RO

provides a letter of support from the

local HA that shows evidence that the

HA and RC/RMC/RO have been working

in partnership for at least 2 years, and

the HA has provided opportunities and

services such as training, contracts for

services, transportation, and other inkind services. (The letter must be signed

by the local HA Executive Director.)

There must be evidence that the HA has

committed to support the RC/RMC/RO

activities under the TOP program and

has assisted in the preparation of the

RC/RMC/RO’s application for funding.

The partnership must also be evidenced

by submitting a copy of an executed

Memorandum of Understanding (MOU).

• A medium score (Maximum Points:

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

RMC/RO provides a letter of support

from the HA that states its support of

the RC’s/RMC’s/RO’s activities, but

there is no evidence of a commitment to

assist the RC/RMC/RO in implementing

the TOP Work Plan or of a partnership

established between the HA and the

residents; 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 THE SUPPORT OF THE

STATE/TRIBAL/LOCAL

GOVERNMENT, COMMUNITY

ORGANIZATIONS, OR OTHER

PUBLIC/PRIVATE SECTOR GROUPS

(Maximum Points: 20)

• 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
Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices 35031

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.

P. Rating Factors—NROs/RROs/SROs

An application for funding will be

reviewed based on the following Rating

Factors (maximum of 110 points,

including 10 bonus points).

(1) DESCRIBE THE GOALS AND

OBJECTIVES OF THE NRO/RRO/SRO

(Maximum Points: 30):

• A high score (Maximum Points: 30)

is received where the NRO/RRO/SRO

provides a detailed plan clearly

describing 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 and a list of RCs/

RMCs/ROs that will receive training.

• 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. (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.

• A medium score (Maximum Points:

5) is received where the NRO/RRO/SRO

provides documentation of support that

is limited to minutes of meetings or

letters of support.

• Low score (Maximum Points: 2) is

received where the NRO/RRO/SRO fails

to provide documentation of support,

but support is mentioned.

(3) DESCRIPTION OF A PLAN TO

FACILITATE THE CREATION OF A

PARTNERSHIP(S) AMONG THE HA,

RESIDENTS, AND OTHER LOCAL

ORGANIZATIONS. (Maximum Points:

20 + 10 bonus points) Ten Bonus Points

will be given if the applicant can

provide a letter of support from the local

HA of each RC/RMC/RO identified to

receive training/technical assistance in

the application.

• A high score (Maximum Points: 20)

is received where the NRO/RRO/SRO

provides a detailed plan that clearly

describes methods for facilitating the

creation of a strong partnership among

the HAs, residents, and other local

organizations. The plan includes the

advantages of the partnership to the

residents and the community.

• A medium score (Maximum Points:

10) is received where the NRO/RRO/

SRO provides a general outline of

methods for facilitating the creation of

a strong partnership among the HA,

residents, and other local organizations.

• A score of zero (0 Points) is

received where the NRO/RRO/SRO

provides a plan that is not clear.

(4) TRAINING EXPERIENCE:

(4a) EVIDENCE OF PRIOR RESIDENT

TRAINING EXPERIENCE. This factor

can be demonstrated by the support of

the RCs/RMCs/ROs. The letters of

support should indicate the type and

quality of prior training and how the

training is being used by the RC/RMC/

RO. (Maximum Points: 20)

• A high score (Maximum Points: 20)

is received where the applicant provides

documentation that shows support by

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

a list that includes each RC/RMC/RO

that the NRO/RRO/SRO has provided

training or technical assistance. The list

must also include the type of contract

the NRO/RROs/SRO has established

with each RC/RMC/RO).

• A medium score (Maximum Points:

10) is received where the applicant

provides documentation that is limited

to a list that includes the RCs/RMCs/

ROs to which the NRO/RRO/SRO has

provided training or technical

assistance. The list must also include

the type of contract the NRO/RRO/SRO

has established with each RC/RMC/RO.

• Low score (Maximum Points: 5) is

received where the applicant fails to

provide documentation of support by

the development’s residents, but

support is mentioned.

(4b) 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: 10):

• A high score (Maximum Points: 10)

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.

Q. Top Work Plan/Training Programs/

Performance Standards

Each applicant is required to submit

a TOP Work Plan that includes TOPrelated activities that clearly show

accomplishment of the RC’s/RMC’s/

RO’s goals within 3–5 years. The budget

should include costs that are needed to

implement each activity and training

program/performance standard included

in the TOP Work Plan. The projected

budget should not exceed the maximum

amount of $100,000. The TOP Work

Plan should also include training

programs, against which HUD will

measure performance standards based

on task accomplishments and time

frames; for example, how detailed is the

TOP Work Plan; what is the time frame

for accomplishing the tasks; what

resources will be used to accomplish

these tasks, etc. Therefore, it is essential

that training programs/performance

standards and time frames be designed

to produce results. Grantees are required

to complete at least two training

programs/performance standards, one of

which must be the training program/

performance standard listed below as
35032 Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices

number ‘‘1.’’ These training programs/

performance standards are not allinclusive, and grantees may work with

the HUD Field Office and the local HA

to select other training programs/

performance standards to meet their

specific needs; however, the results

must be measurable. Time frames for the

suggested training programs/

performance standards listed below are

flexible, up to the limit established in

each activity. Failure to meet the time

frames may result in default of the

Technical Assistance Grant (TAG)

Agreement. Whenever the RC/RMC/RO

hires a trainer or other expert for

training/technical assistance, the

training/technical assistance must be

provided by a qualified housing

management specialist, Consultant/

Trainer, the HA, or other sources

knowledgeable about the program.

Training Programs/Performance

Standards

The training programs/performance

standards include, but are not limited

to:

1. Train block/building/floor captains,

members of the RC/RMC/RO board, and

other interested residents to increase its

capacity as an organization. Examples

may include, but are not limited to,

establishing operating/planning

committees and block/building/floor

captains to carry out specific

organization tasks and developing a

cohesive relationship between the

residents and the local community.

The training program must begin

within 3–6 months after the TAG

Agreement has been executed. All

grantees must perform this training

activity in a timely manner, because it

serves to focus the resident community

and will broaden participation by

providing specific training to a large

body of residents.

The following HUD requirements and

training elements can be included in a

training program:

• 24 CFR part 964 and part 950

(Public/Indian Housing).

• Training in civil rights

requirements, including those for

persons with disabilities.

• Procedures and guidelines

governing TOP.

• Organization development.

• Conflict resolution and mediation.

• Techniques on planning and

conducting organizational meetings.

• HUD regulations and policies

governing the operation of low-income

housing, which includes CGP, Section

3, etc.

• Procurement and contracting;

financial management.

2. Develop strategies to decrease

crime and violence by creating a sense

of community responsibility and

common concerns.

This training program must be in

place within 6 months of completing

TOP Work Plan Tasks 1 through 4;

however, the results may take much

longer. By completing the first training

activity listed in number 1, above, there

may be automatic progress made on this

training activity, because crime and

violence decreases when a sense of

community begins to develop.

Community and caring, combined with

appropriate law enforcement, are the

best tools against crime.

3. Train residents to develop a tutorial

and scholarship program using a ‘‘Board

of Very Important Persons (VIP),’’ such

as Accountants, Bankers, Lawyers,

officials in public/private agencies/

organizations, to provide opportunities

for educational attainment needed to

perform resident-managed functions,

including through institutions of higher

learning.

This training program must be in

place within 12 to 19 months of

completing TOP Work Plan Tasks 1

through 4. This training activity may not

be appropriate for every resident. The

HA and grantee should work closely to

develop strategies that fit the needs of

the residents living in public/Indian

housing.

4. Train residents in areas related to

resident-owned businesses and provide

technical assistance for job training and

placement in the RMC development.

This can be accomplished by using

programs, such as the Section 3 jobs

initiative or, for IHAs, Indian preference

in accordance with 24 CFR Part 950.175

and Section 7(b) of the Indian Self

Determination and Education

Assistance Act (25 U.S.C. 450e(b)).

This training program must be in

place within 18 to 24 months of

completing TOP Work Plan Tasks 1

through 4. This training activity may be

achievable if developed in conjunction

with the Section 3 technical assistance

initiative and the Comprehensive Grant

Program. The training strategy

developed to implement the first

training activity listed in number 1,

above, can facilitate a practical

approach to economic development and

job training.

5. Train and provide technical

assistance to residents in residentmanaged business development.

This training program must be in

place within 12 to 18 months of

completing TOP Work Plan Tasks 1

through 4. This training activity would

involve feasibility and market studies,

development of business plans,

outreach activities and innovative

financing methods involving revolving

loan funds and legal advice in

establishing a resident-managed

business entity.

6. Train residents in areas related to

social support needs.

This training program must be in

place within 24 months of completing

TOP Work Plan Tasks 1 through 4. This

training activity may involve feasibility

studies to determine training and social

support needs; training in managementrelated employment training and

counseling; coordination of support

services; training for programs such as

child care, early childhood

development, parent involvement,

volunteer services, parenting skills, and

before and after school programs; and

training programs on health, nutrition

and safety.

7. Train residents in the development

of strategies to implement successfully a

youth program that will address the

needs of the youth, such as reducing

crime, drug use, violence, and teenage

pregnancy.

This training program must be in

place within 18 months of completing

TOP Work Plan Tasks 1 through 4;

however, results may take longer. This

training activity could involve, for

example, the needs and problems of

youth; improving youth initiatives that

are currently active; and training youth,

housing authority staff, resident

management corporations, and resident

councils on youth initiatives and

program activities.

8. Train residents in the management

of public and Indian housing

developments.

This training program must be in

place within 24 months of completing

TOP Work Plan Tasks 1 through 4. This

training activity requires residents to

establish a partnership with the HA,

receive training relating to property

management, and establish a dual/full

management contract with the HA. The

dual management contract allows

residents to work jointly with the HA in

preparation for managing certain

functions in the development. The full

management contract allows residents

to manage certain functions at the

development. Training may involve

skills directly related to the operation,

management, maintenance, and

financial systems of a project; training of

residents with respect to fair housing

requirements; negotiating management

contracts; designing a long-range

planning system; and training on HUD

regulations and policies governing the

operation of low-income public

housing.
Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices 35033

9. Train residents to develop a

homeownership plan under section 5(h)

(of the United States Housing Act of

1937) or an equivalent program.

This training program must be in

place within 18 months of completing

TOP Work Plan Tasks 1 through 4.

Training would involve determining

feasibility for homeownership by

residents, including assessing the

feasibility of other housing (including

HUD-owned or -held single or

multifamily) affordable for purchase by

residents.

This training activity may result in

residents developing a homeownership

plan under the 5(h) (section 5(h) of the

United States Housing Act of 1937, 42

U.S.C. 1437c(h)(5)) or an equivalent

program and submitting the plan to

HUD for approval.

General Top Work Plan Outline (for

Basic and Additional Applicants)

(The TOP Work Plan in its entirety is

provided in the TOP Application Kit.)

TASK 1—Organize public housing

community and outreach to formulate

basis to implement TOP initiatives.

TASK 2—Develop operating

procedures for grant administration.

TASK 3—Develop memorandum of

understanding (MOU) between the RC/

RMC/RO and the HA based on

collaborative principles, to empower the

public housing community to

implement TOP initiatives.

TASK 4—Develop a plan to obtain

technical assistance and training to

implement TOP initiatives.

TASK 5—Contract with consultant/

trainer to obtain required training,

guidance, and technical assistance in

TOP initiatives.

TASK 6—Design, development, and

implementation of resident and/or

property management initiatives.

TASK 7—Design, development, and

implementation of self-sufficiency

programs.

TASK 8—Miscellaneous activities/

expenditures.

TASK 9—Travel.

General Top Work Plan Outline (for

NROs/RROs/SROs)

(The TOP Work Plan in its entirety is

provided in the TOP Application Kit.)

TASK 1—Develop and implement an

outreach strategy.

TASK 2—Organize resident groups.

TASK 3—Assist in organizing

residents around concerns and issues of

the TOP and other PIH programs as

appropriate.

TASK 4—Develop strategies and

implement a plan to ensure an effective

partnership among RCs/RMCs/ROs,

HAs, and the NROs/RROs/SROs.

TASK 5—Assist resident groups in

implementing a strategy for developing

TOP initiatives selected by the RC/

RMC/RO.

R. HUD Notification

HUD will publish a listing of all

successful applicants in the Federal

Register, for public information.

II. Checklist of Application Submission

Requirements

The application kit, which includes

the NOFA, will contain a list of all

application submission requirements to

complete the application process.

III. Application Process

A. Actions Preceding Application

Submission

Consistent with this NOFA, HUD may

direct a HA to notify its existing RCs/

RMCs/ROs 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 every 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, TOP Work Plan, and

budget information. An application kit

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–4066.

Applications may be requested

beginning July 3, 1996. Applicants may

access the TOP Application Kit through

HUD’s World Wide Web at http://

www.hud.gov/pih. 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 two 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

acknowledgement of receipt. Facsimile

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. The application

must contain the following information:

(a) 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 by-laws, narratives

for all rating factors (Basic or Additional

Grant), support letters, evidence needed

for certain rating factors, forms,

certifications, assurances, TOP Work

Plan, budget, and training programs/

performance standards information.

Name and phone number of a 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.

(b) 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). Each NRO/

RRO/SRO is required to list in the

application the RCs/RMCs/ROs that the

organization will train or provide

technical assistance to, and to provide

letters of support from each RC/RMC/

RO identified in the application. In

addition, the application should include

the name and address of the HA for any

jurisdiction in which the applicant

proposes to organize new or inactive
35034 Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices

RCs/RMCs/ROs and a proposed

schedule of activities.

(c) 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 950 (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.

(3) HA Support. 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

support from the local HA of each RC/

RMC/RO identified in the application to

receive training/technical assistance.

IV. Training and Procurement

Requirements

All grantees must adhere to the

training and procurement requirements

established by HUD. All grantees must

attend a HUD-sponsored TOP

orientation training before spending

TOP funds, with the exception of funds

needed to attend the training. If the

grantee’s grant agreement is executed

and the organization is properly

established in the LOCCS/VRS, the

grantee must draw down the total

amount needed to attend the training. If

the grantee’s grant agreement is not

executed and the organization is not

properly established in the LOCCS/VRS,

the grantee may request the HA to

advance the organization the total

amount needed to attend the HUD

orientation training. The grantee must

reimburse the HA when the

organization is properly established in

the LOCCS/VRS.

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 950);

(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) or the local HA.

The RC/RMC/RO may spend up to

$15,000 to hire an individual consultant

to assist in implementing the TOP Work

Plan Tasks 1 through 4. The total

allowed for hiring an individual

consultant to assist in implementing the

TOP Work Plan Tasks 5 through 7 shall

not exceed 50 percent of the total award

to the grantee or $50,000, whichever is

less.

B. Reporting Requirements

Grantees participating in TOP are

required to submit Semiannual Reports

Form (HUD) 52370, which will evaluate

the progress in carrying out the

approved TOP workplan/budget.

Grantees shall submit the report on a

semiannual basis for the periods ending

June 30 and December 31. The reports

must be submitted to HUD within 30

days after the end of each semiannual

reporting period. No grant payments

will be approved for drawdown through

the Line of Credit Control System/Voice

Response System (LOCCS) for grantees

with overdue progress reports.

C. OMB Procurement Requirements

(1) The resident grantees must follow

24 CFR part 84, which implements OMB

Circulars A–110 and A–122, prescribing

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) To ensure the successful

implementation of the TOP Work Plan

activities, the RC/RMC/RO is required to

determine the need to contract for

outside consulting/training services,

after considering its own capacity. Each

RC/RMC/RO is encouraged to make

maximum use of its HA, nonprofits, or

other Federal, State, or local government

resources for technical assistance and

training needs. To ensure the successful

implementation of the TOP Work Plan

activities, each Basic Grantee may use

up to $15,000 to obtain a consultant/

trainer from the TOP database of

registered consultant/trainers for

assistance in implementing Tasks 1

through 4 of the TOP Work Plan.

(3) HUD encourages all interested

consultants/trainers to register to

participate in the TOP by completing

the Consultant/Trainer Checklist

included as an appendix to this NOFA

and mailing it to the following address:

Department of Housing and Urban

Development, Office of Public and

Indian Housing, Office of Resident

Involvement, 451 7th Street, SW Room

4112, Washington, D.C. 20410.

The TOP grantee may select the HA

to serve as the consultant/trainer;

however, the HA must register to be

included in the TOP database. Grantees

may invite other familiar consultants/

trainers to register in the TOP database.

(4) After completion of Tasks 1

through 4 of the TOP Work Plan, the

RC/RMO/RO may hire a consultant/

trainer to assist in the implementation

of Tasks 5 through 7 of the TOP Work

Plan. The grantees must follow 24 CFR

84, which implements OMB Circular A–

110 and prescribes standards and

policies essential to ensure open and

free competition for the proper

execution of procurement transactions,
Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices 35035

when selecting a consultant/trainer.

HUD will make available the source list

of registered consultant/trainers upon

request, for use in a competitive

solicitation for consultant services to

assist the RC/RMC/RO in implementing

TOP Work Plan Tasks 5 through 7 of the

TOP Work Plan. The amount allowed

for hiring an individual consultant for

this purpose shall not exceed 50 percent

of the total grant award or $50,000,

whichever is less. HUD Field Offices

will monitor this process to ensure

compliance with these requirements.

V. 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, TOP Work Plan,

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 Area

ONAPs, 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 time frame, 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 rating factors

contained in the sections on rating

factors in this NOFA (sections I.N–I.P.),

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.

VI. 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

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 5-

year 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 section 102 and 24 CFR part

4, subpart A, as published on April 1,

1996 (61 FR 14448).)

Disclosures. HUD will make available

to the public for 5 years all applicant

disclosure reports (HUD Form 2880)

submitted in connection with this

NOFA. Update reports (also Form 2880)

will be made available along with the

applicant disclosure reports, but in no

case for a period less than 3 years. All

reports—both applicant disclosures and

updates—will be made available in

accordance with the Freedom of

Information Act (5 U.S.C. 552) and

HUD’s implementing regulations at 24

CFR part 15.

F. Prohibition Against Advance

Information on Funding Decisions

HUD’s regulation implementing

section 103 of the Department of

Housing and Urban Development

Reform Act of 1989 (42 U.S.C. 3537a)

(Reform Act), codified as 24 CFR part 4,

applies to the funding competition

announced today. The requirements of

the rule continue to apply until the

announcement of the selection of

successful applicants.

HUD employees involved in the

review of applications and in the

making of funding decisions are

restrained by part 4 from providing

advance information to any person

(other than an authorized employee of

HUD) concerning funding decisions, or

from otherwise giving any applicant an

unfair competitive advantage. Persons
35036 Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices

who apply for assistance in this

competition should confine their

inquiries to the subject areas permitted

under 24 CFR part 4.

Applicants or employees who have

ethics-related questions should contact

the HUD Office of Ethics (202) 708–3815

(TTY/Voice) (this is not a toll-free

number). Any HUD employee who has

specific program questions, such as

whether particular subject matter can be

discussed with persons outside the

Department, should contact the

appropriate Field Office Counsel or

Headquarters counsel for the program to

which the question pertains.

G. Information Collection Burden

The Department is soliciting

comments, as required under 5 CFR

1320.8(d), before submitting the

information collection requirements

contained in this NOFA to OMB for

renewal of the control number in

accordance with 5 CFR 1320.10. The

Department is seeking comments from

members of the public and affected

agencies concerning the proposed

collection of information to:

(1) Evaluate whether the proposed

collection of information is necessary

for the proper performance of the

functions of the agency, including

whether the information will have

practical utility;

(2) Evaluate the accuracy of the

agency’s estimate of the burden of the

proposed collection of information;

(3) Enhance the quality, utility, and

clarity of the information to be

collected; and

(4) Minimize the burden of the

collection of information on those who

are to respond; including through the

use of appropriate automated collection

techniques or other forms of information

technology, e.g., permitting electronic

submission of responses.

Interested persons are invited to

submit comments regarding the

information collection requirements in

this proposal. Comments must be

received within 60 days from the date

of this proposal. Comments must refer

to the proposal by name and docket

number (FR–4066–N–01) and must be

sent to: Reports Liaison Officer, Office

of Community Relations and

Involvement, Department of Housing

and Urban Development, 451 7th Street,

SW, Room 4112, Washington, DC

20410–3600.

This Notice also lists the following

information:

Title of Proposal: NOFA for FY 1996

for the Public and Indian Housing

Tenant Opportunities Program—

Technical Assistance.

Description of the Need for the

Information and Proposed Use: This

information collection is required in

connection with the issuance of this

NOFA, announcing the availability of

$15 million to Resident Councils (RCs)/

Resident Management Corporations

(RMCs)/Resident Organizations (ROs),

of which $500,000 is set-aside for

National Resident Organizations

(NROs)/Regional Resident Organizations

(RROs)/Statewide Resident

Organizations (SROs) to provide

technical assistance and training

activities under the TOP program.

Form Number: None.

Members of Affected Public: State and

local governments.

Estimation of the Total Number of

Hours Needed to Prepare the

Information Collection including

Number of Respondents, Frequency of

Response, and Hours of Response:

Number of

respondents

Frequency

of responses

Hours

per response

Burden

hours

Application Development ................................................................................................................................ 5225 10 41 21,422

Total Estimated Burden Hours: 21,422.

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: June 27, 1996.

Michael B. Janis,

General Deputy Assistant Secretary for Public

and Indian Housing.

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35038 Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices

BILLING CODE 4210–33–C
Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices 35039

Appendix B—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) 551–5755

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, 100 Penn Square

East, Philadelphia, Pennsylvania 19107–

3390, (215) 656–0579

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, 339 Sixth Avenue,

Pittsburgh, Pennsylvania 15222–2515,

(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)

278–4559

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) 582–6163

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, Trade Center

Building, 50 Louis, N.W., Grand Rapids,

Michigan 49503–2648, (616) 456–2127

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) 229–6783

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

Oklahoma State Office

Public Housing Division, 500 W. Main Street,

3rd Floor, Oklahoma City, OK 73102–3202,

(405) 553–7559

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
35040 Federal Register / Vol. 61, No. 129 / Wednesday, July 3, 1996 / Notices

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) 522–8185

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,

400 Southwest Sixth Ave., Suite 700,

Portland, Oregon 97204–1596, (503) 326–

2661

Washington State Office

(Alaska public housing applicants send

applications to address below)

Public Housing Division, Suite 360, Seattle

Federal Office Building, 909 First Avenue,

Seattle, Washington 98104–1000, (206)

220–5292

Native American Program Offices

Serves: All States East of the Mississippi

River and Iowa:

Mr. Frances Harjo, Administrator, Eastern/

Woodlands Office of Native American

Programs, 5P, 77 W. Jackson Boulevard,

24th Floor, Chicago, Illinois 60604–3507,

(312) 353–1282 or 1–800–735–3239, TDD—

1–800–927–9275 or (312) 886–3741

Serves: Oklahoma, Kansas, Missouri,

Texas, Arkansas, and Louisiana:

Mr. Wayne Simms, Administrator, Southern

Plains Office of Native American Programs,

6.7P, 500 W. Main Street, Suite 400,

Oklahoma City, OK 73102–3202, (405)

553–7520

Serves: Colorado, Montana, the Dakotas,

Nebraska, Utah, and Wyoming:

Mr. Vernon Haragara, Administrator,

Northern 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

Administrator, Southwest Office of Native

American Programs, Albuquerque Division

of Native American Programs, 9EPIDI,

Albuquerque Plaza, 201 3rd Street, NW,

Suite 1830, Albuquerque, NM 87102–3368,

(505) 766–1372

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. 96–17007 Filed 7–2–96; 8:45 am]

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