[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]]
_______________________________________________________________________
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]
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