[Federal Register Volume 61, Number 129 (Wednesday, July 3, 1996)]
[Notices]
[Pages 35022-35040]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-17007]



[[Page 35021]]


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Part V





Department of Housing and Urban Development





_______________________________________________________________________



Office of the Assistant Secretary for Public and Indian Housing: 
Funding Availability for FY 1996 for the Public and Indian Housing 
Tenant Opportunities Program Technical Assistance; Notice

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

[[Page 35022]]



DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4066-N-01]


Office of the Assistant Secretary for Public and Indian Housing; 
NOFA for FY 1996 for the Public and Indian Housing Tenant Opportunities 
Program Technical Assistance

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

ACTION: Notice of funding availability for FY 1996.

-----------------------------------------------------------------------

SUMMARY: HUD is announcing the availability of $15 million for Fiscal 
Year 1996 under the Public and Indian Housing Tenant Opportunities 
Program (TOP). HUD reinvented resident management and created the TOP 
to expand the range of the 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, and includes an 
appendix setting out the Consultant/Trainer Checklist.

DATES: Application kits may be requested beginning July 3, 1996. The 
application deadline will be specified in the application kit, and will 
be firm as to date and time. Applicants will have at least 30 days from 
today's publication of the NOFA to prepare and submit their 
applications.
    The separate deadline for comments on the information collection 
requirements is September 3, 1996.

ADDRESSES: To obtain a copy of the application kit, please write the 
Resident Initiatives Clearinghouse, Post Office Box 6424, Rockville, MD 
20850, or call the toll free number 1-800-955-2232. Requests for 
application kits must include your name, mailing address (including zip 
code), telephone number (including area code), and should refer to 
document FR-4066. Applicants may access the TOP Application Kit through 
HUD's World Wide Web site at http://www.hud.gov/pih. This NOFA cannot 
be used as the application.
    Comments on the proposed information collection requirements must 
refer to the NOFA for FY 1996 for the Public and Indian Housing Tenant 
Opportunities Program Technical Assistance (FR-4066), and must be sent 
to: Reports Liaison Officer, Office of Community Relations and 
Involvement, Department of Housing and Urban Development, 451 7th 
Street, SW, Room 4112, Washington, DC 20410-3600.

FOR FURTHER INFORMATION CONTACT: Christine Jenkins or Barbara J. 
Armstrong, Office of Community Relations and Involvement, Department of 
Housing and Urban Development, 451 Seventh Street, SW., Room 4112, 
Washington, D.C. 20410; telephone: (202) 708-3611. All Indian Housing 
applicants may contact Tracy Outlaw, Office of Native American 
Programs, Department of Housing and Urban Development, 451 Seventh 
Street, SW, Room B-133, Washington, D.C. 20410; telephone: (202) 755-
0088. For hearing- and speech-impaired persons, these numbers may be 
accessed via TTY (text telephone) by calling the Federal Information 
Relay Service at 1-800-877-8339. (Other than the ``800'' TTY number, 
telephone numbers are not 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 (OMB) in 
accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520), and have been assigned OMB control number 2577-0087. An agency 
may not conduct or sponsor, and a person is not required to respond to, 
a collection of information unless the collection displays a valid 
control number. Because this OMB control number will be expiring later 
this year, the Department is soliciting comments, as required under 5 
CFR 1320.8(d), before submitting the information collection 
requirements contained in this NOFA to OMB for renewal of the control 
number in accordance with 5 CFR 1320.10. Information on the estimated 
information collection burden is provided under the heading, Other 
Matters, at the end of this notice.

I. Purpose and Description

A. Authority

    Section 20, United States Housing Act of 1937 (42 U.S.C. 1437r); 
sec. 7(d), Department of Housing and Urban Development Act (42 U.S.C. 
3535(d)). The amount of funding provided under this NOFA was 
appropriated for the program in the Omnibus Consolidated Rescissions 
and Appropriations Act of 1996 (Pub. L. 104-134, 110 Stat. 1321; 
approved April 26, 1996).

B. Statutory Background

    Section 122 of the Housing and Community Development Act of 1987 
(Pub. L. 100-42, approved February 5, 1988) amended the United States 
Housing Act of 1937 (1937 Act) by adding a new section 20 (42 U.S.C. 
1437r) (section 20). Section 20 states as part of its purpose the 
encouragement of ``increased resident management of public housing 
projects [and the provision of funding] . . . to promote formation and 
development of resident management entities'' (Sec. 20(a)). Under 
Section 20(f)(1):

    . . . [T]he Secretary shall provide financial assistance to 
resident management corporations or resident councils that obtain, 
by contract or otherwise, technical assistance for the development 
of resident management entities, including the formation of such 
entities, the development of the management capability of newly 
formed or existing entities, the identification of the social 
support needs of residents of public housing projects, and the 
securing of such support.

    Under Section 20(f)(2), this financial assistance may not exceed 
$100,000 with respect to any public housing project. Section 20 is 
implemented in 24 CFR part 950, subpart O (for Indian housing), and 
part 964 (for public housing). The rules set forth, among other things, 
the policies, procedures, and requirements of resident participation 
and management of public and Indian housing.
    The TOP meets the need in many communities for business 
development, education, job training and development, social services, 
and opportunities for other self-help initiatives. The program enables 
resident entities to establish priorities, based on the efforts in 
their public and Indian housing communities, that are aimed at 
furthering economic lift and independence. Financial assistance in the 
form of technical assistance grants is provided by the Secretary to 
resident grantees to prepare for management activities in their housing 
development (hereinafter referred to as TOP technical assistance 
grants). The TOP technical assistance grants are available for ``the 
development of resident management entities, including the formation of 
such entities, the development of the management capability of newly 
formed or existing entities, the identification of the social support 
needs of residents of

[[Page 35023]]

public housing projects and the securing of such support.''
    Residents may use TOP technical assistance grants for training 
related to any TOP initiative. The results from organizations in 
training have been significant and multifaceted. For example, resident-
managed activities have resulted in economic development, resident 
self-sufficiency, improved living conditions, and enhanced social 
services for residents (i.e., child care and other youth projects). TOP 
will provide public and Indian housing residents the opportunity to be 
trained and move toward responsible roles in their communities. The 
training will aim to enhance the functioning of the resident council as 
well as develop skills to engage in resident-managed activities in its 
community. The Department strongly encourages resident entities to 
develop a partnership with their public housing agency or Indian 
housing authority (hereafter jointly referred to as ``HA''). The 
Department is committed to building a real partnership among HAs, 
residents, and HUD.
    In FY 1996, $15 million is available to public and Indian housing 
RCs/RMCs/ROs, of which $500,000 is set-aside for NROs/RROs/SROs to 
provide technical assistance and training activities under the TOP 
program.
    Today, approximately 905 resident groups throughout the country are 
in training under this program. HUD supports the tenant opportunities 
movement, as well as other self-sufficiency and improvement programs 
designed to benefit public and Indian housing residents. HUD's Office 
of Community Relations and Involvement has the responsibility of 
delivering a variety of resident initiative programs, with assistance 
from a network of Community Relations and Involvement Specialists 
(CRIs) in HUD's field structure. The CRIs are available to provide 
direct assistance to residents and resident groups interested in 
resident initiatives programs.

C. Termination and Enforcement of Grant Award

    All grant awards may be terminated if a recipient materially fails 
to comply with the terms and conditions of an award in accordance with 
Revised OMB Circular A-110 and 24 CFR part 84 (Secs. 84.60, 84.61, and 
84.62).

D. New Features of This NOFA

    (1) All applicants are required to submit a TOP Work Plan that 
includes TOP-specific training programs/performance standards for 
implementing the TOP grant. The purpose of the training programs/
performance standards is to facilitate positive outcomes, products or 
deliverables such as jobs, businesses, and services. The applicant must 
select and implement the training programs/performance standards of 
choice in accordance with the needs of the community. The training 
programs/performance standards are not all-inclusive, and grantees may 
work with the HUD Field Offices to establish other training programs/
performance standards to meet their needs, provided that the results 
would be measurable. (See Section I.Q of this NOFA).
    (2) All TOP grantees must adhere to the new travel policy 
established by HUD. The policy ensures that all travel funded under TOP 
is directed toward the successful completion of the required TOP Work 
Plan/Performance Standards and time frames as explained in Section I.Q 
of this NOFA. The travel policy sets a maximum amount of $5,000 over 
the 3- to 5-year period of the grant. Requests for funds beyond the 
limit of $5,000 must be approved by the local HUD Office. All grantees 
must attend a HUD-sponsored TOP orientation training prior to expending 
TOP funds, with the exception of funds needed to attend the training. 
If the grantee's grant agreement is executed and the organization is 
properly established in the Line of Credit Control System/Voice 
Response System (LOCCS/VRS), the grantee must draw down the total 
amount needed to attend the training. If the grantee's grant agreement 
is not executed and the organization is not properly established in the 
LOCCS/VRS, the grantee may request the HA to advance the organization 
the total amount needed to attend the HUD orientation training. The 
grantee must reimburse the HA when the organization is properly 
established in the LOCCs/VRS.
    This travel policy is not applicable to NROs/RROs/SROs. HUD will be 
developing a travel policy that establishes guidelines for NROs/RROs/
SROs in the near future.
    (3) To ensure the successful implementation of the TOP Work plan 
activities, RCs/RMCs/ROs are required to determine the need to contract 
for outside consulting/training services, after considering their own 
capacity. Each RC/RMC/RO is encouraged to make maximum use of its HA; 
nonprofits; or other Federal, State, or local government resources for 
technical assistance and training needs. All Basic Grantees may use up 
to $15,000 to obtain a consultant/trainer from the TOP database of 
registered consultant/trainers for assistance in implementing Tasks 1 
through 4 of the TOP Work Plan. (The TOP Work Plan is included in the 
TOP Application Kit).
    The HA; other nonprofits; and Federal, State, or local government 
resources may serve as the consultant/trainer; however, the identified 
source that intends to establish a contract with the RC/RMC/RO must 
register with HUD prior to executing a contract.
    (4) HUD encourages all interested consultants/trainers to register 
to participate in the TOP by completing the Consultant/Trainer 
Checklist included as an Appendix to this NOFA and mailing it to the 
following address: Department of Housing and Urban Development, Office 
of Public and Indian Housing, Office of Resident Involvement, 451 7th 
Street, SW, Room 4112, Washington, D.C. 20410.
    The TOP grantee may select the HA as the consultant/trainer, 
however, the HA must register to be included in the TOP database. 
Grantees may invite other familiar consultants/trainers to register in 
the TOP database.
    (5) After completion of Tasks 1 through 4 of the TOP Work Plan, the 
RC/RMO/RO may hire a consultant/trainer to assist in the implementation 
of Tasks 5 through 7 of the TOP Work Plan. The grantees must follow 24 
CFR 84, which implements OMB Circular A-110 and prescribes standards 
and policies essential to ensure open and free competition for the 
proper execution of procurement transactions when selecting a 
consultant/trainer. HUD will make available the source list of 
registered consultant/trainers upon request, for use in a competitive 
solicitation for consultant services to assist the RC/RMC/RO in 
implementing TOP Work Plan Tasks 5 through 7 of the TOP Work Plan. The 
amount allowed for hiring an individual consultant for this purpose 
shall not exceed 50 percent of the total grant award or $50,000, 
whichever is less. HUD Field Offices will monitor this process to 
ensure compliance with these requirements.
    (6) Applicants shall not solicit any proposals for application 
preparation or a training and technical assistance contract prior to 
receiving a TOP grant award. This year HUD is eliminating the ``full-
service'' and ``separation of application preparation'' approaches to 
be used by grantees for obtaining consultant services. The full-service 
approach allowed RCs/RMCs/ROs to solicit competitive proposals for 
consultants to assist in the preparation of the application and 
included provisions for a training and technical assistance contract 
without another competitive process if the RCs/RMCs/ROs were selected 
to receive a grant.

[[Page 35024]]

The separation of application preparation from consultant work to be 
performed after the award of a grant approach allowed an applicant to 
solicit competitive proposals and contract with a Consultant-Trainer/
Housing Management specialist for the development of an application for 
technical assistance. If the applicant was selected for funding, the 
Consultant/Trainer/Housing Management Specialist had to compete again 
through an open and free procurement process for a training and 
technical assistance contract.
    (7) All NROs/RROs/SROs must be registered as a nonprofit 
organization at the time of application submission. NROs/RROs/SROs must 
list in the application the name of the RCs/RMCs/ROs that the 
organization will train or provide technical assistance and must 
provide letters of support from each entity identified in the 
application. The NROs/RROs/SROs cannot list RCs/RMC/ROs that have 
received a maximum of $100,000.
    (8) HUD no longer allows the formation of Partnership Paradigm 
Technical Assistance (PPTA) organizations or the Technical Assistance 
Organizations (TAOs). Therefore, no PPTA or TAO applications will be 
considered for a TOP grant.
    (9) HUD has included eligible activities for the elderly or 
disabled persons. (See section I.K(5) of this NOFA).
    (10) All RCs/RMCs/ROs, city-wide/jurisdiction-wide organizations 
and NROs/RROs/SROs previously funded the maximum of $100,000 under the 
TOP cannot reapply for funding under this NOFA. This decision was made 
in accordance with section 20(f)(2), which states ``the financial 
assistance provided under this subsection with respect to any public 
housing project may not exceed $100,000.'' This section would also 
prohibit an award to NROs/RROs/SROs if the resident organizations being 
served have received the maximum amount of $100,000.

E. Other Features of This NOFA

    (1) RCs/RMCs/ROs that have duly elected boards may receive up to 
$100,000.
    (2) All applicants that are selected for funding (including NROs/
RROs/SROs) will access the grant funds through the LOCCS/VRS as 
explained in Section I.F, ``Funding,'' of this NOFA.
    (3) An application kit is required as the formal submission to 
apply for funding. The kit includes information on the preparation of a 
TOP Work Plan/Performance Standards and Budget for activities proposed 
by the applicant. This process facilitates the expeditious execution of 
a TOP Technical Assistance Grant (TOP TAG) for those applicants that 
are selected to receive funding (see Section I.H., TOP Technical 
Assistance Grant Agreement). The kit also includes narratives, 
certifications, and forms.
    (4) A specific certification form is included in the application 
kit that requires each RC/RMC/RO to certify that it has held a 
democratic election. The certification must be signed by an authorized 
representative of the local HA and/or an independent third party 
monitor. (Not applicable to Indian ROs or NROs/RROs/SROs).
    (5) The information listed below is regarding all HOPE I (lead or 
joint) applicants:
    All applications that are submitted by HOPE I (lead or joint) 
grantees will be screened. A cross-check will be made against the HOPE 
I Planning grants and HOPE I Implementation grants, to assure 
compliance with section 20(f)(4) of the 1937 Act, which states: ``The 
Secretary may not provide financial assistance under this subsection to 
any resident management corporation or resident council with respect to 
which assistance for the development or formation of such entity is 
provided under title III.'' HOPE I Planning and Implementation grantees 
were required to propose plans to establish a RC, RMC, or cooperative 
association where one did not exist for the proposed homeownership 
site, including the development or formation of that entity. In 
addition, HOPE I Full Planning and Implementation grant applicants were 
expected to include in their applications all eligible activities 
necessary to make their proposed homeownership program feasible (even 
if some of the proposed activities were to be carried out with non-HOPE 
I funds, such as resident management funds). Consequently, in reviewing 
TOP grant applications, for all applicants who are HOPE I (lead or 
joint) grantees the following rules apply:
    Rule 1. An applicant for TOP funds that has received a HOPE I Full 
Planning or Implementation grant (as a lead or joint applicant) may not 
also receive a TOP grant, unless the applicant proposed in its HOPE I 
application to use TOP funding to carry out those activities.
    Rule 2. An applicant for TOP funds that has received a HOPE I Mini 
Planning grant (as a lead or joint applicant) may not receive a TOP 
grant for any activity proposed for funding in the HOPE I grant. Mini 
Planning grant applicants may apply for a TOP grant if the activities 
proposed in the TOP application are not duplicative.
    (6) All applicants will have an opportunity to correct technical 
deficiencies that are curable in this application submission as 
provided for in this NOFA.

F. Funding

    As noted, $15 million was appropriated in FY 1996 for the TOP. Of 
this amount, $25,000 has been allocated to one RC not funded in the FY 
1995 funding cycle because of a HUD technical error. The remainder of 
the funds is being made available on a competitive basis under this 
NOFA to applicants that submit timely applications and are selected for 
funding. Under section 20(f)(2), this financial assistance may not 
exceed $100,000 with respect to any public housing project.
    Of the remaining $14,975,000 in funds, $500,000 will be awarded to 
NROs, RROs, and SROs. The purpose of these grants is to provide 
technical assistance to public and Indian housing residents desiring 
either to establish a RC/RMC/RO where one does not exist or to organize 
an inactive RC/RMC/RO.
    With the remaining $14,475,000, the Department will provide two 
types of grants to RCs/RMCs/ROs: (1) Basic Grants; and (2) Additional 
Grants.
Basic Grants
    All RCs/RMCs/ROs that have been in existence for several years, and 
new emerging groups that meet eligibility requirements (see 
Definitions, Section I.I of the NOFA), may apply for a Basic Grant for 
up to $100,000. All grantees will access the TOP grant funds through 
the LOCCS/VRS.
    To ensure the progress of the grantees, each grantee will be 
allowed to draw down through LOCCS/VRS only the specific amount of 
funding needed to complete the tasks and subtasks specified in the TOP 
Work Plan. The grantee must complete all activities under Tasks 1 
through 4 in the TOP Work Plan prior to advancing to TOP Work Plan 
Tasks 5 through 7 and receiving additional funds.
    The local HUD Field Office or Area Office of Native American 
Programs (ONAP) will be responsible for approving the TOP Work Plan and 
permitting grantees access to the LOCCS/VRS.
Additional Grants
    Any RC/RMC/RO selected for a Resident Management(RM)/TOP grant in 
FYs 1988-1995 (including a mini grant for start-up activities) that 
received less than a total of $100,000

[[Page 35025]]

may apply for an Additional Grant not to exceed (including previous 
grants) the total statutory maximum of $100,000.
    To ensure the progress of the grantees, each grantee will be 
allowed to draw down from LOCCS/VRS only the specific amount of funding 
needed to complete the tasks and subtasks specified in the TOP Work 
Plan. Each Additional Grant grantee must provide a progress report that 
will indicate accomplishments and the remaining tasks to be completed. 
The local HUD Field Office or Area ONAP will be responsible for 
approving the TOP Work Plan and permitting grantees access to the 
LOCCS/VRS.
    Each Additional Grant applicant must demonstrate the need for 
additional funding by submitting evidence of completing specific 
activities. An Additional Grant applicant may receive a higher score if 
most of the activities listed in Section I.O(1) of this NOFA are 
completed and documentation is included as evidence.
NROs/SROs/RROs Grants
    The purpose of this grant is to provide technical assistance to 
public and Indian housing residents desiring either to establish a RC/
RMC/RO where one does not exist or to organize an inactive RC/RMC/RO. 
The awards will be competitive, using the Rating Factors in Section I.P 
of this NOFA, and applicants must meet eligibility requirements. The 
local HUD Field Office or Area ONAP will be responsible for approving 
the TOP Work Plan and determining the ability of the grantee to access 
the LOCCS/VRS.
    Each NRO/RRO/SRO must be registered as a nonprofit organization at 
the time of application submission. NROs/RROs/SROs must list in the 
application the name of the RCs/RMCs/ROs that the organization will 
train or provide technical assistance, and provide letters of support 
from each entity identified in the application. The NROs/RROs/SROs 
cannot list RCs/RMC/ROs that have already received the maximum of 
$100,000.

G. Fair Housing Act Requirement

    No grantee may discriminate based on race, national origin, 
religion, color, familial status, disability, or sex in the provision 
of any benefits or services.

H. TOP Technical Assistance Grant Agreement

    Grant awards will be made through a TOP Technical Assistance Grant 
Agreement which defines the legal framework for the relationship 
between HUD and a resident grantee for the proposed activities approved 
for funding. The grant agreement will contain all administrative 
documents and forms needed to execute the grant. No funds can be drawn 
down by a grantee until the grant agreement is executed by the local 
HUD Field Office or Area ONAP.

I. Definitions

    The following definitions apply to public housing, as provided in 
24 CFR 964.115 and 964.120:
    Resident Council (RC). An incorporated or unincorporated nonprofit 
organization or association that shall consist of persons residing in 
public housing and must meet each of the following requirements in 
order to receive official recognition from the HA/HUD, and be eligible 
to receive funds for resident council activities, and stipends for 
officers for their related costs for volunteer work in public housing:
    (1) It may represent residents residing in scattered site 
buildings, in areas of contiguous row houses; or in one or more 
contiguous buildings; in a development; or in a combination of these 
buildings or developments.
    (2) It must adopt written procedures such as by-laws, or a 
constitution which provides for the election of residents to the 
governing board by the voting membership of the residents residing in 
public housing on a regular basis but at least once every 3 years. The 
written procedures must provide for the recall of the resident board by 
the voting membership. These provisions shall allow for a petition or 
other expression of the voting membership's desire for a recall 
election, and set the number of percentage of voting membership 
(``threshold'') who must be in agreement in order to hold a recall 
election. This threshold shall not be less than 10 percent of the 
voting membership.
    (3) It must have a democratically elected governing board that is 
elected by the voting membership. At a minimum, the governing board 
should consist of five elected board members. The voting membership 
must consist of heads of households (any age) and other residents at 
least 18 years of age or older and whose name appears on a lease for 
the unit in the public housing that the resident council represents.
    Resident Management Corporation (RMC). An entity that consists of 
residents residing in public housing must have each of the following 
characteristics in order to receive official recognition by the HA and 
HUD:
    (1) It shall be a nonprofit organization that is validly 
incorporated under the laws of the State in which it is located;
    (2) It may be established by more than one resident council, so 
long as each such council:
    (a) Approves the establishment of the corporation; and
    (b) Has representation on the Board of Directors of the 
corporation.
    (3) It shall have an elected Board of Directors, and elections must 
be held at least once every 3 years;
    (4) Its by-laws shall require the Board of Directors to include 
resident representatives of each resident council involved in 
establishing the corporation; include qualifications to run for office, 
frequency of elections, procedures for recall, and term limits if 
desired;
    (5) Its voting members shall be heads of households (any age) and 
other residents at least 18 years of age and whose name appears on the 
lease of a unit in public housing represented by the resident 
management corporation;
    (6) Where a resident council already exists for the development, or 
a portion of the development, the resident management corporation shall 
be approved by the resident council board and a majority of the 
residents. If there is no resident council, a majority of the residents 
of the public housing development it will represent must approve the 
establishment of such a corporation for the purposes of managing the 
project; and
    (7) It may serve as both the resident management corporation and 
the resident council, so long as the corporation meets the requirements 
of this part for a resident council.
    The following definitions apply to Indian Housing, as defined in 24 
CFR part 950:
    Resident Management Corporation (RMC). An entity that proposes to 
enter into, or enters into, a contract to manage IHA property. The 
corporation shall have each of the following characteristics:
    (1) It shall be a nonprofit organization that is incorporated under 
the laws of the State or Indian tribe in which it is located;
    (2) It may be established by more than one resident organization, 
so long as each such organization both approves the establishment of 
the corporation and has representation on the Board of Directors of the 
corporation;
    (3) It shall have an elected Board of Directors;
    (4) Its by-laws shall require the Board of Directors to include 
representatives of each resident organization involved in establishing 
the corporation;
    (5) Its voting members are required to be residents of the project 
or projects it manages; and

[[Page 35026]]

    (6) It shall be approved by the resident organization. If there is 
no organization, a majority of the households of the project or 
projects shall approve the establishment of such an organization.
    Resident Organization (RO). A Resident Organization (or ``Resident 
Council'' as defined in Section 20 of the Act) is an incorporated or 
unincorporated nonprofit organization or association that meets each of 
the following criteria:
    (1) It shall consist of residents only, and only residents may 
vote;
    (2) If it represents residents in more than one development or in 
all of the developments of an IHA, it shall fairly represent residents 
from each development that it represents;
    (3) It shall adopt written procedures providing for the election of 
specific officers on a regular basis; and
    (4) It shall have a democratically elected governing board. The 
voting membership of the board shall consist solely of the residents of 
the development or developments that the RO represents.
    The following definitions apply to NROs/RROs/SROs applicants:

    (Note: A NRO/RRO/SRO must be incorporated as a nonprofit 
organization at the time of application submission to be eligible 
for funding under this NOFA.)

    National Resident Organization (NRO). An incorporated nonprofit 
organization or association for public and Indian housing that meets 
each of the following requirements:
    (1) It is national (i.e., conducts activities or provides services 
in at least two HUD Areas or two States);
    (2) It has experience in providing start-up and capacity-building 
training to residents and resident organizations; and
    (3) Public or Indian housing residents representing different 
geographical locations in the country must comprise the majority of the 
board of directors.
    Regional Resident Organization (RRO). An incorporated nonprofit 
organization or association for public or Indian housing that meets 
each of the following requirements:
    (1) It is regional (i.e., not limited by HUD Areas, including 
Tribal Areas); and
    (2) It has experience in providing start-up and capacity-building 
training to residents and resident organizations; and
    (3) Public or Indian housing residents representing different 
geographical locations in the region must comprise the majority of the 
board of directors.
    Statewide Resident Organization (SRO). An incorporated nonprofit 
organization or association for public or Indian housing that meets the 
following requirements:
    (1) It is Statewide;
    (2) It has experience in providing start-up and capacity-building 
training to residents and resident organizations; and
    (3) Public or Indian housing residents representing different 
geographical locations in the State must comprise the majority of the 
board of directors.

J. Eligibility

    Only organizations that meet the definition of a RC/RMC/RO or a 
NRO/RRO/SRO, as set forth under the Section I.I, ``Definitions,'' of 
this NOFA will be eligible for funding under this NOFA. The local HUD 
Field Office or Area ONAP will screen applications to determine 
compliance with the following:
    (1) Only public and Indian housing RCs/RMCs/ROs and NROs/SROs/RROs 
are eligible to apply for this grant. The local HAs, Section 8 
developments, or other federally subsidized housing communities are not 
eligible to apply.
    (2) An RC/RMC/RO must have a democratically elected governing board 
to be eligible for funding. The applicant will be required to complete 
a certification of resident council board election, which must be 
notarized and signed by the local HA or an independent third-party 
monitor. (Not applicable to Indian ROs and NROs/RROs/SROs.)
    (3) A RC/RMC/RO will receive consideration for a Basic Grant based 
on the rating factors contained in Section I.N of this NOFA.
    (4) A RC/RMC/RO selected for funding in FYs 1988-1995 that received 
less than the statutory maximum of $100,000 may apply for an Additional 
Grant not to exceed (including previous grants) the total statutory 
maximum of $100,000. Grantees that were awarded the maximum total 
amount of $100,000 in FYs 1988-1995 are not eligible to apply.
    (5) A RC/RMC/RO will receive consideration for an Additional Grant 
based on the rating factors contained in Section I.O of this NOFA.
    (6) Only one application will be considered for funding from an 
individual development. If more than one application is received from a 
development, only the application from the duly elected RC/RMC/RO will 
be considered. All other applications will be rejected.
    (7) A city-wide organization (consisting of members from RCs/RMCs/
ROs who reside in housing developments that are owned and operated by 
the same HA within the city) may represent more than one RC/RMC/RO 
within an HA and apply jointly for a TOP grant. However, the city-wide 
organization cannot represent any RC/RMC/RO that has received Resident 
Management (RM)/TOP technical assistance funding totalling $100,000 in 
previous years. The individual developments under the umbrella of the 
city-wide organization may apply for a separate grant only if the 
activities that are included in the individual development's 
application are not the same activities that are included in the city-
wide organization's application, and as long as no public housing 
development receives more than $100,000. All applications will be 
screened for duplicative activities.
    (8) A jurisdiction-wide organization (consisting of members from 
RCs/RMCs/ROs who reside in housing developments that are owned and 
operated by the same HA within that HA's jurisdiction, other than a 
city-wide organization making an application in accordance with 
paragraph (7) in this Section I.I) may be formed for the purpose of 
advising the HA Board of Commissioners or Executive Directors in all 
areas of HA operations. In that case, the jurisdiction-wide 
organization may apply for a grant to carry out jurisdiction-wide 
programs. Jurisdiction-wide organization applicants may receive up to 
the maximum total of $100,000, provided no public housing development 
included in its application receives more than a total of $100,000 of 
TOP funding.
    (9) An NRO/SRO/RRO that is organized to provide technical 
assistance to RCs/RMCs/ROs may receive grants up to the maximum total 
of $100,000, provided no public housing development included in its 
application receives more than a total of $100,000 of TOP funding. An 
NRO/SRO/RRO previously funded for $100,000 cannot reapply for funding 
under this NOFA, because of the statutory limitation of $100,000.

K. Eligible Activities

    Activities for which funding under this NOFA may be provided to an 
eligible RC/RMC/RO or NRO/RRO/SRO include any combination of, but are 
not limited to, the following:
    (1) Resident Capacity Building:
     Training board members in community organizing, board 
development, and leadership training; and
     Determining the feasibility of the TOP initiatives for a 
specific development.

[[Page 35027]]

    (2) Resident Management:
     Building and strengthening its capacity as an organization 
(e.g., establishing operating/planning committees and block/building 
captains to carry out specific organizational tasks, developing by-
laws, etc.); developing a cohesive relationship between the residents 
and the local community; and building a partnership with the HA;
     Training residents, as potential employees of an RMC, in 
skills directly related to the operation, management, maintenance and 
financial systems of a project;
     Training of residents with respect to fair housing and 
equal opportunity requirements, including the residents' rights under 
the housing program, procedures for reporting violations, all civil 
rights-related program requirements, requirements for reasonable 
accommodation, and alleviating architectural barriers.
     Gaining assistance in negotiating management contracts and 
in related contract monitoring and management procedures, and designing 
a long-range planning system related to contracts; and
     Assisting in the actual creation of a RC/RMC/RO, such as 
consulting and acquiring legal assistance to incorporate, prepare by-
laws, draft a corporate charter, and apply for nonprofit status.
    (3) Resident Management Business Development:
     Economic development training related to resident 
management and technical assistance for job training and placement in 
RC/RMC/RO developments;
     Technical assistance and training in business development 
related to resident management, through feasibility and market studies; 
development of business plans; affirmative outreach activities; and 
innovative financing methods, including revolving loan funds; and
     Legal advice in establishing resident management-required 
business entities.
    (4) Partnerships:
     Training that is required to establish a partnership 
between the HA and the residents. RCs/RMCs/ROs under the same HA's 
jurisdiction may wish to come together jointly, pool grant funds, and 
hire a consultant who will provide technical assistance and training 
related to building a partnership with the HA and assist in 
implementing activities in the TOP program.
     Other partnerships developed by the local residents/HA in 
the community.
    (5) Social Support Services (such as self-sufficiency; youth 
initiatives; and elderly/handicapped activities):
     Conducting feasibility studies to determine training and 
social services needs;
     Coordinating support services;
     Training for programs such as child care, early childhood 
development, parent involvement, volunteer services, parenting skills, 
and before- and after-school programs;
     Training programs on health, nutrition, and safety;
     Conducting workshops for youth services, child abuse and 
neglect prevention, and tutorial services, in partnership with 
community-based organizations, such as local Boys and Girls Clubs, 
YMCA/YWCA, Boys/Girls Scouts, Campfire, Big Brothers/Big Sisters, 4-H 
Clubs, etc.; and
     Training in the development of strategies to implement 
youth programs successfully. For example, assessing the needs and 
problems of the youth; improving youth initiatives that are currently 
active; and training youth, housing authority staff, and RCs/RMCs/ROs 
on youth initiatives and program activities.
     Developing a plan to establish a congregate meal program 
for seniors, including seniors living in a family project;
     Developing a plan to establish a transportation system 
that would provide transportation of residents to senior and youth 
activities and activities for persons with disabilities; and
     Training programs in developing a resident newspaper that 
would be written by and for residents.
    (6) General:
     Training required on HUD regulations and policies 
governing the operation of low-income public and Indian housing, 
financial management, capacity building to develop the necessary skills 
to assume management responsibilities at the project, and property 
management;
     Training in accessing other funding sources;
     Developing training programs/performance standards and 
assessment procedures to measure the success of the RC/RMC/RO;
     Gaining assistance in acquiring fidelity bonding and 
insurance, but not the cost of the bonding and insurance;
     Assessing potential management functions or tasks that the 
RC/RMC/RO might undertake;
     Training in resident 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. By law, resident 
grantees must ensure that all training is provided by a qualified 
public housing management specialist (Consultant/Trainer) or the local 
HA. To ensure the successful implementation of the TOP Work Plan 
activities, the RCs/RMCs/ROs are required to determine the need to 
contract for outside consulting/training services, after considering 
their own capacity. The RCs/RMCs/ROs are encouraged to make maximum use 
of their HA, nonprofits, or other Federal, State, or local government 
resources for technical assistance and training needs. All Basic 
Grantees may use up to $15,000 to obtain a consultant/trainer from the 
TOP database of registered consultant/trainers for assistance in 
implementing Tasks 1 through 4 of the TOP Work Plan. (The TOP Work Plan 
is included in the TOP Application Kit.)
    The HA, other nonprofits, Federal, State or local government 
resources may serve as the consultant/trainer; however, the identified 
source that intends to establish a contract with the RC/RMC/RO must 
register with HUD prior to executing a contract.
    After completion of Tasks 1 through 4 of the TOP Work Plan, the RC/
RMO/RO may hire a consultant/trainer to assist in the implementation of 
Tasks 5 through 7 of the TOP Work Plan. The grantees must follow 24 CFR 
84, which implements OMB Circular A-110 and prescribes standards and 
policies essential to ensure open and free competition for the proper 
execution of procurement transactions when selecting a consultant/
trainer. HUD will make available the source list of registered 
consultant/trainers upon request, for use in a competitive solicitation 
for consultant services to assist the RC/RMC/RO in implementing TOP 
Work Plan Tasks 5 through 7 of the TOP Work Plan. The amount allowed 
for hiring an individual consultant for this purpose shall not exceed 
50 percent of the total grant award or $50,000, whichever is less. HUD 
Field Offices will monitor this process to ensure compliance with these 
requirements.
     Rental or lease of a car, van, or bus by resident grantees 
to attend training related to the TOP initiatives; and
     Stipends, as provided in this paragraph. Officers and 
members of a RC/RMC/RO will only receive stipends for participating in 
or receiving training under the TOP, subject to the availability of 
funds, if the following applies:
    (i) The RCs/RMCs/ROs have completed at least two training programs/
performance standards, one of which must be the training program/
performance standard listed as number

[[Page 35028]]

one in the Work Plan/Training Programs/Performance Standards section 
(see Work Plan/Training Programs/Performance Standards, Section I.Q of 
this NOFA). The stipends should be used for additional costs incurred 
during the training programs, such as childcare and transportation 
costs; or
    (ii) RCs/RMCs/ROs are being trained to implement resident 
management activities only, and the officers and members of the 
resident entity are within 3 to 6 months of establishing a dual/full 
management contract with the PHA/IHA. Generally, no more than 10 
percent of the grant funds should be used for this purpose.
    (7) Capacity building and training to facilitate resident 
participation in the Comprehensive Grant Program.
    (8) Implementation of activities by a RC/RMC/RO associated with the 
operation and maintenance of the public and Indian housing project. 
Examples of eligible activities in this category that have not been 
mentioned previously are:
     Designing and implementing financial management systems 
that include provisions for budgeting, accounting, and auditing;
     Designing and implementing the TOP travel policy and 
personnel policies; performance standards for measuring staff 
productivity; policies and procedures covering organizational 
structure, such as recordkeeping, maintenance, insurance, occupancy, 
and management information systems; any other recognized functional 
responsibilities relating to property management, in general, and 
public and Indian housing management, in particular; and 
responsibilities relating to any TOP initiative;
     Identifying the social support needs of residents, and the 
securing of that support by hiring a services coordinator. The services 
coordinator should identify a plan to provide short-term technical 
assistance, assess, coordinate, and assist in implementing the services 
needed by the residents, such as health clinics, day care, and 
security; and
     Assessing potential homeownership opportunities for 
residents within public and Indian housing or anywhere in the 
community.
    (9) Administrative costs necessary for the implementation of 
activities outlined in paragraphs (1) through (8) of this Section I.K, 
``Eligible Activities,'' of the NOFA. Appropriate administrative costs 
include, but are not limited to, the following items or activities:
     Telephone, telegraph, printing, and sundry nondwelling 
equipment (such as office supplies, computer software, and furniture). 
In addition, a reasonable portion of funds may be applied to the 
acquisition of equipment, such as computer hardware and copying 
machines. A grantee must justify the need for this equipment in 
relationship to implementing the TOP initiatives.
     Travel directly related to the successful completion of 
the required TOP Work Plan. All grantees must adhere to the travel 
policy established by HUD and must have received TOP orientation 
training prior to spending any TOP funds, with the exception of funds 
needed to attend a HUD-sponsored TOP orientation training. The policy 
sets travel costs at a maximum amount of $5,000 per RC/RMC/RO (not 
applicable to NROs/RROs/SROs).
     Child care expenses for individual staff and board 
members, in cases where staff or board members who need child care are 
involved in training-related activities associated with the development 
of resident management entities. Not more than 2 percent of the total 
grant amount (0.02 times the grant award amount) may be used for 
expenses to support child care needs.
    (10) For NROs/RROs/SROs only: Organizing and establishing 
democratically elected and effective RCs/RMCs/ROs:
     Identify inactive RCs/RMCs/ROs that have RM/TOP grants and 
provide local training and technical assistance to enable the 
organizations to implement the RM/TOP Work Plan;
     Assist residents in organizing a RC/RMC/RO and provide 
appropriate training and technical assistance (i.e., incorporation, 
nonprofit status, by-laws, elections; buildings, floor, and block 
captains; leadership training; form a partnership with the HA; develop 
and implement a needs assessment survey). This list is not inclusive.
     Provide training and technical assistance to the resident 
organizations in accomplishing any of the eligible activities related 
to the TOP initiatives.
     Provision of training must be performed within the 
jurisdiction of the resident organization. This will require the 
trainer to be a local person or entity.
    All NROs/RROs/SROs must be knowledgeable and adhere to all policies 
that relate to the RC/RMC/RO.

L. Ineligible Activities

    Ineligible items or activities include, but are not limited to, the 
following:
    (1) Entertainment, including associated costs such as food and 
beverages, except normal per diem for meals related to travel performed 
in connection with implementing the TOP Work Plan. (See TOP Travel 
Notice for more specific guidance.)
    (2) Purchase or rental of land or buildings or any improvements to 
land or buildings;
    (3) Activities not directly related to the TOP initiatives, e.g., 
lead-based paint testing and abatement and operating capital for 
economic development activities;
    (4) Purchase of any vehicle (car, van, bus, etc.) or any other 
property, other than as described under paragraph (9) of Section I.K, 
``Eligible Activities,'' of this NOFA, unless approved by HUD 
Headquarters or the local HUD Field Office;
    (5) Architectural and engineering fees;
    (6) Payment of salaries for routine project operations, such as 
security and maintenance, or for RC/RMC/RO staff, except that a 
reasonable amount of grant funds may be used to hire a person to 
coordinate the TOP grant activities or coordinate on-site social 
services;
    (7) Payment of fees for lobbying services;
    (8) Any fraudulent or wasteful expenditures or expenditures 
otherwise incurred contrary to HUD program regulations or directives 
will be considered ineligible expenditures, upon appropriate 
determination by an audit by HUD Field Office staff, and HUD will 
reduce the grantee's grant for the amount expended; and
    (9) Any activity otherwise eligible under this NOFA for which funds 
are being provided from any other source.

M. Selection Process

    Each application for a grant award that is submitted in a timely 
manner, as specified in the application kit, to the appropriate local 
HUD field office or Area Office of Native American Programs (ONAP) (see 
Appendix to this NOFA) and that otherwise meets the requirements of 
this NOFA, will be evaluated. An application for either a Basic Grant 
or an Additional Grant must receive a minimum score of 50 points (out 
of the maximum of 110 points) to be eligible for funding. NROs/RROs/
SROs must receive a minimum score of 50 points (out of a maximum of 
110) to be considered for funding. The local Field Office or Area ONAP 
will transfer all RC/RMC/RO applications to a grant review site for 
processing by a Grants Management Team. Upon completion of the review, 
all applications will be placed in an overall nationwide ranking order 
and funded until all funds are exhausted.

N. Rating Factors--Basic Grants

    An application for funding for a Basic Grant will be reviewed based 
on the following Rating Factors (maximum of 110 points, including 10 
bonus points).

[[Page 35029]]

    (1) DESCRIBE THE ACTIVITIES AND GOALS OF THE RC/RMC/RO AND THE 
COMMUNITY (Maximum Points: 25):
     A high score (Maximum Points: 25) is received where the 
RC/RMC/RO identifies activities and describes the goals of the 
community. The applicant includes a detailed and structured plan for 
addressing the needs and accomplishing the overall goals of the RC/RMC/
RO.
     A medium score (Maximum Points: 12) is received where the 
RC/RMC/RO identifies activities and describes the goals of the 
community, but the plan to address the needs and accomplish the goals 
is general.
     A low score (Maximum Points: 5) is received where the RC/
RMC/RO does not identify any activities and the plan to address the 
needs and accomplish the goals of the community is unclear.
     A score of zero (0 points) will be given if the applicant 
fails to respond to this factor.
    (2) EVIDENCE OF SUPPORT BY DEVELOPMENT'S RESIDENTS AND RESIDENT 
INVOLVEMENT IN THE RC's/RMC's/RO's ACTIVITIES (Maximum Points: 25):
     A high score (Maximum Points: 25) is received where the 
RC/RMC/RO describes support by the residents and provides documentation 
that shows support and the involvement of the residents in the RC's/
RMC's/RO's activities. An applicant must submit a copy of a petition or 
other documentation (e.g., membership list) showing 75-100 percent of 
support and involvement of the residents, minutes of the RC's/RMC's/
RO's recent monthly meeting, and the attendance log.
     A medium score (Maximum Points: 12) is received where the 
RC/RMC/RO describes support by the residents and the documentation of 
support includes a petition or other documentation (e.g., membership 
list) showing 50 percent of support and involvement of the residents.
     A low score (5 points) is received where the RC/RMC/RO 
describes support by the residents and the documentation of support 
includes documentation (e.g., petition, membership list) showing less 
than 50 percent of support and involvement of the residents.
     A score of zero (0 points) is received where the RC/RMC/RO 
fails to provide documentation of support by the development's 
residents and support is not mentioned in the narrative.
    (3) EVIDENCE THAT THE RC/RMC/RO HAS A PARTNERSHIP WITH THE HA: 
(Maximum Points: 25 + 10 bonus points). Under this factor, 10 Bonus 
Points will be given if the applicant can provide a narrative 
describing any additional partnerships the RC/RMC/RO has developed with 
the housing authority in order to implement other programs or 
initiatives such as Section 3 initiatives, HUD's Drug Elimination 
Program, Youth Sports Program, Comprehensive Grant (CGP), or other 
related initiatives. The narrative describing the additional 
partnerships must be signed by both the HA's Executive Director and a 
member of the RC's/RMC's/RO's Board. The narrative cannot include 
activities that are listed in the letter of support provided by the 
local HA.
     A high score (Maximum Points: 25) is received where the 
RC/RMC/RO provides a letter of support from the local HA that shows 
evidence that the HA and RC/RMC/RO have been working in partnership for 
at least 2 years, and the HA has provided opportunities and services 
such as training, contracts for services, transportation, and other in-
kind services. (The letter must be signed by the local HA Executive 
Director.) There must be evidence that the HA has committed to support 
the RC/RMC/RO activities under the TOP program and has assisted in the 
preparation of the RC/RMC/RO's application for funding. The partnership 
must also be evidenced by submitting a copy of an executed Memorandum 
of Understanding (MOU).
     A medium score (Maximum Points: 12) is received where 
either: (i) The RC/RMC/RO provides a letter of support from the HA that 
states its support of the RC's/RMC's/RO's activities, but there is no 
evidence of a commitment to assist the RC/RMC/RO in implementing the 
TOP Work Plan or of a partnership established between the HA and the 
residents; or (ii) the RC/RMC/RO provides detailed documents (e.g., 
copies of correspondence exchanged with the HA, summaries of meetings 
held with the HA, and summaries of efforts made to establish a 
partnership with the HA) indicating that the residents have made a 
substantial effort to establish a partnership with the HA, but the HA 
will not support the RC's/RMC's/RO's activities.
     A low score (Maximum Points: 5) is received if the 
applicant mentions HA support or obstacles encountered in attempting to 
build a partnership with the HA.
     A score of zero (0 points) is received where the RC/RMC/RO 
fails to submit a letter of support or documentation of its efforts to 
obtain HA support.
    (4) EVIDENCE THAT THE RC/RMC/RO HAS SUPPORT OF STATE/TRIBAL/LOCAL 
GOVERNMENT, COMMUNITY ORGANIZATIONS, OR OTHER PUBLIC/PRIVATE SECTOR 
GROUPS (Maximum Points: 15)
     A high score (Maximum Points: 15) is received where the 
RC/RMC/RO provides copies of letters of support discussing specific 
assistance from three or more entities (e.g., State/Tribal/local 
government, community organizations, or other public/private sector 
groups).
     A medium score (Maximum Points: 7) is received where the 
RC/RMC/RO provides letters of support from two entities.
     A low score (Maximum Points: 3) is received where the RC/
RMC/RO fails to provide any letters of support, but support of the 
State/Tribal/local government, community organizations, or other 
public/private sector groups is mentioned in the narrative.
     A score of zero (0 points) is received where the RC/RMC/RO 
fails to submit a letter of support or documentation of its efforts to 
obtain support from the State/Tribal/local government, community 
organizations, or other public/private sector groups.
    (5) CAPABILITY OF RC/RMC/RO IN HANDLING FINANCIAL RESOURCES 
(Maximum Points: 10). This factor can be demonstrated by including 
previous experience of the RC/RMC/RO or by providing an explanation of 
how the financial resources will be obtained:
     A high score (Maximum Points: 10) is received where the 
RC/RMC/RO provides evidence of having 2 or more years of experience in 
handling financial resources and has adequate accounting procedures in 
place or lacks experience but has provided an acceptable plan (i.e., 
hiring the HA or other private organizations) to develop the financial 
controls.
     A medium score (Maximum Points: 5) is received where the 
RC/RMC/RO provides evidence of having 1 year of experience in handling 
financial resources, but no accounting procedures are established and 
no acceptable plan has been provided to hire the HA or other private 
organizations to develop the financial controls.
     A low score (Maximum Points: 2) is received where the RC/
RMC/RO provides evidence of having less than 1 year of experience in 
handling financial resources.
     A score of zero (0 points) is received where the RC/RMC/RO 
has no experience in handling financial resources and there is clearly 
no accounting system or procedures established.

O. Rating Factors--Additional Grants

    An application for funding for an Additional Grant will be reviewed 
based

[[Page 35030]]

on the following Rating Factors (maximum 110 points, including 10 bonus 
points).
    (1) EVIDENCE OF ACCOMPLISHMENTS AND NEED FOR ADDITIONAL FUNDING 
(Maximum Points: 30):
     A high score (Maximum Points: 30) is received where the 
RC/RMC/RO provides a summary that includes accomplishments and a 
description of need for additional funding. Applicant must also provide 
evidence that shows the completion of all of the activities listed 
below, therefore demonstrating progress and a need for additional 
funding:
    (a) Developed an active community organization that includes 
democratically elected officers (example: election certification signed 
by the local HA and/or an independent third-party organization and 
minutes of meetings);
    (b) Developed by-laws pursuant to 24 CFR part 950, subpart O, or 24 
CFR part 964, whichever is applicable, that govern the operation of the 
organization (example: a copy of the RC's/RMC's/RO's by-laws);
    (c) Developed floor/block captains or residential community groups 
and program committees that are in training or had training to carry 
out specific tasks (example: a copy of a list that includes the floor/
block captains or residential community groups and program committees, 
and training plan or certificate of completion of training);
    (d) Developed a basic financial management and accounting system 
that will provide effective control over and accountability for all 
grant funds; (example: a certification that the accounting system is 
developed);
    (e) Developed a Memorandum of Understanding (MOU) between the RC/
RMC/RO and HA that states the elements of their relationship and 
delineates what support the HA will provide to the resident 
organization (e.g., on-the-job training, technical assistance, 
equipment, space, transportation, etc.) and the activities to be 
conducted by the RC/RMC/RO (example: a copy of an executed MOU between 
the RC/RMC/RO and HA); and
    (f) Evidence of completing a course of TOP-related training 
(example: a copy of the certificate or letter from the consultant/
trainer that indicates the successful completion of training by the RC/
RMC/RO).
     A medium score (Maximum Points: 20) is received where the 
RC/RMC/RO provides a summary that includes accomplishments and a 
description of need for additional funding and submits evidence of 
completing four of the activities listed under ``high score'' of this 
factor.
     A low score (Maximum Points: 10) is received where the RC/
RMC/RO submits evidence of completing two of the activities listed 
under ``high score'' of this factor, but does not submit a summary that 
includes accomplishments and a description of need for additional 
funding.
     A score of zero (0 points) is given if the applicant does 
not submit a summary that includes accomplishments and a description of 
need for additional funding or evidence of accomplishing any of the 
activities listed under ``high score'' of this factor.
    (2) EVIDENCE OF SUPPORT BY DEVELOPMENT'S RESIDENTS AND RESIDENT 
INVOLVEMENT IN THE RC's/RMC's/RO's ACTIVITIES (Maximum Points: 25):
     A high score (Maximum Points: 25) is received where the 
RC/RMC/RO describes support by the residents and provides documentation 
that shows support and the involvement of the residents in the RC's/
RMC's/RO's activities. An applicant must submit a copy of a petition or 
other documentation (e.g., membership list) showing 75-100 percent of 
support and involvement of the residents, minutes of the RC's/RMC's/
RO's recent monthly meeting, and the attendance log.
     A medium score (Maximum Points: 12) is received where the 
RC/RMC/RO describes support by the residents and the documentation of 
support includes a petition or other documentation (e.g., membership 
list) showing 50 percent of support and involvement of the residents.
     A low score (5 points) is received where the RC/RMC/RO 
describes support by the residents and the documentation of support 
includes documentation (e.g., petition, membership list) showing less 
than 50 percent of support and involvement of the residents.
     A score of zero (0 points) is received where the RC/RMC/RO 
fails to provide documentation of support by the development's 
residents and support is not mentioned in the narrative.
    (3) EVIDENCE THAT THE RC/RMC/RO HAS A PARTNERSHIP WITH THE HA: 
(Maximum Points: 25 + 10 bonus points). Under this factor, 10 Bonus 
Points will be given if the applicant can provide a narrative 
describing any additional partnerships the RC/RMC/RO has developed with 
the housing authority in order to implement other programs or 
initiatives such as Section 3 initiatives, HUD's Drug Elimination 
Program, Youth Sports Program, CGP, or other related initiatives. The 
narrative describing the additional partnerships must be signed by both 
the HA's Executive Director and a member of the RC's/RMC's/RO's Board. 
The narrative cannot include activities that are listed in the letter 
of support provided by the local HA.
     A high score (Maximum Points: 25) is received where the 
RC/RMC/RO provides a letter of support from the local HA that shows 
evidence that the HA and RC/RMC/RO have been working in partnership for 
at least 2 years, and the HA has provided opportunities and services 
such as training, contracts for services, transportation, and other in-
kind services. (The letter must be signed by the local HA Executive 
Director.) There must be evidence that the HA has committed to support 
the RC/RMC/RO activities under the TOP program and has assisted in the 
preparation of the RC/RMC/RO's application for funding. The partnership 
must also be evidenced by submitting a copy of an executed Memorandum 
of Understanding (MOU).
     A medium score (Maximum Points: 12) is received where 
either: (i) the RC/RMC/RO provides a letter of support from the HA that 
states its support of the RC's/RMC's/RO's activities, but there is no 
evidence of a commitment to assist the RC/RMC/RO in implementing the 
TOP Work Plan or of a partnership established between the HA and the 
residents; or (ii) the RC/RMC/RO provides detailed documents (e.g., 
copies of correspondence exchanged with the HA, summaries of meetings 
held with the HA, and summaries of efforts made to establish a 
partnership with the HA) indicating that the residents have made a 
substantial effort to establish a partnership with the HA, but the HA 
will not support the RC's/RMC's/RO's activities.
     A low score (Maximum Points: 5) is received if the 
applicant mentions HA support or obstacles encountered in attempting to 
build a partnership with the HA.
     A score of zero (0 points) is received where the RC/RMC/RO 
fails to submit a letter of support or documentation of its efforts to 
obtain HA support.
    (4) EVIDENCE THAT THE RC/RMC/RO HAS THE SUPPORT OF THE STATE/
TRIBAL/LOCAL GOVERNMENT, COMMUNITY ORGANIZATIONS, OR OTHER PUBLIC/
PRIVATE SECTOR GROUPS (Maximum Points: 20)
     A high score (Maximum Points: 20) is received where the 
RC/RMC/RO provides copies of letters from three or more entities (e.g., 
State/Tribal/local

[[Page 35031]]

government, community organizations, or other public/private sector 
groups).
     A medium score (Maximum Points: 10) is received where the 
RC/RMC/RO provides letters of support from two entities.
     A low score (Maximum Points: 5) is received where the RC/
RMC/RO provides a letter of support from one entity.
    P. Rating Factors--NROs/RROs/SROs
    An application for funding will be reviewed based on the following 
Rating Factors (maximum of 110 points, including 10 bonus points).
    (1) DESCRIBE THE GOALS AND OBJECTIVES OF THE NRO/RRO/SRO (Maximum 
Points: 30):
     A high score (Maximum Points: 30) is received where the 
NRO/RRO/SRO provides a detailed plan clearly describing methods for 
accomplishing the overall goals and objectives of organizing and 
training RCs/RMCs/ROs in the TOP initiatives. Applicants should also 
provide a description of the proposed training, identify selected 
trainers, and submit support letters from selected trainers and a list 
of RCs/RMCs/ROs that will receive training.
     A medium score (Maximum Points: 15) is received where the 
NRO/RRO/SRO provides a general outline of proposed methods for 
accomplishing the goals and objectives of organizing and training RCs/
RMCs/ROs in the TOP initiatives.
     A score of zero (0 points) is received where the NRO/RRO/
SRO does not clearly state the goals and objectives of the TOP 
initiative.
    (2) EVIDENCE OF SUPPORT BY NRO/RRO/SRO BOARD OF DIRECTORS. (Maximum 
Points: 10):
     A high score (Maximum Points: 10) is received where the 
NRO/RRO/SRO provides documentation that shows support from its board of 
directors, as evidenced by a board resolution, minutes of meetings, and 
letters of support.
     A medium score (Maximum Points: 5) is received where the 
NRO/RRO/SRO provides documentation of support that is limited to 
minutes of meetings or letters of support.
     Low score (Maximum Points: 2) is received where the NRO/
RRO/SRO fails to provide documentation of support, but support is 
mentioned.
    (3) DESCRIPTION OF A PLAN TO FACILITATE THE CREATION OF A 
PARTNERSHIP(S) AMONG THE HA, RESIDENTS, AND OTHER LOCAL ORGANIZATIONS. 
(Maximum Points: 20 + 10 bonus points) Ten Bonus Points will be given 
if the applicant can provide a letter of support from the local HA of 
each RC/RMC/RO identified to receive training/technical assistance in 
the application.
     A high score (Maximum Points: 20) is received where the 
NRO/RRO/SRO provides a detailed plan that clearly describes methods for 
facilitating the creation of a strong partnership among the HAs, 
residents, and other local organizations. The plan includes the 
advantages of the partnership to the residents and the community.
     A medium score (Maximum Points: 10) is received where the 
NRO/RRO/SRO provides a general outline of methods for facilitating the 
creation of a strong partnership among the HA, residents, and other 
local organizations.
     A score of zero (0 Points) is received where the NRO/RRO/
SRO provides a plan that is not clear.
    (4) TRAINING EXPERIENCE:
    (4a) EVIDENCE OF PRIOR RESIDENT TRAINING EXPERIENCE. This factor 
can be demonstrated by the support of the RCs/RMCs/ROs. The letters of 
support should indicate the type and quality of prior training and how 
the training is being used by the RC/RMC/RO. (Maximum Points: 20)
     A high score (Maximum Points: 20) is received where the 
applicant provides documentation that shows support by the residents 
(i.e., letters of support and a list that includes each RC/RMC/RO that 
the NRO/RRO/SRO has provided training or technical assistance. The list 
must also include the type of contract the NRO/RROs/SRO has established 
with each RC/RMC/RO).
     A medium score (Maximum Points: 10) is received where the 
applicant provides documentation that is limited to a list that 
includes the RCs/RMCs/ROs to which the NRO/RRO/SRO has provided 
training or technical assistance. The list must also include the type 
of contract the NRO/RRO/SRO has established with each RC/RMC/RO.
     Low score (Maximum Points: 5) is received where the 
applicant fails to provide documentation of support by the 
development's residents, but support is mentioned.
    (4b) EVIDENCE OF THE CAPABILITY TO PROVIDE LOCAL TRAINING. The 
applicant should demonstrate the ability to sustain the training and 
technical assistance through provision of local or on-site trainers and 
to coordinate these activities throughout the grant period. The 
applicant should also demonstrate that the residents will have access 
to continued training and technical assistance through the local 
provider after the completion of the grant period. (Maximum Points: 
10):
     A high score (Maximum Points: 10) is received where the 
applicant provides a detailed plan clearly showing its capability to 
identify and provide local training and to coordinate activities of the 
local training provider.
     A medium score (Maximum Points: 5) is received where the 
applicant provides a general description of its capability to identify 
and provide local training.
     A score of zero (0 points) is received where the applicant 
does not clearly state its capability to identify and provide local 
training.
    (5) CAPABILITY OF HANDLING FINANCIAL RESOURCES. This factor can be 
demonstrated through previous experience, adequate financial control 
procedures, or similar evidence, or by an explanation of how such 
capability will be obtained. (Maximum Points: 10):
     A high score (Maximum Points: 10) is received where the 
NRO/RRO/SRO provides evidence of having 2 or more years of experience 
in handling financial resources and has adequate accounting procedures 
in place.
     A medium score (Maximum Points: 5) is received where the 
NRO/RRO/SRO provides evidence of having less than 2 years of experience 
in handling financial resources or has provided a plan for developing 
financial controls that are adequate.
     A score of zero (0 points) is received where the NRO/RRO/
SRO has no experience in handling financial matters and does not submit 
evidence that shows that an adequate accounting system is in place or 
under development.

Q. Top Work Plan/Training Programs/Performance Standards

    Each applicant is required to submit a TOP Work Plan that includes 
TOP- related activities that clearly show accomplishment of the RC's/
RMC's/RO's goals within 3-5 years. The budget should include costs that 
are needed to implement each activity and training program/performance 
standard included in the TOP Work Plan. The projected budget should not 
exceed the maximum amount of $100,000. The TOP Work Plan should also 
include training programs, against which HUD will measure performance 
standards based on task accomplishments and time frames; for example, 
how detailed is the TOP Work Plan; what is the time frame for 
accomplishing the tasks; what resources will be used to accomplish 
these tasks, etc. Therefore, it is essential that training programs/
performance standards and time frames be designed to produce results. 
Grantees are required to complete at least two training programs/
performance standards, one of which must be the training program/
performance standard listed below as

[[Page 35032]]

number ``1.'' These training programs/performance standards are not 
all-inclusive, and grantees may work with the HUD Field Office and the 
local HA to select other training programs/performance standards to 
meet their specific needs; however, the results must be measurable. 
Time frames for the suggested training programs/performance standards 
listed below are flexible, up to the limit established in each 
activity. Failure to meet the time frames may result in default of the 
Technical Assistance Grant (TAG) Agreement. Whenever the RC/RMC/RO 
hires a trainer or other expert for training/technical assistance, the 
training/technical assistance must be provided by a qualified housing 
management specialist, Consultant/Trainer, the HA, or other sources 
knowledgeable about the program.
Training Programs/Performance Standards
    The training programs/performance standards include, but are not 
limited to:
    1. Train block/building/floor captains, members of the RC/RMC/RO 
board, and other interested residents to increase its capacity as an 
organization. Examples may include, but are not limited to, 
establishing operating/planning committees and block/building/floor 
captains to carry out specific organization tasks and developing a 
cohesive relationship between the residents and the local community.
    The training program must begin within 3-6 months after the TAG 
Agreement has been executed. All grantees must perform this training 
activity in a timely manner, because it serves to focus the resident 
community and will broaden participation by providing specific training 
to a large body of residents.
    The following HUD requirements and training elements can be 
included in a training program:
     24 CFR part 964 and part 950 (Public/Indian Housing).
     Training in civil rights requirements, including those for 
persons with disabilities.
     Procedures and guidelines governing TOP.
     Organization development.
     Conflict resolution and mediation.
     Techniques on planning and conducting organizational 
meetings.
     HUD regulations and policies governing the operation of 
low-income housing, which includes CGP, Section 3, etc.
     Procurement and contracting; financial management.
    2. Develop strategies to decrease crime and violence by creating a 
sense of community responsibility and common concerns.
    This training program must be in place within 6 months of 
completing TOP Work Plan Tasks 1 through 4; however, the results may 
take much longer. By completing the first training activity listed in 
number 1, above, there may be automatic progress made on this training 
activity, because crime and violence decreases when a sense of 
community begins to develop. Community and caring, combined with 
appropriate law enforcement, are the best tools against crime.
    3. Train residents to develop a tutorial and scholarship program 
using a ``Board of Very Important Persons (VIP),'' such as Accountants, 
Bankers, Lawyers, officials in public/private agencies/organizations, 
to provide opportunities for educational attainment needed to perform 
resident-managed functions, including through institutions of higher 
learning.
    This training program must be in place within 12 to 19 months of 
completing TOP Work Plan Tasks 1 through 4. This training activity may 
not be appropriate for every resident. The HA and grantee should work 
closely to develop strategies that fit the needs of the residents 
living in public/Indian housing.
    4. Train residents in areas related to resident-owned businesses 
and provide technical assistance for job training and placement in the 
RMC development. This can be accomplished by using programs, such as 
the Section 3 jobs initiative or, for IHAs, Indian preference in 
accordance with 24 CFR Part 950.175 and Section 7(b) of the Indian Self 
Determination and Education Assistance Act (25 U.S.C. 450e(b)).
    This training program must be in place within 18 to 24 months of 
completing TOP Work Plan Tasks 1 through 4. This training activity may 
be achievable if developed in conjunction with the Section 3 technical 
assistance initiative and the Comprehensive Grant Program. The training 
strategy developed to implement the first training activity listed in 
number 1, above, can facilitate a practical approach to economic 
development and job training.
    5. Train and provide technical assistance to residents in resident- 
managed business development.
    This training program must be in place within 12 to 18 months of 
completing TOP Work Plan Tasks 1 through 4. This training activity 
would involve feasibility and market studies, development of business 
plans, outreach activities and innovative financing methods involving 
revolving loan funds and legal advice in establishing a resident-
managed business entity.
    6. Train residents in areas related to social support needs.
    This training program must be in place within 24 months of 
completing TOP Work Plan Tasks 1 through 4. This training activity may 
involve feasibility studies to determine training and social support 
needs; training in management-related employment training and 
counseling; coordination of support services; training for programs 
such as child care, early childhood development, parent involvement, 
volunteer services, parenting skills, and before and after school 
programs; and training programs on health, nutrition and safety.
    7. Train residents in the development of strategies to implement 
successfully a youth program that will address the needs of the youth, 
such as reducing crime, drug use, violence, and teenage pregnancy.
    This training program must be in place within 18 months of 
completing TOP Work Plan Tasks 1 through 4; however, results may take 
longer. This training activity could involve, for example, the needs 
and problems of youth; improving youth initiatives that are currently 
active; and training youth, housing authority staff, resident 
management corporations, and resident councils on youth initiatives and 
program activities.
    8. Train residents in the management of public and Indian housing 
developments.
    This training program must be in place within 24 months of 
completing TOP Work Plan Tasks 1 through 4. This training activity 
requires residents to establish a partnership with the HA, receive 
training relating to property management, and establish a dual/full 
management contract with the HA. The dual management contract allows 
residents to work jointly with the HA in preparation for managing 
certain functions in the development. The full management contract 
allows residents to manage certain functions at the development. 
Training may involve skills directly related to the operation, 
management, maintenance, and financial systems of a project; training 
of residents with respect to fair housing requirements; negotiating 
management contracts; designing a long-range planning system; and 
training on HUD regulations and policies governing the operation of 
low-income public housing.

[[Page 35033]]

    9. Train residents to develop a homeownership plan under section 
5(h) (of the United States Housing Act of 1937) or an equivalent 
program.
    This training program must be in place within 18 months of 
completing TOP Work Plan Tasks 1 through 4. Training would involve 
determining feasibility for homeownership by residents, including 
assessing the feasibility of other housing (including HUD-owned or -
held single or multifamily) affordable for purchase by residents.
    This training activity may result in residents developing a 
homeownership plan under the 5(h) (section 5(h) of the United States 
Housing Act of 1937, 42 U.S.C. 1437c(h)(5)) or an equivalent program 
and submitting the plan to HUD for approval.
General Top Work Plan Outline (for Basic and Additional Applicants)
(The TOP Work Plan in its entirety is provided in the TOP Application 
Kit.)
    TASK 1--Organize public housing community and outreach to formulate 
basis to implement TOP initiatives.
    TASK 2--Develop operating procedures for grant administration.
    TASK 3--Develop memorandum of understanding (MOU) between the RC/
RMC/RO and the HA based on collaborative principles, to empower the 
public housing community to implement TOP initiatives.
    TASK 4--Develop a plan to obtain technical assistance and training 
to implement TOP initiatives.
    TASK 5--Contract with consultant/trainer to obtain required 
training, guidance, and technical assistance in TOP initiatives.
    TASK 6--Design, development, and implementation of resident and/or 
property management initiatives.
    TASK 7--Design, development, and implementation of self-sufficiency 
programs.
    TASK 8--Miscellaneous activities/expenditures.
    TASK 9--Travel.
General Top Work Plan Outline (for NROs/RROs/SROs)
(The TOP Work Plan in its entirety is provided in the TOP Application 
Kit.)
    TASK 1--Develop and implement an outreach strategy.
    TASK 2--Organize resident groups.
    TASK 3--Assist in organizing residents around concerns and issues 
of the TOP and other PIH programs as appropriate.
    TASK 4--Develop strategies and implement a plan to ensure an 
effective partnership among RCs/RMCs/ROs, HAs, and the NROs/RROs/SROs.
    TASK 5--Assist resident groups in implementing a strategy for 
developing TOP initiatives selected by the RC/RMC/RO.

R. HUD Notification

    HUD will publish a listing of all successful applicants in the 
Federal Register, for public information.

II. Checklist of Application Submission Requirements

    The application kit, which includes the NOFA, will contain a list 
of all application submission requirements to complete the application 
process.

III. Application Process

A. Actions Preceding Application Submission

    Consistent with this NOFA, HUD may direct a HA to notify its 
existing RCs/RMCs/ROs of this funding opportunity. It is important for 
residents to be advised that, even in the absence of a RC/RMC/RO, the 
opportunity exists to establish a RC/RMC/RO before applying for 
funding. If no RC/RMC/RO exists for any of the developments, HUD 
encourages every HA to post this NOFA in a prominent location within 
the HA's main office, as well as in each development's office.

B. Application Submission and Development

    (1) Submission. An application kit is required as the formal 
submission to apply for funding. The kit includes the overview of the 
TOP program, application requirements, forms, certifications, 
assurances, worksheets, selection criteria, TOP Work Plan, and budget 
information. An application kit may be obtained by writing the Resident 
Initiatives Clearinghouse, P.O. Box 6091, Rockville, MD 20850, or by 
calling the toll-free number: 1-800-955-2232. Requests for application 
kits must include your name, mailing address (including zip code), and 
telephone number (including area code), and should refer to document 
FR-4066. Applications may be requested beginning July 3, 1996. 
Applicants may access the TOP Application Kit through HUD's World Wide 
Web at http://www.hud.gov/pih. Each RC/RMC/RO and NRO/RRO/SRO must 
submit its application to the local HUD Field Office or, in the case of 
an IHA, to the appropriate HUD Office of Native American Programs, 
listed in the Appendix to this NOFA.
    Each applicant must submit the original and two copies of its 
application. The Appendix lists addresses of HUD Field Offices that 
will accept a completed application. All applications must be received 
by the local HUD Field Office no later than 3:00 p.m. (local time) on 
the deadline date listed in the application kit. In the interest of 
fairness to all competing applicants, any application that is received 
after the deadline date and time will be considered ineligible. 
Applicants should take this practice into account and make early 
submission of their materials to avoid any risk of loss of eligibility 
brought about by unanticipated delays or other delivery-related 
problems. HUD will date-stamp incoming applications to evidence (timely 
or late) receipt, and, upon request, will provide an acknowledgement of 
receipt. Facsimile and telegraphic applications are not authorized and 
will not be considered.
    HUD also encourages an applicant to submit a copy of the 
application to the HA for the jurisdiction in which the RC/RMC/RO is 
located.
    (2) Development. The application must contain the following 
information:
    (a) RCs/RMCs/ROs: Name and address of the RC/RMC/RO. Name and title 
of the board members of the RC/RMC/RO and date of the last election. A 
copy of the RC's/RMC's/RO's organizational documents (board resolution, 
charter, articles of incorporation (if incorporated)) and by-laws, 
narratives for all rating factors (Basic or Additional Grant), support 
letters, evidence needed for certain rating factors, forms, 
certifications, assurances, TOP Work Plan, budget, and training 
programs/performance standards information. Name and phone number of a 
contact person (in the event further information or clarification is 
needed during the application review process). Name, address, and phone 
number of the HA for the applicant's jurisdiction, to which inquiries 
may be addressed concerning the application.
    (b) NROs/RROs/SROs: Name and address of the applicant. Name, title, 
and telephone number of a contact person (in the event further 
information or clarification is needed during the application review 
process). Name and title of the board members and date of last 
election. A copy of the articles of incorporation and nonprofit 
documents (i.e., by-laws, tax-exempt status or other organizational 
documents). Each NRO/RRO/SRO is required to list in the application the 
RCs/RMCs/ROs that the organization will train or provide technical 
assistance to, and to provide letters of support from each RC/RMC/RO 
identified in the application. In addition, the application should 
include the name and address of the HA for any jurisdiction in which 
the applicant proposes to organize new or inactive

[[Page 35034]]

RCs/RMCs/ROs and a proposed schedule of activities.
    (c) For all applicants:
     The name of any development for which the funds are 
proposed to be used;
     A summary of the program proposed in the application. Also 
include in the summary the proposed length of time, in months, needed 
to complete TOP activities (i.e., 24 months, 36 months, etc). The 
maximum length to complete all activities is 5 years;
     The application must be signed by an authorized member of 
the board of the RC/RMC/RO or NRO/RRO/SRO (not the HA), and must 
include a resolution from the RC/RMC/RO or NRO/RRO/SRO stating that it 
agrees to comply with the terms and conditions established under this 
program and under 24 CFR parts 964 (for public housing) and 950 (for 
Indian housing); and
     Assurances (e.g., board resolution or certificate) that 
the RC/RMC/RO or NRO/RRO/SRO will comply with all applicable Federal 
laws, Executive Orders, regulations, and policies governing this 
program, including all applicable civil rights laws, regulations, and 
program requirements.
    (3) HA Support. HUD is in full support of a cooperative 
relationship between each RC/RMC/RO and its HA. A resident organization 
is urged to involve its HA in the application planning and submission 
process. This can be achieved through meetings to discuss resident 
concerns and objectives and how best to translate these objectives into 
activities in the application. The RC/RMC/RO is also encouraged to 
obtain a letter of support from the HA, indicating to what extent the 
HA supports the proposed activities listed by the RC/RMC/RO and how the 
HA will assist the RC/RMC/RO. To foster partnership, HUD encourages 
NROs/RROs/SROs to obtain letters of support from the local HA of each 
RC/RMC/RO identified in the application to receive training/technical 
assistance.

IV. Training and Procurement Requirements

    All grantees must adhere to the training and procurement 
requirements established by HUD. All grantees must attend a HUD-
sponsored TOP orientation training before spending TOP funds, with the 
exception of funds needed to attend the training. If the grantee's 
grant agreement is executed and the organization is properly 
established in the LOCCS/VRS, the grantee must draw down the total 
amount needed to attend the training. If the grantee's grant agreement 
is not executed and the organization is not properly established in the 
LOCCS/VRS, the grantee may request the HA to advance the organization 
the total amount needed to attend the HUD orientation training. The 
grantee must reimburse the HA when the organization is properly 
established in the LOCCS/VRS.

A. Training Requirements

    (1) RC/RMC/RO grantees are required to have training, and NRO/SRO/
RRO grantees are requested to provide training, in the areas listed 
below, but the amount and scope of training will depend on the resident 
groups' goals. For example, training required to assume property 
management is more extensive than training needed to establish a 
landscaping enterprise. The required training areas are:
    (a) HUD regulations and policies governing the operation of low-
income housing, which includes the part 900 series of 24 CFR; Section 3 
(of the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u), 
implemented in 24 CFR part 135; other Fair Housing Act requirements; 
and applicable civil rights laws as implemented for public housing (24 
CFR part 964) and Indian housing (24 CFR part 950);
    (b) Financial management, including budgetary and accounting 
principles and techniques, in accordance with Federal guidelines, 
including OMB Circulars A-110 (and implementing regulations at 24 CFR 
part 84) and A-122, which contain Federal administrative requirements 
for grants, and A-133, relating to audit requirements for nonprofit 
organizations;
    (c) Capacity building to develop the necessary skills to assume 
management responsibilities at the project; and
    (d) Based on the goals of the RC/RMC/RO, property management or any 
TOP activities training that is required.
    (2) Each grantee must ensure that this training is provided by a 
qualified housing management specialist (Consultant/Trainer) or the 
local HA. The RC/RMC/RO may spend up to $15,000 to hire an individual 
consultant to assist in implementing the TOP Work Plan Tasks 1 through 
4. The total allowed for hiring an individual consultant to assist in 
implementing the TOP Work Plan Tasks 5 through 7 shall not exceed 50 
percent of the total award to the grantee or $50,000, whichever is 
less.

B. Reporting Requirements

    Grantees participating in TOP are required to submit Semiannual 
Reports Form (HUD) 52370, which will evaluate the progress in carrying 
out the approved TOP workplan/budget. Grantees shall submit the report 
on a semiannual basis for the periods ending June 30 and December 31. 
The reports must be submitted to HUD within 30 days after the end of 
each semiannual reporting period. No grant payments will be approved 
for drawdown through the Line of Credit Control System/Voice Response 
System (LOCCS) for grantees with overdue progress reports.

C. OMB Procurement Requirements

    (1) The resident grantees must follow 24 CFR part 84, which 
implements OMB Circulars A-110 and A-122, prescribing standards and 
policies essential to the proper execution of procurement transactions, 
including standards of conduct for resident grantees' employees, 
officers, or agents engaged in procurement actions, to avoid any 
conflict of interest.
    (2) To ensure the successful implementation of the TOP Work Plan 
activities, the RC/RMC/RO is required to determine the need to contract 
for outside consulting/training services, after considering its own 
capacity. Each RC/RMC/RO is encouraged to make maximum use of its HA, 
nonprofits, or other Federal, State, or local government resources for 
technical assistance and training needs. To ensure the successful 
implementation of the TOP Work Plan activities, each Basic Grantee may 
use up to $15,000 to obtain a consultant/trainer from the TOP database 
of registered consultant/trainers for assistance in implementing Tasks 
1 through 4 of the TOP Work Plan.
    (3) HUD encourages all interested consultants/trainers to register 
to participate in the TOP by completing the Consultant/Trainer 
Checklist included as an appendix to this NOFA and mailing it to the 
following address: Department of Housing and Urban Development, Office 
of Public and Indian Housing, Office of Resident Involvement, 451 7th 
Street, SW Room 4112, Washington, D.C. 20410.
    The TOP grantee may select the HA to serve as the consultant/
trainer; however, the HA must register to be included in the TOP 
database. Grantees may invite other familiar consultants/trainers to 
register in the TOP database.
    (4) After completion of Tasks 1 through 4 of the TOP Work Plan, the 
RC/RMO/RO may hire a consultant/trainer to assist in the implementation 
of Tasks 5 through 7 of the TOP Work Plan. The grantees must follow 24 
CFR 84, which implements OMB Circular A-110 and prescribes standards 
and policies essential to ensure open and free competition for the 
proper execution of procurement transactions,

[[Page 35035]]

when selecting a consultant/trainer. HUD will make available the source 
list of registered consultant/trainers upon request, for use in a 
competitive solicitation for consultant services to assist the RC/RMC/
RO in implementing TOP Work Plan Tasks 5 through 7 of the TOP Work 
Plan. The amount allowed for hiring an individual consultant for this 
purpose shall not exceed 50 percent of the total grant award or 
$50,000, whichever is less. HUD Field Offices will monitor this process 
to ensure compliance with these requirements.

V. Corrections to Deficient Applications

    HUD will notify an applicant in writing of any technical 
deficiencies in the application. Any deficiency capable of cure will 
involve only items not necessary for HUD to assess the merits of an 
application against the Rating Factors specified in this NOFA. For 
example, signatures needed on certain forms, certifications, TOP Work 
Plan, budget, and other required forms may be considered curable 
deficiencies. All applicants, including NROs/RROs/SROs, must submit 
corrections to the local HUD Field Office (including Area ONAPs, as 
appropriate) within 14 calendar days from the date of HUD's letter 
notifying the applicant of any technical deficiency. If corrections are 
received by the local Field Office after the 14-day time frame, the 
applications will be considered incomplete and will not be considered 
for funding.
    After the application due date, applicants will not have an 
opportunity to submit independently information omitted from the 
application that directly relates to the rating factors contained in 
the sections on rating factors in this NOFA (sections I.N-I.P.), so as 
to enhance the merits of the application. HUD encourages all applicants 
to submit all documents with their applications before the due date, so 
that applicants will not be affected by the technical deficiency 
period.

VI. Other Matters

A. Freedom of Information Act

    Applications submitted in response to this NOFA are subject to 
disclosure under the Freedom of Information Act (FOIA). To assist the 
Department in determining whether to release information contained in 
an application in the event a FOIA request is received, an applicant 
may, through clear earmarking or otherwise, indicate those portions of 
its application that it believes should not be disclosed. The 
applicant's views will be used solely to aid the Department in 
preparing its response to a FOIA request; the Department is required by 
the FOIA to make an independent evaluation of the information.
    HUD suggests that an applicant provide a basis, when possible, for 
its belief that confidential treatment is appropriate; general 
assertions or blanket requests for confidentiality, without more 
information, are of limited value to the Department in making 
determinations concerning the release of information under FOIA. The 
Department is required to segregate disclosable information from 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 family formation, maintenance, and 
general well-being, and, thus, is not subject to review under the 
Order. No significant change in existing HUD policies or programs will 
result from promulgation of this notice, as those policies and programs 
relate to family concerns.

D. Executive Order 12612, Federalism

    The General Counsel, as the Designated Official under section 6(a) 
of Executive Order 12612, Federalism, has determined that the policies 
contained in this notice will not have substantial direct effects on 
States or their political subdivisions, or on the relationship between 
the Federal government and the States, or on the distribution of power 
and responsibilities among the various levels of government. As a 
result, the notice is not subject to review under the Order. The NOFA 
will fund technical assistance and activities for resident management 
and other TOP initiatives of public and Indian housing. It will have no 
meaningful impact on States or their political subdivisions.

E. Documentation and Public Access Requirements; Applicant/Recipient 
Disclosures: HUD Reform Act

    Documentation and public access requirements. Pursuant to Section 
102 of the Department of Housing and Urban Development Reform Act of 
1989 (42 U.S.C. 3537a) (HUD Reform Act), HUD will ensure that 
documentation and other information regarding each application 
submitted pursuant to this NOFA are sufficient to indicate the basis 
upon which assistance was provided or denied. This material, including 
any letters of support, will be made available for public inspection 
for a 5-year period beginning not less than 30 days after the award of 
the assistance. Materials will be made available in accordance with the 
Freedom of Information Act (5 U.S.C. 552) and HUD's implementing 
regulations at 24 CFR part 15. In addition, HUD will include the 
recipients of assistance pursuant to this NOFA in a Federal Register 
notice of recipients of HUD assistance awarded on a competitive basis. 
(See section 102 and 24 CFR part 4, subpart A, as published on April 1, 
1996 (61 FR 14448).)
    Disclosures. HUD will make available to the public for 5 years all 
applicant disclosure reports (HUD Form 2880) submitted in connection 
with this NOFA. Update reports (also Form 2880) will be made available 
along with the applicant disclosure reports, but in no case for a 
period less than 3 years. All reports--both applicant disclosures and 
updates--will be made available in accordance with the Freedom of 
Information Act (5 U.S.C. 552) and HUD's implementing regulations at 24 
CFR part 15.

F. Prohibition Against Advance Information on Funding Decisions

    HUD's regulation implementing section 103 of the Department of 
Housing and Urban Development Reform Act of 1989 (42 U.S.C. 3537a) 
(Reform Act), codified as 24 CFR part 4, applies to the funding 
competition announced today. The requirements of the rule continue to 
apply until the announcement of the selection of successful applicants.
    HUD employees involved in the review of applications and in the 
making of funding decisions are restrained by part 4 from providing 
advance information to any person (other than an authorized employee of 
HUD) concerning funding decisions, or from otherwise giving any 
applicant an unfair competitive advantage. Persons

[[Page 35036]]

who apply for assistance in this competition should confine their 
inquiries to the subject areas permitted under 24 CFR part 4.
    Applicants or employees who have ethics-related questions should 
contact the HUD Office of Ethics (202) 708-3815 (TTY/Voice) (this is 
not a toll-free number). Any HUD employee who has specific program 
questions, such as whether particular subject matter can be discussed 
with persons outside the Department, should contact the appropriate 
Field Office Counsel or Headquarters counsel for the program to which 
the question pertains.

G. Information Collection Burden

    The Department is soliciting comments, as required under 5 CFR 
1320.8(d), before submitting the information collection requirements 
contained in this NOFA to OMB for renewal of the control number in 
accordance with 5 CFR 1320.10. The Department is seeking comments from 
members of the public and affected agencies concerning the proposed 
collection of information to:
    (1) Evaluate whether the proposed collection of information is 
necessary for the proper performance of the functions of the agency, 
including whether the information will have practical utility;
    (2) Evaluate the accuracy of the agency's estimate of the burden of 
the proposed collection of information;
    (3) Enhance the quality, utility, and clarity of the information to 
be collected; and
    (4) Minimize the burden of the collection of information on those 
who are to respond; including through the use of appropriate automated 
collection techniques or other forms of information technology, e.g., 
permitting electronic submission of responses.
    Interested persons are invited to submit comments regarding the 
information collection requirements in this proposal. Comments must be 
received within 60 days from the date of this proposal. Comments must 
refer to the proposal by name and docket number (FR-4066-N-01) and must 
be sent to: Reports Liaison Officer, Office of Community Relations and 
Involvement, Department of Housing and Urban Development, 451 7th 
Street, SW, Room 4112, Washington, DC 20410-3600.
    This Notice also lists the following information:
    Title of Proposal: NOFA for FY 1996 for the Public and Indian 
Housing Tenant Opportunities Program--Technical Assistance.
    Description of the Need for the Information and Proposed Use: This 
information collection is required in connection with the issuance of 
this NOFA, announcing the availability of $15 million to Resident 
Councils (RCs)/Resident Management Corporations (RMCs)/Resident 
Organizations (ROs), of which $500,000 is set-aside for National 
Resident Organizations (NROs)/Regional Resident Organizations (RROs)/
Statewide Resident Organizations (SROs) to provide technical assistance 
and training activities under the TOP program.
    Form Number: None.
    Members of Affected Public: State and local governments.
    Estimation of the Total Number of Hours Needed to Prepare the 
Information Collection including Number of Respondents, Frequency of 
Response, and Hours of Response:

------------------------------------------------------------------------
                                            Frequency    Hours          
                                Number of       of        per     Burden
                               respondents  responses  response   hours 
------------------------------------------------------------------------
Application Development......       5225          10         41   21,422
  Total Estimated Burden                                                
   Hours: 21,422.............                                           
------------------------------------------------------------------------

H. Drug-Free Workplace Certification

    The Drug-Free Workplace Act of 1988 (42 U.S.C. 701) requires 
grantees of federal agencies to certify that they will provide drug-
free workplaces. Each potential recipient under this NOFA must certify 
that it will comply with drug-free workplace requirements in accordance 
with the Act and with HUD's rules at 24 CFR part 24, subpart F.

Catalog of Federal Domestic Assistance

    The Catalog of Federal Domestic Assistance program number is 
14.853.

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

    Dated: June 27, 1996.




Michael B. Janis,
General Deputy Assistant Secretary for Public and Indian Housing.

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Appendix B--Names, Addresses, and Telephone Numbers of HUD Field 
Offices Accepting Applications for Tenant Opportunities Program 
Technical Assistance

Massachusetts State Office

Public Housing Division, Room 375, Thomas P. O'Neill, Jr. Federal 
Building, 10 Causeway Street, Boston, Massachusetts 02222-1092, 
(617) 565-5234

Connecticut State Office

Public Housing Division, First Floor, 330 Main St., Hartford, 
Connecticut 06106-1860, (203) 240-4523

New Hampshire State Office

Public Housing Division, Norris Cotton Federal Building, 275 
Chestnut St., Manchester, New Hampshire 03101-2487, (603) 666-7681

Rhode Island State Office

Public Housing Division, Sixth Floor, 10 Weybosset Street, 
Providence, Rhode Island 02903-3234, (401) 528-5351

New York State Office

Public Housing Division, 26 Federal Plaza, New York, New York 10278-
0068, (212) 264-6500

Buffalo Area Office

Public Housing Division, 465 Main Street, Lafayette Court, 5th 
Floor, Buffalo, New York 14203-1780, (716) 551-5755

New Jersey State Office

Public Housing Division, One Newark Center, Thirteenth Floor, 
Newark, New Jersey 07102-5260, (201) 622-7900

Washington, D.C. Office

Public Housing Division, 820 First St. N.E., Suite 300, Washington, 
D.C. 20002-4502, (202) 275-9200

Pennsylvania State Office

Public Housing Division, 100 Penn Square East, Philadelphia, 
Pennsylvania 19107-3390, (215) 656-0579

Maryland State Office

Public Housing Division, City Crescent Building, 10 South Howard 
St., 5th Floor, Baltimore, Maryland 21202-2505, (410) 962-2520

Pittsburgh Area Office

Public Housing Division, 339 Sixth Avenue, Pittsburgh, Pennsylvania 
15222-2515, (412) 644-6428

Virginia State Office

Public Housing Division, The 3600 Centre, 3600 West Broad St., P.O. 
Box 90331, Richmond, Virginia 23230-0331, (804) 278-4559

West Virginia State Office

Public Housing Division, 405 Capitol St., Suite 708, Charleston, 
West Virginia 25301-1795, (304) 347-7000

Georgia State Office

Public Housing Division, Richard B. Russell Federal Building, 75 
Spring Street, S.W., Atlanta, Georgia 30303-3388, (404) 331-5136

Alabama State Office

Public Housing Division, Beacon Ridge Tower, 600 Beacon Parkway 
West, Suite 300, Birmingham, Alabama 35209-3144, (205) 290-7617

Kentucky State Office

Public Housing Division, P.O. Box 1044, 601 W. Broadway, Louisville, 
Kentucky 40201-1044, (502) 582-6163

Mississippi State Office

Public Housing Division, Dr. A. H. McCoy Federal Building, 100 West 
Capitol St., Suite 910, Jackson, Mississippi 39269-1096, (601) 965-
5308

North Carolina State Office

Public Housing Division, Koger Building, 2306 W. Meadowview Rd., 
Greensboro, North Carolina 27407-3707, (910) 547-4001

Caribbean Office

Public Housing Division, New San Juan Office Building, 159 Carlos E. 
Chardon Ave., San Juan, Puerto Rico 00918-1804, (809) 766-6121

South Carolina State Office

Public Housing Division, Strom Thurmond Federal Building, 1835 
Assembly St., Columbia, South Carolina 29201-2480, (803) 765-5592

Knoxville Area Office

Public Housing Division, John J. Duncan Federal Building, 710 Locust 
St. 3rd Floor, Knoxville, Tennessee 37902-2526, (615) 545-4384

Tennessee State Office

Public Housing Division, 251 Cumberland Bend Drive, Suite 200, 
Nashville, Tennessee 37228-1803, (615) 736-5213

Jacksonville Area Office

Public Housing Division, Southern Bell Tower, 301 West Bay Street, 
Suite 2200, Jacksonville, Florida 32202-5121, (904) 232-2626

Illinois State Office

Public Housing Division, Ralph Metcalfe Federal Building, 77 West 
Jackson Boulevard, Chicago, Illinois 60604-3507, (312) 353-5680

Michigan State Office

Public Housing Division, Patrick V. McNamara Federal Building, 477 
Michigan Ave., Detroit, Michigan 48226-2592, (313) 226-7900

Indiana State Office

Public Housing Division, 151 North Delaware St., Indianapolis, 
Indiana 46204-2526, (317) 226-6303

Grand Rapids Area Office

Public Housing Division, Trade Center Building, 50 Louis, N.W., 
Grand Rapids, Michigan 49503-2648, (616) 456-2127

Minnesota State Office

Public Housing Division, 220 2nd St. South, Bridge Place Building, 
Minneapolis, Minnesota 55401-2195, (612) 370-3000

Cincinnati Area Office

Public Housing Division, 525 Vine St., 7th Floor, Cincinnati, Ohio 
45202-3188, (513) 684-2884

Cleveland Area Office

Public Housing Division, Renaissance Building, 1350 Euclid Ave., 5th 
Floor, Cleveland, Ohio 44115-1815, (216) 522-4058

Ohio State Office

Public Housing Division, 200 North High Street, Columbus, Ohio 
43215-2499, (614) 469-5737

Wisconsin State Office

Public Housing Division, Henry S. Reuss Federal Plaza, 310 W. 
Wisconsin Ave., Suite 1380, Milwaukee, Wisconsin 53203-2289, (414) 
297-3214

Texas State Office

Public Housing Division, 1600 Throckmorton, P.O. Box 2905, Fort 
Worth, Texas 76113-2905, (817) 885-5401

Houston Area Office

Public Housing Division, Norfolk Tower, 2211 Norfolk, Suite 200, 
Houston, Texas 77098-4096, (713) 834-3274

San Antonio Area Office

Public Housing Division, Washington Square Building, 800 Dolorosa 
St., San Antonio, Texas 78207-4563, (210) 229-6783

Arkansas State Office

Public Housing Division, TCBY Tower, 425 West Capitol Ave., Little 
Rock, Arkansas 72201-3488, (501) 324-5931

Louisiana State Office

Public Housing Division, Fisk Federal Building, 1661 Canal St., 
Suite 3100, New Orleans, Louisiana 70112-2887, (504) 589-7200

New Mexico State Office

Public Housing Division, 625 Truman Street N.E., Albuquerque, NM 
87110-6443, (505) 262-6463

Oklahoma State Office

Public Housing Division, 500 W. Main Street, 3rd Floor, Oklahoma 
City, OK 73102-3202, (405) 553-7559

Nebraska State Office

Public Housing Division, 10909 Mill Valley Rd., Omaha, Nebraska 
68154-3955, (402) 492-3100

St. Louis Area Office

Public Housing Division, Robert A. Young Federal Building, 1222 
Spruce St. Room 3207, St. Louis, Missouri 63103-2836, (314) 539-6583

Kansas/Missouri State Office

Public Housing Division, Room 200, Gateway Tower II, 400 State 
Avenue, Kansas City, Kansas 66101-2406, (913) 551-5462

[[Page 35040]]

Iowa State Office

Public Housing Division, Federal Building, 210 Walnut St., Rm. 239, 
Des Moines, Iowa 50309-2155, (515) 284-4512

Colorado State Office

Public Housing Division, 633 17th Street, First Interstate Tower 
North, Denver, Colorado 80202-3607, (303) 672-5440

California State Office

Public Housing Division, Philip Burton Federal Building & U.S. 
Courthouse, 450 Golden Gate Avenue, P.O. Box 36003, San Francisco, 
California 94102-3448, (415) 556-4752

Hawaii State Office

Public Housing Division, 7 Waterfront Plaza, 500 Ala Moana Blvd., 
Suite 500, Honolulu, Hawaii 96813-4918, (808) 522-8185

Los Angeles Area Office

Public Housing Division, 1615 W. Olympic Blvd., Los Angeles, 
California 90015-3801, (213) 251-7122

Sacramento, California Office

Public Housing Division, 777 12th St., Suite 200, Sacramento, 
California 95814-1997, (916) 551-1351

Arizona State Office

Public Housing Division, Two Arizona Center, 400 N. 5th St., Suite 
1600, Phoenix, Arizona 85004-2361, (602) 379-4434

Oregon State Office

Public Housing Division, Cascade Building, 400 Southwest Sixth Ave., 
Suite 700, Portland, Oregon 97204-1596, (503) 326-2661

Washington State Office

(Alaska public housing applicants send applications to address 
below)

Public Housing Division, Suite 360, Seattle Federal Office Building, 
909 First Avenue, Seattle, Washington 98104-1000, (206) 220-5292

Native American Program Offices

    Serves: All States East of the Mississippi River and Iowa:

Mr. Frances Harjo, Administrator, Eastern/Woodlands Office of Native 
American Programs, 5P, 77 W. Jackson Boulevard, 24th Floor, Chicago, 
Illinois 60604-3507, (312) 353-1282 or 1-800-735-3239, TDD--1-800-
927-9275 or (312) 886-3741

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

Mr. Wayne Simms, Administrator, Southern Plains Office of Native 
American Programs, 6.7P, 500 W. Main Street, Suite 400, Oklahoma 
City, OK 73102-3202, (405) 553-7520

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

Mr. Vernon Haragara, Administrator, Northern Plains Office of Native 
American Programs, 8P, First Interstate Tower North, 633 17th 
Street, Denver, Colorado 80202-3607, (303) 672-5462

    Serves: California, Nevada, Arizona, and New Mexico:
Mr. Raphael Mecham, Administrator, Southwest Office of Native 
American Programs, Two Arizona Center, 9 OIP, 400 N. Fifth Street, 
Suite 1650, Phoenix, Arizona 85004, (602) 379-4156
Administrator, Southwest Office of Native American Programs, 
Albuquerque Division of Native American Programs, 9EPIDI, 
Albuquerque Plaza, 201 3rd Street, NW, Suite 1830, Albuquerque, NM 
87102-3368, (505) 766-1372

    Serves: Washington, Idaho, and Oregon:

Mr. Jerry Leslie, Administrator, Northwest Office of Native American 
Programs, 10PI, Seattle Federal Office Building, 909 First Avenue, 
Suite 300, Seattle, Washington 98104, (206) 220-5270

    Serves: Alaska:

Mr. Marlin Knight, Administrator, Alaska Office of Native American 
Programs, 10.1PI, University Plaza Building, 949 East 36th Avenue, 
Suite 401, Anchorage, Alaska 99508-4399, (907) 271-4633

[FR Doc. 96-17007 Filed 7-2-96; 8:45 am]
BILLING CODE 4210-33-P