[Federal Register Volume 60, Number 40 (Wednesday, March 1, 1995)]
[Notices]
[Pages 11222-11234]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-4968]




[[Page 11221]]

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Part III





Department of Housing and Urban Development





_______________________________________________________________________



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

  Federal Register / Vol. 60, No. 40 / Wednesday, March 1, 1995 / 
Notices   
[[Page 11222]] 

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

Office of the Assistant Secretary for Public and Indian Housing
[Docket No. N-95-3847; FR-3828-N-01]


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

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

ACTION: Notice of funding availability for FY 1995.

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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