NOFA for the Public and Indian Housing Tenant Opportunities Program Technical Assistance

SUMMARY: HUD is announcing the availability of $25 million for Fiscal

Year 1995 under the Public and Indian Housing Tenant Opportunities

Program (TOP). HUD reinvented resident management and created the TOP

to expand the range of the resident-managed activities, so that

resident organizations can set priorities based on the needs in their

communities. The program provides assistance to Resident Councils

(RCs), Resident Management Corporations (RMCs), Resident Organizations

(ROs) and National Resident Organizations (NROs), Regional Resident

Organizations (RROs), and Statewide Resident Organizations (SROs), to

fund training and other tenant opportunities, such as the formation of

such entities, identification of the relevant social support needs, and

securing of such support for residents of public and Indian housing.

The NOFA discusses eligibility, funding amounts, selection criteria,

how to apply for funding, and the selection process.

DATES: Application kits may be requested beginning March 1, 1995. The

application deadline will be specified in the application kit, and will

be firm as to date and time. Applicants will have at least 60 days from

today's publication of the NOFA to prepare and submit their

applications.

ADDRESSES: To obtain a copy of the application kit, please write the

Resident Initiatives Clearinghouse, Post Office Box 6424, Rockville, MD

20850, or call the toll free number 1-800-955-2232. Requests for

application kits must include your name, mailing address (including zip

code), telephone number (including area code), and should refer to

document FR-3828. This NOFA cannot be used as the application.

FOR FURTHER INFORMATION CONTACT: Christine Jenkins or Barbara J.

Armstrong, Office of Community Relations and Involvement, Department of

Housing and Urban Development, 451 Seventh Street, S.W., Room 4112,

Washington, D.C. 20410; telephone: (202) 708-3611. All Indian Housing

applicants may contact Tracy Outlaw or Charles Bell, Office of Native

American Programs, Department of Housing and Urban Development, 451

Seventh Street, S.W., Room B-133, Washington, D.C. 20410; telephone:

(202) 755-0032. Hearing- or speech-impaired persons may use the

Telecommunications Devices for the Deaf (TDD) by contacting the Federal

Information Relay Service on 1-800-877-TDDY (1-800-877-8339) or 202-

708-9300 for information on the program. (Other than the ``800'' TDD

number, telephone numbers are not toll-free.)

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act Statement

The information collection requirements contained in this notice

have been approved by the Office of Management and Budget, under

section 3504(h) of the Paperwork Reduction Act of 1980 (44 U.S.C. 3501-

3520), and assigned OMB control number 2577-0127.

I. Purpose and Description

A. Authority

Section 20, United States Housing Act of 1937 (42 U.S.C. 1437r);

sec. 7(d), Department of Housing and Urban Development Act (42 U.S.C.

3535(d)).

B. Statutory Background

Section 122 of the Housing and Community Development Act of 1987

(Pub. L. 100-42, approved February 5, 1988) amended the U.S. Housing

Act of 1937 (1937 Act) by adding a new section 20. In part, section 20

states as its purpose the encouragement of ``increased resident

management of public housing projects [and the provision of funding] *

* * to promote formation and development of resident management

entities'' (Sec. 20(a)). Under section 20(f)(1):

(The Secretary shall provide financial assistance to resident

management corporations or resident councils that obtain, by

contract or otherwise, technical assistance for the development of

resident management entities, including the formation of such

entities, the development of the management capability of newly

formed or existing entities, the identification of the social

support needs of residents of public housing projects, and the

securing of such support.)

Under section 20(f)(2), this financial assistance may not exceed

$100,000 with respect to any public housing project. Section 20 is

implemented in 24 CFR part 905, subpart O (for Indian housing), and

part 964 (for public housing). The rules set forth, among other things,

the policies, procedures, and requirements of resident participation

and management of public and Indian housing.

In FY 1988, $2.5 million was awarded to 27 resident organizations;

in FY 1989, $2.5 million was awarded to 35 resident organizations; in

FY 1990, $2.4 million was awarded to 37 resident organizations; in FY

1991, $4.9 million was awarded to 96 organizations; in FY 1992, $4.6

million was awarded to 94 organizations; in FY 1993, $4.7 million was

awarded to 94 organizations; and in FY 1994, $24 million was awarded to

257 organizations with $1 million awarded to ten NROs/RROs/SROs. In FY

1995, $25 million is available to Public and Indian Housing RCs/RMCs/

ROs, of which $1 million is set-aside for NROs/RROs/SROs to provide

technical assistance and training activities under the TOP program.

Today, 640 resident groups throughout the country are in training

under this program. HUD supports the tenant opportunities movement, as

well as other self-sufficiency and improvement programs designed to

benefit public and Indian housing residents. The Office of Community

Relations and Involvement (formerly called the Office of Resident

Initiatives) has been created to deliver a variety of resident

initiative programs, with assistance from a network of Community

Relations and Involvement Specialists (CRIs) in HUD's field structure.

The CRIs are available to provide direct assistance to residents and

resident groups interested in resident initiatives programs.

C. Key Features of this NOFA

(1) The TOP Program meets the need in many communities for business

development, education, job training and development, social services,

and opportunities for other self-help initiatives. The program enables

resident entities to establish priorities based on the efforts in their

public and Indian housing communities that are aimed at furthering

economic lift and independence. The authority for the TOP program is

found in section 20 of the 1937 Act; section 20(f) authorizes technical

assistance and training. Financial assistance in the form of technical

assistance grants is provided by the Secretary to resident grantees to

prepare for management activities in their housing development

(hereinafter referred to as TOP technical assistance grants). Technical

assistance grants are available for ``the development of resident

management entities, including the formation of such entities, the

[[Page 11223]] development of the management capability of newly formed

or existing entities, the identification of the social support needs of

residents of public housing projects and the securing of such

support.''

Residents may use TOP technical assistance grants for training

related to any TOP initiative. The results from organizations in

training have been significant and multifaceted. For example, resident-

managed activities have resulted in economic development, resident

self-sufficiency, improved living conditions, and enhanced social

services for residents (i.e., child care and other youth projects). TOP

will provide public and Indian housing residents the opportunity to be

trained and move toward responsible roles in their communities. The

training will aim to enhance the functioning of the resident council as

well as develop skills to engage in resident managed activities in its

community. TOP will strongly encourage resident entities to develop a

partnership with their public housing agency or Indian housing

authority (hereafter jointly referred to as ``HA''). The Department is

committed to building a real partnership among HAs, residents, and HUD.

(2) RCs/RMCs/ROs that have been in existence for several years or

that were recently formed may receive up to $100,000.

(3) All applicants that are selected for funding (including NROs/

RROs/SROs) will access the grant funds through the Line of Credit

Control System (LOCCS), as explained in Section I.D, ``Funding,'' of

this NOFA.

(4) An application kit is required as the formal submission to

apply for funding. The kit includes information on the preparation of a

Work Plan and Budget for activities proposed by the applicant. This

process facilitates the expeditious execution of a TOP Technical

Assistance Grant (TOP TAG) for those applicants that are selected to

receive funding. The kit also includes narratives, certifications, and

forms. Included in the application kit this year is a new certification

that requires each applicant RC/RMC/RO to certify that it has held a

democratic election. The certification must be signed by an authorized

representative of the local HA.

(5) The information listed below is regarding all HOPE I grantees:

All HOPE I applicants' applications will be screened. A cross-check

will be made against the HOPE I Planning grants and HOPE I

Implementation grants, to assure compliance with section 20(f)(4) of

the 1937 Act, which states: ``The Secretary may not provide financial

assistance under this subsection to any resident management corporation

or resident council with respect to which assistance for the

development or formation of such entity is provided under title III.''

HOPE I Planning and Implementation grantees were required to propose

plans to establish a RC, RMC, or cooperative association where one did

not exist for the proposed homeownership site, including the

development or formation of that entity. In addition, HOPE I Full

Planning and Implementation grant applicants were expected to include

in their applications all eligible activities necessary to make their

proposed homeownership program feasible (even if some of the proposed

activities were to be carried out with non-HOPE 1 funds, such as

resident management funds). Consequently, in reviewing Tenant

Opportunities Program grant applications, the following rules apply:

Rule 1. An applicant for TOP funds that has received a HOPE 1 Full

Planning or Implementation grant (as a lead or joint applicant) may not

also receive a TOP grant, unless the applicant proposed in its HOPE 1

application to use resident management funding to carry out those

activities.

Rule 2. An applicant for TOP funds that has received a HOPE 1 Mini

Planning grant (as a lead or joint applicant) may not receive a TOP

grant for any activity proposed for funding in the HOPE 1 grant. Mini

Planning grant applicants may apply for a TOP grant if the activities

proposed in the TOP application are not duplicative.

(6) All applicants will have an opportunity to correct technical

deficiencies in this application submission as provided for in this

NOFA.

D. Funding

As noted, $25 million is being made available on a competitive

basis under this NOFA to applicants that submit timely applications and

are selected for funding. Section 20 provides that not more than an

aggregate of $100,000 may be approved with respect to any TOP project.

Of the $25 million total current funds, $1 million will be awarded

to National Resident Organizations (NROs), Regional Resident

Organizations (RROs), and Statewide Resident Organizations (SROs), to

provide technical assistance to public and Indian housing residents.

With the remaining $24 million, the Department will be providing

two types of grants to RCs/RMCs/ROs: (1) Basic Grant; and (2)

Additional Grant.

Basic Grants

All RCs/RMCs/ROs that have been in existence for several years and

new emerging groups that meet eligibility requirements (see

Definitions) may apply for a Basic grant for up to $100,000. All

grantees will access the TOP grant funds through a line of credit

control system (LOCCS).

To ensure the progress of the grantees, each grantee will be

allowed to draw down through LOCCS only the specific amount of funding

needed to complete the tasks and subtasks specified in the work plan.

The grantee must complete all activities under Phases 1 and 2 in the

work plan prior to advancing to Phases 3 through 5 and receiving

additional funds, except for those activities that can be reasonably

construed as being ongoing, such as technical assistance or training.

The local HUD Field Office will be responsible for approving the

work plan and determining the ability of the grantee to access LOCCS.

Additional Grants

Any RC/RMC/RO selected for a Resident Management (RM)/TOP grant in

FYs 1988-1994 (including a minigrant for start-up activities) that

received less than a total of $100,000 may apply for an Additional

Grant not to exceed (including previous grants) the total statutory

maximum of $100,000.

To ensure the progress of the grantees, each grantee will be

allowed to draw down from LOCCS only the specific amount of funding

needed to complete the tasks and subtasks specified in the work plan.

Each Additional Grant grantee must provide a progress report that will

indicate progress and the activities that are completed. The local HUD

Field Office will be responsible for approving the work plan and

determining the ability of the grantee to access LOCCS.

Each Additional Grant applicant must demonstrate the need for

additional funding by submitting evidence of completing specific

activities. An Additional Grant applicant may receive a higher score if

most of the activities listed in Section I.L. of this NOFA are

completed and documentation is included as evidence.

NROs/SROs/RROs Grant

The purpose of this grant is to provide technical assistance to

public and Indian housing residents desiring either to establish a RC/

RMC/RO where one does not exist or to organize an inactive RC/RMC/RO.

The awards will be competitive, using the Rating Factors in

[[Page 11224]] Section I.M of this NOFA, and applicants must meet

eligibility requirements. The local HUD Field Office will be

responsible for approving the work plan and determining the ability of

the grantee to access LOCCS.

E. TOP Technical Assistance Grant Agreement

Grant awards will be made through a TOP Technical Assistance Grant

Agreement which defines the legal framework for the relationship

between HUD and a resident grantee for the proposed activities approved

for funding. The grant agreement will contain all applicable

requirements, including administrative requirements such as progress

reports, a final report, a final audit, accessing the LOCCS to draw

down funds, and all the necessary forms needed to execute the grant. No

funds can be drawn down by grantees until the grant agreement is

executed by the local HUD Field Office.

F. Definitions

The following definitions apply to public housing, as provided in

24 CFR 964.115 and 964.120:

Resident Council (RC). An incorporated or unincorporated nonprofit

organization or association that shall consist of persons residing in

public housing and must meet each of the following requirements in

order to receive official recognition from the HA/HUD, and be eligible

to receive funds for resident council activities, and stipends for

officers for their related costs for volunteer work in public housing:

(1) It may represent residents residing in scattered site

buildings, in areas of contiguous row houses; or in one or more

contiguous buildings; in a development; or in a combination of these

buildings or developments;

(2) It must adopt written procedures such as by-laws, or a

constitution which provides for the election of residents to the

governing board by the voting membership of the residents residing in

public housing on a regular basis but at least once every 3 years. The

written procedures must provide for the recall of the resident board by

the voting membership. These provisions shall allow for a petition or

other expression of the voting membership's desire for a recall

election, and set the number of percentage of voting membership

(``threshold'') who must be in agreement in order to hold a recall

election. This threshold shall not be less than 10 percent of the

voting membership.

(3) It must have a democratically elected governing board that is

elected by the voting membership. At a minimum, the governing board

should consist of five elected board members. The voting membership

must consist of heads of households (any age) and other residents at

least 18 years of age or older and whose name appears on a lease for

the unit in the public housing that the resident council represents.

Resident Management Corporation (RMC). An entity that consists of

residents residing in public housing must have each of the following

characteristics in order to receive official recognition by the HA and

HUD:

(1) It shall be a nonprofit organization that is validly

incorporated under the laws of the State in which it is located;

(2) It may be established by more than one resident council, so

long as each such council:

(a) Approves the establishment of the corporation; and

(b) Has representation on the Board of Directors of the

corporation;

(3) It shall have an elected Board of Directors, and elections must

be held at least once every 3 years;

(4) Its by-laws shall require the Board of Directors to include

resident representatives of each resident council involved in

establishing the corporation; include qualifications to run for office,

frequency of elections, procedures for recall, and term limits if

desired.

(5) Its voting members shall be heads of households (any age) and

other residents at least 18 years of age and whose name appears on the

lease of a unit in public housing represented by the resident

management corporation;

(6) Where a resident council already exists for the development, or

a portion of the development, the resident management corporation shall

be approved by the resident council board and a majority of the

residents. If there is no resident council, a majority of the residents

of the public housing development it will represent must approve the

establishment of such a corporation for the purposes of managing the

project; and

(7) It may serve as both the resident management corporation and

the resident council, so long as the corporation meets the requirements

of this part for a resident council.

The following definitions apply to Indian Housing as defined in 24

CFR part 905.962:

Resident Management Corporation (RMC). An entity that proposed to

enter into, or enters into a contract to manage IHA property. The

corporation must have each of the following characteristics:

(1) It must be a nonprofit organization that is incorporated under

the laws of the State or Indian tribe in which it is located.

(2) It may be established by more than one resident organization,

so long as each such organization both approves the establishment of

the corporation and has representation on the Board of Directors of the

corporation.

(3) It must have an elected Board of Directors.

(4) Its by-laws must require the Board of Directors to include

representatives of each resident organization involved in establishing

the corporation.

(5) Its voting members are required to be residents of the project

or projects it manages.

(6) It must be approved by the resident organization. If there is

no organization, a majority of the households of the project or

projects must approve the establishment of such an organization.

Resident Organization (RO). A Resident Organization (or ``Resident

Council'' as defined in section 20 of the Act) is an incorporated or

unincorporated nonprofit organization or association that meets each of

the following criteria:

(1) It must consist of residents only, and only residents may vote.

(2) If it represents residents in more than one development or in

all of the developments of an IHA, it must fairly represent residents

from each development that it represents.

(3) It must adopt written procedures providing for the election of

specific officers on a regular basis.

(4) It must have a democratically elected governing board. The

voting membership of the board shall consist solely of the residents of

the development or developments that the RO represents.

The following definitions apply to NRO/RRO/SRO applicants:

National Resident Organization (NRO). An incorporated nonprofit

organization or association for public and Indian housing that meets

each of the following requirements:

(1) It is national (i.e., conducts activities or provides services

in at least two HUD Areas or two States);

(2) It has experience in providing start-up and capacity-building

training to residents and resident organizations; and

(3) Public or Indian housing residents representing different

geographical locations in the country must comprise the majority of the

board of directors.

Regional Resident Organization (RRO). An incorporated nonprofit

organization or association for public or Indian housing that meets

each of the following requirements: [[Page 11225]]

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

Tribal Areas); and

(2) It has experience in providing start-up and capacity-building

training to residents and resident organizations; and

(3) Public or Indian housing residents representing different

geographical locations in the region must comprise the majority of the

board of directors.

Statewide Resident Organization (SRO). An incorporated nonprofit

organization or association for public or Indian housing that meets the

following requirements:

(1) It is Statewide;

(2) It has experience in providing start-up and capacity-building

training to residents and resident organizations; and

(3) Public or Indian housing residents representing different

geographical locations in the State must comprise the majority of the

board of directors.

G. Eligibility

Only organizations that meet the definition of a RC/RMC/RO or a

NRO/RRO/SRO, as set forth under the Section I.F, ``Definitions,'' of

this NOFA will be eligible for funding under this NOFA. The following

considerations also apply:

(1) Only public and Indian housing RCs/RMCs/ROs and NROs/SROs/RROs

are eligible to apply for this grant. The local HAs, Section 8

developments, or other federally subsidized housing communities are not

eligible to apply.

(2) A RC/RMC/RO will receive consideration for a basic grant based

on the rating factors contained in Section I.K. of this NOFA.

(3) A RC/RMC/RO selected for funding in FYs 1988-1994 that received

less than the statutory maximum of $100,000 may apply for an Additional

Grant not to exceed (including previous grants) the total statutory

maximum of $100,000.

(4) A RC/RMC/RO will receive consideration for an Additional Grant

based on the rating factors contained in Section I.L. of this NOFA.

(5) Grantees that were awarded the maximum total amount of $100,000

in FYs 1988-1994 are not eligible to apply.

(6) Only one application will be considered for funding from an

individual development. If more than one application is received from a

development, only the application from the duly elected RC/RMC/RO will

be considered. All other applications will be rejected.

(7) A city-wide organization (consisting of members from RCs/RMCs/

ROs who reside in housing developments that are owned and operated by

the same HA within the city) may represent more than one RC/RMC/RO

within an HA. Under some circumstances, a number of the RCs/RMCs/ROs

who are members of a city-wide organization may wish to apply jointly

for a grant. In that case, a city-wide organization may represent these

developments and apply for a grant as a city-wide applicant. The

individual developments under the umbrella of the city-wide

organization may apply for a separate grant only if the activities that

are included in the individual development's application are not the

same activities that are included in the city-wide organization's

application. All applications will be screened for duplicative

activities. In addition, the city-wide organization cannot include an

application for funding any individual development that has received

RM/TOP technical assistance funding totalling $100,000 in previous

years.

(8) A jurisdiction-wide organization (consisting of members from

RCs/RMCs/ROs who reside in housing developments that are owned and

operated by the same HA within that HA's jurisdiction, other than a

city-wide organization making an application in accordance with

paragraph (7) in this Section I.G) may be formed for the purpose of

advising the HA Board of Commissioners or Executive Directors in all

areas of HA operations. In that case, the jurisdiction-wide

organization may apply for a grant to carry out jurisdiction-wide

programs. These grants will have no impact on the individual RC/RMC/RO

funding.

(9) An NRO/SRO/RRO that is organized to provide technical

assistance to RCs/RMCs/ROs may receive grants up to $100,000. An NRO/

SRO/RRO previously funded for $100,000 may apply for a new TOP grant

only if the groups represented in its application are new groups. The

local HUD Field Office will screen the application for this purpose.

H. Eligible Activities

Activities for which funding under this NOFA may be provided to an

eligible RC/RMC/RO or NRO/RRO/SRO include any combination of, but are

not limited to, the following:

(1) Resident Capacity Building:

Training board members in community organizing, board

development, and leadership training; and

Determining the feasibility of the TOP initiatives for a

specific development.

(2) Resident Management:

Building and strengthening its capacity as an organization

(e.g., establishing operating/planning committees and block/building

captains to carry out specific organizational tasks, developing by-

laws, etc.); developing a cohesive relationship between the residents

and the local community; and building a partnership with the HA;

Training residents, as potential employees of an RMC, in

skills directly related to the operation, management, maintenance and

financial systems of a project;

Training of residents with respect to fair housing and

equal opportunity requirements;

Gaining assistance in negotiating management contracts and

in related contract monitoring and management procedures, and designing

a long-range planning system related to contracts; and

Assisting in the actual creation of an RC/RMC/RO, such as

consulting and acquiring legal assistance to incorporate, prepare by-

laws, draft a corporate charter, and apply for nonprofit status.

(3) Resident Management Business Development:

Economic development training related to resident

management and technical assistance for job training and placement in

RC/RMC/RO developments;

Technical assistance and training in business development

related to resident management, through feasibility and market studies;

development of business plans; affirmative outreach activities; and

innovative financing methods, including revolving loan funds; and

Legal advice in establishing resident management-required

business entities.

(4) Partnerships:

Establishing and providing to residents in each community

training related to the Partnership Paradigm Technical Assistance

(PPTA)/Technical Assistance Organization (TAO) model. This is an

optional partnership that would bring together residents, the HA, and

HUD, in an effort to create a community-based process that offers

technical assistance and training related to building the partnership

between the residents, the HA, and HUD and to oversee and carry out

activities in the TOP program. HUD's Office of Community Relations and

Involvement (OCRI) may be contacted at the address and telephone number

listed at the beginning of this NOFA for additional information, if

there is an interest in the PPTA. [[Page 11226]]

Other partnerships developed by the local residents/HA in

the community.

(5) Social Support Services (such as self-sufficiency and youth

initiatives):

Feasibility studies to determine training and social

services needs;

Coordination of support services;

Training for programs such as child care, early childhood

development, parent involvement, volunteer services, parenting skills,

and before- and after-school programs;

Training programs on health, nutrition, and safety;

Workshops for youth services, child abuse and neglect

prevention, and tutorial services, in partnership with community-based

organizations, such as local Boys and Girls Clubs, YMCA/YWCA, Boys/

Girls Scouts, Campfire, Big Brothers/Big Sisters, 4-H Clubs, etc.; and

Training in the development of strategies to implement

youth programs successfully. For example, assessing the needs and

problems of the youth; improving youth initiatives that are currently

active; and training youth, housing authority staff, and RCs/RMCs/ROs

on youth initiatives and program activities.

(6) General:

Required training on HUD regulations and policies

governing the operation of low-income public and Indian housing,

financial management, capacity building to develop the necessary skills

to assume management responsibilities at the project, and property

management;

Training in accessing other funding sources;

Developing performance standards and assessment procedures

to measure the success of the RC/RMC/RO;

Assistance in acquiring fidelity bonding and insurance,

but not the cost of the bonding and insurance;

Assessing potential management functions or tasks that the

RC/RMC/RO might undertake;

Training in resident management-related skills, such as

computer and clerical (payroll clerk/records management) skills;

Resident management-related employment training and

counseling;

Hiring trainers or other experts (resident grantees must

ensure that all training is provided by a qualified housing management

specialist, a community development specialist, the HA, or other

sources knowledgeable about the program). Generally, no more than 50%

of the grant funds or $50,000, whichever is less, should be used for

any one consultant for this purpose;

Rental or lease of a car, van, or bus by resident grantees

to attend training related to the TOP initiatives; and

Stipends, as provided in this paragraph. Officers and

members of a RC/RMC/RO should not receive stipends for participating in

or receiving training under the TOP. If RCs/RMCs/ROs are interested in

implementing resident-managed activities, stipends will be approved,

subject to the availability of funds, when the officers and members of

the resident entity have successfully completed the first stage of

training on any TOP initiative, dual management contract with the HA,

or a HA-operated career-related training program. Generally, no more

than 20% of the grant funds should be used for this purpose.

(7) Capacity building and training to facilitate resident

participation in the Comprehensive Grant Program.

(8) Implementation of activities by a RC/RMC/RO associated with the

operation and maintenance of the public and Indian housing project.

Examples of eligible activities in this category that have not been

mentioned previously are:

Designing and implementing financial management systems

that include provisions for budgeting, accounting, and auditing;

Designing and implementing personnel policies; performance

standards for measuring staff productivity; policies and procedures

covering organizational structure, such as recordkeeping, maintenance,

insurance, occupancy, and management information systems; any other

recognized functional responsibilities relating to property management,

in general, and public and Indian housing management, in particular;

and responsibilities relating to any TOP initiative;

Identifying the social support needs of residents, and the

securing of that support by hiring a services coordinator to coordinate

and assist in implementing the services needed by the residents, such

as health clinics, day care, and security; and

Assessing potential homeownership opportunities for

residents within public and Indian housing or anywhere in the

community.

(9) Administrative costs necessary for the implementation of

activities outlined in paragraphs (1) through (8) of this Section I.H,

``Eligible Activities,'' of the NOFA. Appropriate administrative costs

include, but are not limited to, the following items or activities:

Telephone, telegraph, printing, and sundry nondwelling

equipment (such as office supplies, computer software, and furniture).

In addition, a reasonable portion of funds may be applied to the

acquisition of equipment, such as computer hardware and copying

machines, unless purchase of this equipment can be made from a

grantee's operating budget. A grantee must justify the need for this

equipment in relationship to its management capability and the level of

its management responsibilities;

HUD-approved travel directly related to activities for the

development/training and implementation of resident management or any

tenant opportunity initiatives, including conference fees, related per

diem for meals, and miscellaneous travel expenses for individual staff

or board members of the RC/RMC/RO; and

Child care expenses for individual staff and board

members, in cases where staff or board members who need child care are

involved in training-related activities associated with the development

of resident management entities. Not more than 2 percent of the total

grant amount (0.02 times the grant award amount) may be used for

expenses to support child care needs.

(10) For NROs/RROs/SROs only: Organizing and establishing

democratically elected and effective RCs/RMCs/ROs:

Identifying existing funded resident organizations in a

geographical area that are inactive and providing training and

technical assistance to help them become active again;

Assisting new resident organizations within a geographical

area to become a RC, RMC, or RO; and

Providing local or on-site training and technical

assistance to the inactive or newly formed resident organization, to

enable it to implement activities included in the Work Plan within the

time and budget constraints.

Providing training and technical assistance to the

resident organizations in accomplishing any of the eligible activities

related to the TOP initiatives.

I. Ineligible Activities

Ineligible items or activities include, but are not limited to, the

following:

(1) Entertainment, including associated costs such as food and

beverages, except normal per diem for meals related to travel;

(2) Purchase or rental of land or buildings or any improvements to

land or buildings;

(3) Activities not directly related to the TOP initiatives, e.g.,

lead-based paint testing and abatement and operating capital for

economic development activities; [[Page 11227]]

(4) Purchase of any vehicle (car, van, bus etc.) or any other

property, other than as described under paragraph (9) of Section I.H,

``Eligible Activities,'' of this NOFA, unless approved by HUD

Headquarters or the local HUD Field Office;

(5) Architectural and engineering fees;

(6) Payment of salaries for routine project operations, such as

security and maintenance, or for RC/RMC/RO staff, except that a

reasonable amount of grant funds may be used to hire a person to

coordinate the TOP grant activities or coordinate on-site social

services;

(7) Payment of fees for lobbying services;

(8) Any fraudulent or wasteful expenditures or expenditures

otherwise incurred contrary to HUD program regulations or directives

will be considered ineligible expenditures, upon appropriate

determination by an audit by HUD Field Office staff, and HUD will

reduce the grantee's grant for the amount expended; and

(9) Any activity otherwise eligible under this NOFA for which funds

are being provided from any other source.

J. Selection Process

Each application for a grant award that is submitted in a timely

manner, as specified in the application kit, to the local HUD field

office and that otherwise meets the requirements of this NOFA, will be

evaluated. An application for either a Basic Grant or an Additional

Grant must receive a minimum score of 80 points (out of the maximum of

115 points) to be eligible for funding. NROs/RROs/SROs must receive a

minimum score of 80 points (out of a maximum of 110) to be eligible for

funding. An RC/RMC/RO or NRO/RRO/SRO should submit its application to

the appropriate local HUD Field Office (see Appendix to this NOFA). The

local Field Office will transfer all RC/RMC/RO applications to a grant

review site for processing by a Grants Management Team. Upon completion

of the review, all applications will be placed in an overall nationwide

ranking order and funded until all funds are exhausted, except that HUD

may fund grants out of rank order based on geographical diversity and

diversity in size and type of housing development (developments that

include family high-rise buildings of five or more stories or those

that include only low-rise buildings).

K. Rating Factors--Basic Grants

An application for funding for a Basic Grant will be reviewed based

on the following Rating Factors (maximum of 115 points). This 115-point

maximum includes 10 Bonus Points that will be given if the applicant

can show evidence of clear and precise measures of performance in

carrying out its plan to improve its public and Indian housing

communities. Examples of such measures are lowering maintenance costs,

reducing local crime, and increasing resident employment by certain

percentage points.

(1) Describe the Activities and Goals of the RC/RMC/RO and the

Community (Maximum Points: 30):

A high score (Maximum Points: 30) is received where the

RC/RMC/RO identifies activities and describes the goals of the

community. The applicant includes a clear and effective plan for

addressing the needs and accomplishing the overall goals of the RC/RMC/

RO.

A medium score (Maximum Points: 15) is received where the

RC/RMC/RO identifies activities and describes the goals of the

community, but the plan to address the needs and accomplish the goals

is general.

A low score (Maximum Points: 5) is received where the RC/

RMC/RO does not identify any activities and the plan to address the

needs and accomplish the goals of the community is unclear.

A score of zero (0 points) will be given if the applicant

fails to respond to this factor.

(2) Evidence of Support by Development's Residents, and Resident

Involvement in the RC's/RMC's/RO's Activities (Maximum Points: 25):

A high score (Maximum Points: 25) is received where the

RC/RMC/RO describes the support by the residents and provides

documentation that shows support and how involved the residents are in

the RC's/RMC's/RO's activities. An applicant must submit a copy of a

petition and/or other documentation showing widespread support and

involvement, minutes of the RC's/RMC's/RO's latest monthly meeting, and

the attendance log.

A medium score (Maximum Points: 10) is received where the

RC/RMC/RO describes the support by the residents and the documentation

of support includes minutes of the RC's/RMC's/RO's latest monthly

meeting and attendance log, but no petition.

A score of zero (0 points) is received where the RC/RMC/RO

fails to provide documentation of support by the development's

residents and no support is mentioned in the narrative.

(3) Evidence That the RC/RMC/RO Has a Partnership With the HA:

(Maximum Points: 15):

A high score (Maximum Points: 15) is received where the

RC/RMC/RO provides a letter of support from the local HA that states

its support of the RC/RMC/RO, as well as a specific description of what

assistance the HA will undertake on behalf of the RC/RMC/RO.

A medium score (Maximum Points: 10) is received where

either: (i) The RC/RMC/RO provides a letter of support from the HA that

does not specifically state the activities for which the HA will

provide assistance; or (ii) the RC/RMC/RO provides detailed documents

(e.g., copies of correspondence exchanged with the HA, summaries of

meetings held with the HA, and summaries of efforts made to establish a

partnership with the HA) indicating that the residents have made a

substantial effort to establish a partnership with the HA, but the HA

will not support the RC's/RMC's/RO's activities.

A low score (Maximum Points: 5) is received if the

applicant mentions HA support or obstacles encountered in attempting to

build a partnership with the HA.

A score of zero (0 points) is received where the RC/RMC/RO

fails to submit a letter of support or documentation of its efforts to

obtain HA support.

(4) Evidence That the RC/RMC/RO Has Support of State/Tribal/Local

Government, Community Organizations, or Other Public/Private Sector

Groups (Maximum Points: 20 + 5 bonus points). Under this factor, 5

Bonus Points will be given if the applicant submits evidence that

specific support is provided by Weed and Seed organizations. Otherwise,

maximum point value is given where the support letters contain specific

commitments, such as financial assistance, technical assistance, on-

the-job training, or other tangible support.

A high score (Maximum Points: 20) is received where the

RC/RMC/RO provides copies of letters of support discussing specific

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

government, community organizations, or other public/private sector

groups).

A medium score (Maximum Points: 12) is received where the

RC/RMC/RO provides a letter of support from two entities.

A low score (Maximum Points: 5) is received where the RC/

RMC/RO fails to provide any letters of support, but support of the

State/Tribal/local government, community organizations, or other

public/private sector groups is mentioned in the narrative.

(5) Capability of RC/RMC/RO in Handling Financial Resources

(Maximum Points: 10). This factor can be demonstrated by including

previous experience of the RC/RMC/RO or by providing an explanation of

how the financial resources will be obtained: [[Page 11228]]

A high score (Maximum Points: 10) is received where the

RC/RMC/RO provides evidence of having 2 or more years of experience in

handling financial resources and has adequate accounting procedures in

place or provides a plan to partner with the HA or hire a private

organization to develop the financial controls.

A medium score (Maximum Points: 5) is received where the

RC/RMC/RO provides evidence of having up to 2 years of experience in

handling financial resources, but no accounting procedures are

established nor has a plan been provided to partner with the HA or hire

a private organization to develop the financial controls.

A score of zero (0 points) is received where the RC/RMC/RO

has no experience in handling financial matters and there is clearly no

accounting system or procedures established.

L. Rating Factors--Additional Grants

An application for funding for an Additional Grant will be reviewed

based on the following Rating Factors (maximum 115 points). This 115-

point maximum includes 10 Bonus Points that will be given if the

applicant can show evidence of clear and precise measures of

performance in carrying out its plan to improve its public and Indian

housing communities. Examples of such measures are proposing to lower

maintenance costs, reduce local crime and increase resident employment

by certain percentage points.

(1) Evidence of Need for Additional Funding (Maximum Points: 30):

A high score (Maximum Points: 30) is received where the

RC/RMC/RO provides a copy of evidence showing the completion of all of

the activities listed below, therefore demonstrating progress and a

need for additional funding:

(a) Developed an active community organization that includes

democratically elected officers (example: election certification signed

by the local HA or an independent third-party organization and minutes

of meetings);

(b) Developed by-laws pursuant to 24 CFR part 905, subpart O, or 24

CFR part 964, whichever is applicable, that govern the operation of the

organization (example: a copy of the RC's/RMC's/RO's by-laws);

(c) Developed an organizational structure that consists of floor/

block captains or residential community groups and program committees

to carry out specific tasks (example: a copy of the RC's/RMC's/RO's

organization structure that lists floor/block captains, community

groups, and program committees);

(d) Developed a basic financial management and accounting system

that will provide effective control over and accountability for all

grant funds, or acquired an accounting service to perform this function

(example: a certification that the accounting system is developed);

(e) Developed a Memorandum of Understanding (MOU) between the RC/

RMC/RO and HA that states the elements of their relationship and

delineates what support the HA will provide to the resident

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

equipment, space, transportation, etc.) and the activities to be

conducted by the RC/RMC/RO (example: a copy of an executed MOU between

the RC/RMC/RO and HA);

A medium score (Maximum Points: 20) is received where the

RC/RMC/RO submits evidence of completing 4 of the activities listed

under ``high score'' of this factor.

A low score (Maximum Points: 10) is received where the RC/

RMC/RO submits evidence of completing 2 of the activities listed under

``high score'' of this factor.

A score of zero (0 points) is given if the applicant

submits no evidence of accomplishing any of the activities listed under

``high score'' of this factor or it is clear that the applicant has

made no progress in the previous activities.

(2) Evidence of Support by Development's Residents, and Resident

Involvement in the RC's/RMC's/RO's Activities (Maximum Points: 25):

A high score (Maximum Points: 25) is received where the

RC/RMC/RO describes the support by the residents and provides

documentation that shows support and how involved are the residents in

the RC's/RMC's/RO's activities. An applicant must submit a copy of a

petition and/or other documentation showing widespread support and

involvement, minutes of the RC's/RMC's/RO's latest monthly meeting, and

the attendance log.

A medium score (Maximum Points: 10) is received where the

RC/RMC/RO describes the support by the residents and the documentation

of support includes minutes of the RC's/RMC's/RO's latest monthly

meeting and attendance log, but no petition.

A score of zero (0 points) is received where the RC/RMC/RO

fails to provide documentation of support by the development's

residents or does not mention support in the narrative.

(3) Evidence That the RC/RMC/RO has a Strong Partnership With the

HA (Maximum Points: 25):

A high score (Maximum Points: 25) is received where the

RC/RMC/RO provides a letter of support from the local HA that states

its support of the RC/RMC/RO, as well as a specific description of what

assistance the HA will undertake on behalf of the RC/RMC/RO (e.g., on-

the-job training, technical assistance, equipment, space,

transportation, etc.).

A medium score (Maximum Points: 15) is received where

either: (i) the RC/RMC/RO provides a letter of support from the HA that

does not specifically state the activities for which the HA will

provide assistance; or (ii) the RC/RMC/RO provides detailed documents

(e.g., copies of correspondence exchanged with the HA, summaries of

meetings held with the HA, and summaries of efforts made to establish a

partnership with the HA) showing that the residents have made a

substantial effort to establish a partnership with the HA, but the HA

will not support the RC's/RMC's/RO's activities. Up to 5 points will be

awarded if support is mentioned or obstacles encountered in attempting

to build a partnership with the HA are mentioned.

A score of zero (0 points) is received where the RC/RMC/RO

fails to submit a letter of support or documentation of its efforts to

obtain such support.

(4) Evidence That the RC/RMC/RO has the Support of the State/

Tribal/Local Government, Community Organizations, or Other Public/

Private Sector Groups (Maximum Points: 20 + 5 bonus points). Under this

factor 5 Bonus Points will be given if the applicant submits evidence

that specific support is provided by Weed and Seed organizations.

Otherwise, maximum point value is given where the support letters

contain specific commitments, such as financial assistance, technical

assistance, on-the-job training, or other tangible support.

A high score (Maximum Points: 20) is received where the

RC/RMC/RO provides copies of letters from three or more entities (e.g.,

State/Tribal/local government, community organizations, or other

public/private sector groups.

A medium score (Maximum Points: 10) is received where the

RC/RMC/RO provides letters of support from two entities.

A low score (Maximum Points: 5) is received where the RC/

RMC/RO provides a letter of support from one entity.

M. Rating Factors--NROs/RROs/SROs

An application for funding will be reviewed based on the following

Rating Factors (maximum of 110 points). This [[Page 11229]] 110-point

maximum includes 10 Bonus Points that will be given if the applicant

can show evidence of clear and precise measures of performance in

carrying out its plan to improve its public and Indian housing

communities (e.g., measures proposed for creating new RCs).

(1) Describe the Goals and Objectives of the NRO/RRO/SRO (Maximum

Points: 35):

A high score (Maximum Points: 35) is received where the

NRO/RRO/SRO provides a detailed plan clearly describing the proposed

methods for accomplishing the overall goals and objectives of

organizing and training RCs/RMCs/ROs in the TOP initiatives. Applicants

should also provide a description of the proposed training, identify

selected trainers, and submit support letters from selected trainers.

A medium score (Maximum Points: 15) is received where the

NRO/RRO/SRO provides a general outline of proposed methods for

accomplishing the goals and objectives of organizing and training RCs/

RMCs/ROs in the TOP initiatives.

A score of zero (0 points) is received where the NRO/RRO/

SRO does not clearly state the goals and objectives of the TOP

initiative.

(2) Evidence of Support by NRO/RRO/SRO Board of Directors and the

Local Housing Authority (Maximum Points: 10):

A high score (Maximum Points: 10) is received where the

NRO/RRO/SRO provides documentation that shows support from its board of

directors, as evidenced by a board resolution, minutes of meetings, and

letters of support. The applicants should also provide a letter of

support from each HA where the applicant proposes to train residents.

A medium score (Maximum Points: 5) is received where the

NRO/RRO/SRO provides documentation of support that is limited to

minutes of meetings.

Low score (Maximum Points: 2) is received where the NRO/

RRO/SRO fails to provide documentation of support, but support is

mentioned.

(3) Evidence of Prior Resident Training Experience. This factor can

be demonstrated by the support of the RCs/RMCs/ROs and the local HAs.

The letters of support should indicate the success and quality of prior

training. (Maximum Points: 30):

A high score (Maximum Points: 30) is received where the

applicant provides documentation that shows support by the residents

(i.e., letters of support, board resolutions, and minutes of meetings)

and support letters from the HA.

A medium score (Maximum Points: 15) is received where the

applicant provides documentation that is limited to minutes of

meetings.

Low score (Maximum Points: 5) is received where the

applicant fails to provide documentation of support by the

development's residents and the HA, but support is mentioned.

(4) Evidence of the Capability to Provide Local Training. The

applicant should demonstrate the ability to sustain the training and

technical assistance through provision of local or on-site trainers and

to coordinate these activities throughout the grant period. The

applicant should also demonstrate that the residents will have access

to continued training and technical assistance through the local

provider after the completion of the grant period. (Maximum Points:

15):

A high score (Maximum Points: 15) is received where the

applicant provides a detailed plan clearly showing its capability to

identify and provide local training and to coordinate activities of the

local training provider.

A medium score (Maximum Points: 5) is received where the

applicant provides a general description of its capability to identify

and provide local training.

A score of zero (0 points) is received where the applicant

does not clearly state its capability to identify and provide local

training.

(5) Capability of Handling Financial Resources. This factor can be

demonstrated through previous experience, adequate financial control

procedures, or similar evidence, or by an explanation of how such

capability will be obtained. (Maximum Points: 10):

A high score (Maximum Points: 10) is received where the

NRO/RRO/SRO provides evidence of having 2 or more years of experience

in handling financial resources and has adequate accounting procedures

in place.

A medium score (Maximum Points: 5) is received where the

NRO/RRO/SRO provides evidence of having less than 2 years of experience

in handling financial resources or has provided a plan for developing

financial controls that are adequate.

A score of zero (0 points) is received where the NRO/RRO/

SRO has no experience in handling financial matters and does not submit

evidence that shows that an adequate accounting system is in place or

under development.

N. HA Notification

HUD will send a notification to the HAs associated with the

applications selected for funding.

II. Application Process

A. Actions Preceding Application Submission

Consistent with this NOFA, HUD may direct a HA to notify its

existing RCs/RMCs/ROs, as well as NROs, SROs, and RROs, of this funding

opportunity. It is important for residents to be advised that, even in

the absence of a RC/RMC/RO, the opportunity exists to establish a RC/

RMC/RO before applying for funding. If no RC/RMC/RO exists for any of

the developments, HUD encourages a HA to post this NOFA in a prominent

location within the HA's main office, as well as in each development's

office.

B. Application Submission and Development

(1) Submission. An application kit is required as the formal

submission to apply for funding. The kit includes the overview of the

TOP program, application requirements, forms, certifications,

assurances, worksheets, selection criteria, workplan and budget

information. An application may be obtained by writing the Resident

Initiatives Clearinghouse, P.O. Box 6091, Rockville, MD 20850, or by

calling the toll-free number: 1-800-955-2232. Requests for application

kits must include your name, mailing address (including zip code), and

telephone number (including area code), and should refer to document

FR-3828. Applications may be requested beginning March 1, 1995. Each

RC/RMC/RO and NRO/RRO/SRO must submit its application to the local HUD

Field Office or, in the case of an IHA, to the appropriate HUD Office

of Native American Programs, listed in the Appendix to this NOFA.

Each applicant must submit the original and 2 copies of its

application. The Appendix lists addresses of HUD Field Offices that

will accept a completed application. All applications must be received

by the local HUD Field Office no later than 3:00 p.m. (local time) on

the deadline date listed in the application kit. In the interest of

fairness to all competing applicants, any application that is received

after the deadline date and time will be considered ineligible.

Applicants should take this practice into account and make early

submission of their materials to avoid any risk of loss of eligibility

brought about by unanticipated delays or other delivery-related

problems. HUD will date-stamp incoming applications to evidence (timely

or late) receipt, and, upon request, will provide an acknowledgment of

receipt. Facsimile [[Page 11230]] and telegraphic applications are not

authorized and will not be considered.

HUD also encourages an applicant to submit a copy of the

application to the HA for the jurisdiction in which the RC/RMC/RO is

located.

(2) Development. (a) The application must contain the following

information:

(i) For all applicants: Narrative statements addressing the issues

outlined in paragraph (2)(b) of this Section II.B (``Application

Submission and Development'') of the NOFA.

(ii) RCs/RMCs/ROs: Name and address of the RC/RMC/RO. Name and

title of the board members of the RC/RMC/RO and date of the last

election. A copy of the RC's/RMC's/RO's organizational documents (board

resolution, charter, articles of incorporation (if incorporated)) and

by-laws, narratives for all rating factors (Basic or Additional Grant),

support letters, evidence needed for certain rating factors, forms,

certifications, assurances, workplan, and budget information. Name and

phone number of contact person (in the event further information or

clarification is needed during the application review process). Name,

address, and phone number of the HA for the applicant's jurisdiction,

to which inquiries may be addressed concerning the application.

(iii) NROs/RROs/SROs: Name and address of the applicant. Name,

title, and telephone number of a contact person (in the event further

information or clarification is needed during the application review

process). Name and title of the board members and date of last

election. A copy of the articles of incorporation and nonprofit

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

documents). Applicants should also include a narrative statement

discussing the geographical areas in which the applicant wishes to

organize RCs/RMCs/ROs. In addition, the name and address of the HA for

any jurisdiction in which the applicant proposes to organize new or

inactive RCs/RMCs/ROs, and a proposed schedule of activities.

(b) The narrative statements required under paragraph (2)(a)(i) of

this Section II.B of the NOFA shall include the following:

(i) For all applicants:

The name of any development for which the funds are

proposed to be used;

A summary of the program proposed in the application. Also

include in the summary the proposed length of time, in months, needed

to complete TOP activities (i.e., 24 months, 36 months, etc). The

maximum length to complete all activities is 5 years;

The application must be signed by an authorized member of

the board of the RC/RMC/RO or NRO/RRO/SRO (not the HA), and must

include a resolution from the RC/RMC/RO or NRO/RRO/SRO stating that it

agrees to comply with the terms and conditions established under this

program and under 24 CFR parts 964 (for public housing) and 905 (for

Indian housing); and

Assurances (e.g., board resolution or certificate) that

the RC/RMC/RO or NRO/RRO/SRO will comply with all applicable Federal

laws, Executive Orders, regulations, and policies governing this

program, including all applicable civil rights laws, regulations, and

program requirements.

(ii) For Basic Grant applicants:

Factor 1: A narrative describing the activities of the RC/

RMC/RO and the community and overall group goals for specified TOP

initiatives and how the proposed activities will meet the needs of the

RC/RMC/RO;

Factor 2: A narrative describing the extent to which the

residents support the proposed activities of the RC/RMC/RO and how

active the residents are in the community.

Factor 3: A narrative describing the partnership with the

HA and the extent to which the HA supports the activities outlined in

the proposal;

Factor 4: A narrative describing the extent to which local

agencies, community organizations, and the private sector support the

activities outlined in the proposal, including the provision of

financial resources, technical assistance, or other support; and

Factor 5: A narrative describing the RC's/RMC's/RO's

financial and accounting procedures that have been implemented, or

plans to develop these procedures, to ensure that funds are properly

spent.

(iii) For Additional Grant applicants:

Factor 1: Provide evidence that certain activities are

completed which demonstrates the need for additional funding;

Factor 2: A narrative describing the extent to which the

residents support the proposed activities of the RC/RMC/RO and how

active the residents are in the community.

Factor 3: A narrative describing the extent to which the

local HA supports the activities outlined in the proposal; and

Factor 4: A narrative describing the extent to which local

agencies, community organizations, and the private sector support the

activities outlined in the proposal, including the provision of

financial resources, technical assistance, or other support.

(iv) For NRO/RRO/SRO applicants:

Factor 1: A narrative describing the activities proposed

by the NROs/RROs/SRO and providing a detailed plan that clearly

describes the methods for accomplishing the goals and objectives of the

TOP initiatives;

Factor 2: A narrative describing the extent to which the

board of the NRO/RRO/SRO and the HA support the proposed activities;

Factor 3: A narrative describing the applicant's prior

experience in training residents, which can be demonstrated by the

support of the RCs/RMCs/ROs and the local HAs. The letters of support

should indicate the success and quality of training;

Factor 4: A narrative describing the organization's

capability for providing local training; and

Factor 5: A narrative describing the project's financial

and accounting procedures, or plans to develop these procedures to

ensure that funds are spent properly.

(3) HA Support. (a) HUD is in full support of a cooperative

relationship between each RC/RMC/RO and its HA. A resident organization

is urged to involve its HA in the application planning and submission

process. This can be achieved through meetings to discuss resident

concerns and objectives and how best to translate these objectives into

activities in the application. The RC/RMC/RO is also encouraged to

obtain a letter of support from the HA, indicating to what extent the

HA supports the proposed activities listed by the RC/RMC/RO and how the

HA will assist the RC/RMC/RO. To foster partnership, HUD encourages

NROs/RROs/SROs to obtain letters of acknowledgment from the appropriate

HAs regarding the intent to organize residents.

(b) A RC/RMC/RO is encouraged to include an indication of support

and assistance by development residents (e.g., RC/RMC/RO Board

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

neighboring community, and local public or private organizations.

(c) All Additional Grant applicants should include in their

applications documentation that demonstrates the need for additional

funding, as well as support letters from the HA and local and private

organizations.

III. Checklist of Application Submission Requirements

The Application Kit will contain a checklist of all application

submission requirements to complete the application process.

[[Page 11231]]

A. Training Requirements

(1) RC/RMC/RO grantees are required to have training, and NRO/SRO/

RRO grantees are requested to provide training, in the areas listed

below, but the amount and scope of training will depend on the resident

groups' goals. For example, training required to assume property

management is more extensive than training needed to establish a

landscaping enterprise. The required training areas are:

(a) HUD regulations and policies governing the operation of low-

income housing, which includes the part 900 series of 24 CFR; Section 3

(of the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u),

implemented in 24 CFR part 135; other Fair Housing Act requirements;

and applicable civil rights laws as implemented for public housing (24

CFR part 964) and Indian housing (24 CFR part 905);

(b) Financial management, including budgetary and accounting

principles and techniques, in accordance with Federal guidelines,

including OMB Circulars A-110 (and implementing regulations at 24 CFR

part 84) and A-122, which contain Federal administrative requirements

for grants, and A-133, relating to audit requirements for nonprofit

organizations;

(c) Capacity building to develop the necessary skills to assume

management responsibilities at the project; and

(d) Based on the goals of the RC/RMC/RO, property management or any

TOP activities training that is required.

(2) Each grantee must ensure that this training is provided by a

qualified housing management specialist (Consultant/Trainer), community

development specialist, the HA, or other local agencies knowledgeable

about the program.

B. OMB Procurement Requirements

(1) The resident grantees must follow 24 CFR part 84, which

implements OMB Circular A-110 and prescribes standards and policies

essential to the proper execution of procurement transactions,

including standards of conduct for resident grantees' employees,

officers, or agents engaged in procurement actions, to avoid any

conflict of interest.

(2) A grantee may use two methods in obtaining consultant services:

(a) A ``full service'' approach may be used where the applicant

solicits competitive proposals for assisting in the preparation of the

application, with inclusion of the consultant work if the applicant is

selected to receive a grant. The total allowed for hiring an individual

consultant for this purpose shall not exceed 50% or $50,000, whichever

is less, of the total award to the grantee. The evaluation criteria in

the solicitation must address the qualifications and experience of

prospective consultants for all tasks (the contract may stipulate that

in the event that the application is not approved, the consultant is

not entitled to any payment); and

(b) Separation of application preparation from consultant work to

be performed after the award of a grant. This approach allows an

applicant to solicit competitive proposals and contract with a

Consultant-Trainer/Housing Management Specialist for the development of

an application for technical assistance funding. If the applicant is

selected for funding, the Consultant-Trainer/Housing Management

Specialist must compete along with other prospective Consultant-

Trainer/Housing Management Specialists through an open and free

procurement process for a training and technical assistance contract.

This will eliminate any competitive advantage attained by the

Consultant-Trainer/Housing Management Specialist who was awarded a

contract for the development of the application/Work Plan and Budget.

The total allowed for hiring an individual consultant for this purpose

shall not exceed 50% or $50,000, whichever is less, of the total award

to the grantee.

IV. Corrections to Deficient Applications

HUD will notify an applicant in writing of any technical

deficiencies in the application. Any deficiency capable of cure will

involve only items not necessary for HUD to assess the merits of an

application against the Rating Factors specified in this NOFA. For

example, signatures needed on certain forms, certifications, workplan,

budget, and other required forms may be considered curable

deficiencies. All applicants including NROs/RROs/SROs must submit

corrections to the local HUD Field Office (including Native American

Program Offices, as appropriate) within 14 calendar days from the date

of HUD's letter notifying the applicant of any technical deficiency. If

corrections are received by the local Field Office after the 14-day

timeframe, the applications will be considered incomplete and will not

be considered for funding.

After the application due date, applicants will not have an

opportunity to submit independently information omitted from the

application that directly relates to the evaluation factors contained

in the subheading ``Rating Factors'' of this NOFA, so as to enhance the

merits of the application. HUD encourages all applicants to submit all

documents with their applications before the due date, so that

applicants will not be affected by the technical deficiency period.

V. Other Matters

A. Freedom of Information Act

Applications submitted in response to this NOFA are subject to

disclosure under the Freedom of Information Act (FOIA). To assist the

Department in determining whether to release information contained in

an application in the event a FOIA request is received, an applicant

may, through clear earmarking or otherwise, indicate those portions of

its application that it believes should not be disclosed. The

applicant's views will be used solely to aid the Department in

preparing its response to a FOIA request; the Department is required by

the FOIA to make an independent evaluation of the information.

HUD suggests that an applicant provide a basis, when possible, for

its belief that confidential treatment is appropriate; general

assertions or blanket requests for confidentiality, without more

information, are of limited value to the Department in making

determinations concerning the release of information under FOIA. The

Department is required to segregate disclosable information from non-

disclosable 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 [[Page 11232]] 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 five-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 24 CFR 12.14(a) and 12.16(b), and the notice published in the

Federal Register on January 16, 1992 (57 FR 1942), for further

information on these documentation and public access requirements.)

Disclosures. HUD will make available to the public for five years

all applicant disclosure reports (HUD Form 2880) submitted in

connection with this NOFA. Update reports (also Form 2880) will be made

available along with the applicant disclosure reports, but in no case

for a period less than three years. All reports--both applicant

disclosures and updates--will be made available in accordance with the

Freedom of Information Act (5 U.S.C. 552) and HUD's implementing

regulations at 24 CFR part 15. (See 24 CFR part 12, subpart C, and the

notice published in the Federal Register on January 16, 1992 (57 FR

1942), for further information on these disclosure requirements.)

F. Prohibition Against Advance Information on Funding Decisions

Section 103 of the HUD Reform Act proscribes the communication of

certain information by HUD employees to persons not authorized to

receive that information during the selection process for the award of

assistance. HUD's regulation implementing section 103 is codified at 24

CFR part 4 (see 56 FR 22088, May 13, 1991). In accordance with the

requirements of section 103, HUD employees involved in the review of

applications and in the making of funding decisions are restrained by

24 CFR part 4 from providing advance information to any person (other

than an authorized employee of HUD) concerning funding decisions, or

from otherwise giving any applicant an unfair competitive advantage.

Persons who apply for assistance in this competition should confine

their inquiries to the subject areas permitted under 24 CFR part 4.

Applicants who have questions should contact the HUD Office of Ethics

(202) 708-3815 (voice/TDD). (This is not a toll-free number.)

G. Prohibition Against Lobbying of HUD Personnel

Section 112 of the HUD Reform Act added a new section 13 to the

Department of Housing and Urban Development Act (42 U.S.C. 3531 et

seq.). Section 13 contains two provisions dealing with efforts to

influence HUD's decisions with respect to financial assistance. The

first imposes disclosure requirements on those who are typically

involved in these efforts--those who pay others to influence the award

of assistance or the taking of a management action by the Department

and those who are paid to provide the influence. The second restricts

the payment of fees to those who are paid to influence the award of HUD

assistance, if the fees are tied to the number of housing units

received or are based on the amount of assistance received, or if they

are contingent upon the receipt of assistance.

Section 13 is implemented in 24 CFR part 86. If readers are

involved in any efforts to influence the Department in these ways, they

are urged to read part 86, particularly the examples contained in

Appendix A of that part.

Any questions about the rule should be directed to the Office of

Ethics, room 2158, Department of Housing and Urban Development, 451

Seventh Street, S.W., Washington, D.C. 20410-3000. Telephone: (202)

708-3815 (voice/TDD) (these are not toll-free numbers). Forms necessary

for compliance with the rule may be obtained from the local HUD office.

H. Drug-Free Workplace Certification

The Drug-Free Workplace Act of 1988 (42 U.S.C. 701) requires

grantees of federal agencies to certify that they will provide drug-

free workplaces. Each potential recipient under this NOFA must certify

that it will comply with drug-free workplace requirements in accordance

with the Act and with HUD's rules at 24 CFR part 24, subpart F.

Catalog of Federal Domestic Assistance

The Catalog of Federal Domestic Assistance program number is

14.853.

Authority: 42 U.S.C. 1437r; 42 U.S.C. 3535(d).

Dated: February 22, 1995.

Joseph H. Shuldiner,

Assistant Secretary for Public and Indian Housing.

Appendix--Names, Addresses, and Telephone Numbers of HUD Field Offices

Accepting Applications for Tenant Opportunities Program Technical

Assistance

Massachusetts State Office

Public Housing Division, Room 375, Thomas P. O'Neill, Jr. Federal

Building, 10 Causeway Street, Boston, Massachusetts 02222-1092,

(617) 565-5234

Connecticut State Office

Public Housing Division, First Floor, 330 Main St., Hartford,

Connecticut 06106-1860, (203) 240-4523

New Hampshire State Office

Public Housing Division, Norris Cotton Federal Building, 275

Chestnut St., Manchester, New Hampshire 03101-2487, (603) 666-7681

Rhode Island State Office

Public Housing Division, Sixth Floor, 10 Weybosset Street,

Providence, Rhode Island 02903-3234, (401) 528-5351

New York State Office

Public Housing Division, 26 Federal Plaza, New York, New York 10278-

0068, (212) 264-6500

Buffalo Area Office

Public Housing Division, 465 Main Street, Lafayette Court, 5th

Floor, Buffalo, New York 14203-1780, (716) 846-5755 [[Page 11233]]

New Jersey State Office

Public Housing Division, One Newark Center, Thirteenth Floor,

Newark, New Jersey 07102-5260, (201) 622-7900

Washington, D.C. Office

Public Housing Division, 820 First St. N.E., Suite 300, Washington,

D.C. 20002-4502, (202) 275-9200

Pennsylvania State Office

Public Housing Division, Liberty Square Building, 105 South Seventh

Street, Philadelphia, Pennsylvania 19106-3392, (215) 597-2560

Maryland State Office

Public Housing Division, City Crescent Building, 10 South Howard

St., 5th Floor, Baltimore, Maryland 21202-2505, (410) 962-2520

Pittsburgh Area Office

Public Housing Division, 412 Old Post Office Courthouse, 7th Avenue

and Grant St., Pittsburgh, Pennsylvania 15219-1906, (412) 644-6428

Virginia State Office

Public Housing Division, The 3600 Centre, 3600 West Broad St., P.O.

Box 90331, Richmond, Virginia 23230-0331, (804) 278-4507

West Virginia State Office

Public Housing Division, 405 Capitol St., Suite 708, Charleston,

West Virginia 25301-1795, (304) 347-7000

Georgia State Office

Public Housing Division, Richard B. Russell Federal Building, 75

Spring Street, S.W., Atlanta, Georgia 30303-3388, (404) 331-5136

Alabama State Office

Public Housing Division, Beacon Ridge Tower, 600 Beacon Parkway

West, Suite 300, Birmingham, Alabama 35209-3144, (205) 290-7617

Kentucky State Office

Public Housing Division, P.O. Box 1044, 601 W. Broadway, Louisville,

Kentucky 40201-1044, (502) 582-5251

Mississippi State Office

Public Housing Division, Dr. A. H. McCoy Federal Building, 100 West

Capitol St., Suite 910, Jackson, Mississippi 39269-1096, (601) 965-

5308

North Carolina State Office

Public Housing Division, Koger Building, 2306 W. Meadowview Rd.,

Greensboro, North Carolina 27407-3707, (910) 547-4001

Caribbean Office

Public Housing Division, New San Juan Office Building, 159 Carlos E.

Chardon Ave., San Juan, Puerto Rico 00918-1804, (809) 766-6121

South Carolina State Office

Public Housing Division, Strom Thurmond Federal Building, 1835

Assembly St., Columbia, South Carolina 29201-2480, (803) 765-5592

Knoxville Area Office

Public Housing Division, John J. Duncan Federal Building, 710 Locust

St., 3rd Floor, Knoxville, Tennessee 37902-2526, (615) 545-4384

Tennessee State Office

Public Housing Division, 251 Cumberland Bend Drive, Suite 200,

Nashville, Tennessee 37228-1803, (615) 736-5213

Jacksonville Area Office

Public Housing Division, Southern Bell Tower, 301 West Bay Street,

Suite 2200, Jacksonville, Florida 32202-5121, (904) 232-2626

Illinois State Office

Public Housing Division, Ralph Metcalfe Federal Building, 77 West

Jackson Boulevard, Chicago, Illinois 60604-3507, (312) 353-5680

Michigan State Office

Public Housing Division, Patrick V. McNamara Federal Building, 477

Michigan Ave., Detroit, Michigan 48226-2592, (313) 226-7900

Indiana State Office

Public Housing Division, 151 North Delaware St., Indianapolis,

Indiana 46204-2526, (317) 226-6303

Grand Rapids Area Office

Public Housing Division, 2922 Fuller Ave., N.E., Grand Rapids,

Michigan 49505-3499, (616) 456-2100

Minnesota State Office

Public Housing Division, 220 2nd St. South, Bridge Place Building,

Minneapolis, Minnesota 55401-2195, (612) 370-3000

Cincinnati Area Office

Public Housing Division, 525 Vine St., 7th Floor, Cincinnati, Ohio

45202-3188, (513) 684-2884

Cleveland Area Office

Public Housing Division, Renaissance Building, 1350 Euclid Ave., 5th

Floor, Cleveland, Ohio 44115-1815, (216) 522-4058

Ohio State Office

Public Housing Division, 200 North High Street, Columbus, Ohio

43215-2499, (614) 469-5737

Wisconsin State Office

Public Housing Division, Henry S. Reuss Federal Plaza, 310 W.

Wisconsin Ave., Suite 1380, Milwaukee, Wisconsin 53203-2289, (414)

297-3214

Texas State Office

Public Housing Division, 1600 Throckmorton, P.O. Box 2905, Fort

Worth, Texas 76113-2905, (817) 885-5401

Houston Area Office

Public Housing Division, Norfolk Tower, 2211 Norfolk, Suite 200,

Houston, Texas 77098-4096, (713) 834-3274

San Antonio Area Office

Public Housing Division, Washington Square Building, 800 Dolorosa

St., San Antonio, Texas 78207-4563, (210) 229-6800

Arkansas State Office

Public Housing Division, TCBY Tower, 425 West Capitol Ave., Little

Rock, Arkansas 72201-3488, (501) 324-5931

Louisiana State Office

Public Housing Division, Fisk Federal Building, 1661 Canal St.,

Suite 3100, New Orleans, Louisiana, 70112-2887 (504) 589-7200

New Mexico State Office

Public Housing Division, 625 Truman Street N.E., Albuquerque, NM

87110-6443, (505) 262-6463

Nebraska State Office

Public Housing Division, 10909 Mill Valley Rd., Omaha, Nebraska

68154-3955, (402) 492-3100

St. Louis Area Office

Public Housing Division, Robert A. Young Federal Building, 1222

Spruce St. Room 3207, St. Louis, Missouri 63103-2836, (314) 539-6583

Kansas/Missouri State Office

Public Housing Division, Room 200, Gateway Tower II, 400 State

Avenue, Kansas City, Kansas 66101-2406, (913) 551-5462

Iowa State Office

Public Housing Division, Federal Building, 210 Walnut St., Rm. 239,

Des Moines, Iowa 50309-2155, (515) 284-4512

Colorado State Office

Public Housing Division, 633 17th Street, First Interstate Tower

North, Denver, Colorado 80202-3607, (303) 672-5440

California State Office

Public Housing Division, Philip Burton Federal Building & U.S.

Courthouse, 450 Golden Gate Avenue, P.O. Box 36003, San Francisco,

California 94102-3448, (415) 556-4752

Hawaii State Office

Public Housing Division, 7 Waterfront Plaza, 500 Ala Moana Blvd.,

Suite 500, Honolulu, Hawaii 96813-4918, (808) 552-8175

Los Angeles Area Office

Public Housing Division, 1615 W. Olympic Blvd., Los Angeles,

California 90015-3801, (213) 251-7122

Sacramento, California Office

Public Housing Division, 777 12th St., Suite 200, Sacramento,

California 95814-1997, (916) 551-1351

Arizona State Office

Public Housing Division, Two Arizona Center, 400 N. 5th St., Suite

1600, Phoenix, Arizona 85004-2361, (602) 379-4434

Oregon State Office

Public Housing Division, Cascade Building, 520 Southwest Sixth Ave.,

Portland, Oregon 97204-1596, (503) 326-2561 [[Page 11234]]

Washington State Office

Public Housing Division, Suite 200, Seattle Federal Office Building,

909 First Avenue, Seattle, Washington 98104-1000, (206) 220-5101

Alaska State Office

Public Housing Division, University Plaza Building, 949 E. 36th

Ave., Suite 401, Anchorage, Alaska 99508-4399, (907) 271-4170

Native American Program Offices

Serves: All States East of the Mississippi River and Iowa

Administrator, Eastern/Woodlands Office of Native American Programs,

5P, 77 W. Jackson Boulevard, 24th Floor, Chicago, Illinois 60604-

3507, (312) 886-4532

Serves: Oklahoma, Kansas, Missouri, Texas, Arkansas and Louisiana

Administrator, Southern Plains Office of Native American Programs,

6.7P, Murrah Federal Building, 200 N.W. 5th Street, Oklahoma City,

Oklahoma 73102, (405) 231-4101

Serves: Colorado, Montana, the Dakotas, Nebraska, Utah and Wyoming

Mr. Vernon Haragara, Administrator, Southern Plains Office of Native

American Programs, 8P, First Interstate Tower North, 633 17th

Street, Denver, Colorado 80202-3607, (303) 672-5462

Serves: California, Nevada, Arizona and New Mexico

Mr. Raphael Mecham, Administrator, Southwest Office of Native

American Programs, Two Arizona Center, 9 OIP, 400 N. Fifth Street,

Suite 1650, Phoenix, Arizona 85004, (602) 379-4156

Serves: Washington, Idaho and Oregon

Mr. Jerry Leslie, Administrator, Northwest Office of Native American

Programs, 10PI, Seattle Federal Office Building, 909 First Avenue,

Suite 300, Seattle, Washington 98104, (206) 220-5270

Serves: Alaska

Mr. Marlin Knight, Administrator, Alaska Office of Native American

Programs, 10.1PI, University Plaza Building, 949 East 36th Avenue,

Suite 401, Anchorage, Alaska 99508-4399, (907) 271-4633

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

BILLING CODE 4210-33-P