[Federal Register Volume 59, Number 92 (Friday, May 13, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-11609]
[[Page Unknown]]
[Federal Register: May 13, 1994]
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Part V
Department of Housing and Urban Development
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Office of the Assistant Secretary for Public and Indian Housing
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NOFA for the Public and Indian Housing Tenant Opportunities Program
Technical Assistance; Notice
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of the Assistant Secretary for Public and Indian Housing
[Docket No. N-94-3753; FR-3669-N-01]
NOFA for the Public and Indian Housing Tenant Opportunities
Program Technical Assistance
AGENCY: Office of the Assistant Secretary for Public and Indian
Housing, HUD.
ACTION: Notice of funding availability for FY 1994.
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SUMMARY: HUD is announcing the availability of $25 million for Fiscal
Year 1994 under the Public and Indian Housing Tenant Opportunities
Program (TOP). HUD has reinvented resident management and created the
TOP which expands 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 grantees,
including Resident Councils (RCs), Resident Management Corporations
(RMCs), Resident Organizations (ROs), National Resident Organizations
(NRO), Statewide Resident Organizations (SRO), and Regional Resident
Organizations (RRO), to fund training and other tenant opportunities,
such as the formation of such entities, identification of the relevant
social support needs, and securing of such support for residents of
public and Indian housing. The NOFA discusses eligibility, funding
amounts, selection criteria, how to apply for funding, and the
selection process.
DATES: Application kits may be requested beginning May 10, 1994. The
application deadline will be specified in the application kit, and will
be firm as to date and time. Applicants will have at least 60 days from
today's publication of the NOFA to prepare and submit their proposals.
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-3669. This NOFA cannot be used as the application.
FOR FURTHER INFORMATION CONTACT: Christine Jenkins or Barbara J.
Armstrong, Office of Resident Initiatives, Department of Housing and
Urban Development, 451 Seventh Street SW., room 4112, Washington, DC
20410. Telephone number (202) 708-3611. All Indian applicants may
contact Dom Nessi, Director, Office of Native American Programs,
Department of Housing and Urban Development, 451 Seventh Street SW.,
room 4140, Washington, DC 20410. Telephone number (202) 708-1015.
Hearing- or speech-impaired persons may use the Telecommunications
Devices for the Deaf (TDD) by contacting the Federal Information Relay
Service on 1-800-877-TDDY (1-800-877-8339) or 202-708-9300 for
information on the program. (Other than the ``800'' TDD number,
telephone numbers are not toll-free.)
SUPPLEMENTARY INFORMATION:
Paperwork Reduction Act Statement
The information collection requirements contained in this notice
have been approved by the Office of Management and Budget, under
section 3504(h) of the Paperwork Reduction Act of 1980 (44 U.S.C. 3501-
3520), and assigned OMB control number 2577-0127.
I. Purpose and Description
A. Authority
Section 20, United States Housing Act of 1937 (42 U.S.C. 1437r);
sec. 7(d), Department of Housing and Urban Development Act (42 U.S.C.
3535(d)).
B. Statutory Background
Section 122 of the Housing and Community Development Act of 1987
(Pub. L. 100-42, approved February 5, 1988) amended the U.S. Housing
Act of 1937 (1937 Act) by adding a new section 20. In part, section 20
states as its purpose the encouragement of ``increased resident
management of public housing projects [and the provision of funding] *
* * to promote formation and development of resident management
entities'' (Sec. 20(a)). Under section 20(f)(1):
[The Secretary shall provide financial assistance to resident
management corporations or resident councils that obtain, by
contract or otherwise, technical assistance for the development of
resident management entities, including the formation of such
entities, the development of the management capability of newly
formed or existing entities, the identification of the social
support needs of residents of public housing projects, and the
securing of such support.]
Under section 20(f)(2), this financial assistance may not exceed
$100,000 with respect to any public and Indian housing project, and
subsection (f)(3) limits the assistance within the context of funds
available under section 14 of the 1937 Act (Comprehensive Improvement
Assistance Program). Section 20 is implemented in 24 CFR part 964 and,
for Native American Programs, in 24 CFR part 905, subpart O. The rules
set forth, among other things, the policies, procedures, and
requirements of resident participation and management of public and
Indian housing.
In FY 1988, $2.5 million was awarded to 27 resident organizations;
in FY 1989, $2.5 million was awarded to 35 resident organizations; in
FY 1990, $2.4 million was awarded to 37 resident organizations; in FY
1991, $4.9 million was awarded to 96 organizations; in FY 1992 $4.6
million was awarded to 94 organizations; and in FY 1993, $4.7 million
was awarded to 94 organizations. In FY 1994, $25 million is available
for technical assistance and training for activities under the TOP
program.
Today, 383 resident groups throughout the country are in training
under this public and Indian housing program. HUD supports the resident
management movement, as well as other self-sufficiency and improvement
programs designed to benefit public and Indian housing residents. The
Office of Resident Initiatives in Public and Indian Housing has been
created to deliver a variety of resident initiative programs, with
assistance from a network of Resident Initiatives Coordinators (RICs)
or Community Relations and Involvement Specialists (CRIs) in HUD's
field structure. The RICs/CRIs are available to provide direct
assistance to residents and resident groups interested in resident
initiatives programs.
C. Key Features of This NOFA
(1) This NOFA announces the new Tenant Opportunity Program (TOP),
which was formerly the Public and Indian Housing Resident Management
Program. Resident organizations and housing authorities across the
country overwhelmingly requested that the Department of Housing and
Urban Development (HUD) revamp the Resident Management Program to meet
the needs in their communities for business development, education, job
training and development, social services, and opportunities for other
self-help initiatives. In complying with the request of residents and
housing authorities, HUD has reinvented resident management and created
the TOP. The new TOP will enable resident organizations to establish
priorities based on the needs in their public and Indian housing
communities aimed at furthering economic lift and independence.
The authority for the TOP program comes from Section 20 of the 1937
Act; section 20(f) authorizes technical assistance and training.
Financial assistance in the form of technical assistance grants is
provided by the Secretary to resident grantees to prepare for
management activities in their housing development (hereinafter
referred to as TOP technical assistance grants). Technical assistance
grants are available for ``the development of resident management
entities, including the formation of such entities, the 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.''
TOP technical assistance grants prepare residents to manage their
projects or portions of their projects. The results are 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 a
responsible role in their community. The training will aim to enhance
the functioning of the resident council as well as gain skills to
engage in resident managed activities in its community. TOP will
strongly encourage resident organizations to develop a partnership with
a public or Indian housing authority (hereafter referred to as ``HA'').
Secretary Cisneros is committed to building a real partnership among
HAs, residents, and HUD.
(2) The ``Mini Grants'' are eliminated this year for the purpose of
streamlining program requirements. RCs/RMCs/ROs that have been in
existence for several years or that were recently formed may receive up
to $100,000 for start-up activities, as well as for community
organizing, participation in public and Indian housing and community
affairs, and training in other tenant opportunities activities.
(3) All resident grantees that are selected for funding (including
additional funding grantees) will access the grant funds through a line
of credit control system (LOCCS), as explained in Section I.D,
``Funding,'' of this NOFA.
(4) An application kit is required as the formal submission to
apply for funding. The kit includes information on the preparation of a
Work Plan and Budget for activities proposed by the applicant. This
process facilitates the expeditious execution of a TOP Technical
Assistance Grant (TOP TAG) for those applicants that are selected to
receive funding.
(5) The information listed below is regarding all HOPE I grantees:
All HOPE I applicants' applications will be screened. A cross-check
will be made against the HOPE I Planning grants and HOPE I
Implementation grants, to assure compliance with section 20(f)(4) of
the 1937 Act, which states: ``The Secretary may not provide financial
assistance under this subsection to any resident management corporation
or resident council with respect to which assistance for the
development or formation of such entity is provided under title III.''
HOPE I Planning and Implementation grantees were required to propose
plans to establish a RC, RMC, or cooperative association where one did
not exist for the proposed homeownership site, including the
development or formation of that entity. In addition, HOPE I Full
Planning and Implementation grant applicants were expected to include
in their applications all eligible activities necessary to make their
proposed homeownership program feasible (even if some of the proposed
activities were to be carried out with non-HOPE I funds, such as
resident management funds). Consequently, in reviewing Tenant
Opportunities Program grant applications, the following rules apply:
Rule 1. An applicant for TOP funds that has received a HOPE 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 resident management 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.
(6) All applicants will have an opportunity to correct technical
deficiencies in this application submission as provided for in this
NOFA.
D. Funding
As noted, $25 million is being made available on a competitive
basis under this NOFA to resident grantees that submit timely
applications and are selected for funding. Section 20 provides that not
more than an aggregate of $100,000 may be approved with respect to any
TOP project.
Of the $25 million total current funds, $1 million will be awarded
to National Resident Organizations (NROs), Statewide Resident
Organizations (SROs), and Regional Resident Organizations (RROs) to
provide technical assistance to public and Indian housing residents
desiring either to establish an RC/RMC/RO where one does not exist or
organize an inactive RC/RMC/RO. The awards will be competitive, using
the Rating Factors in Section I.M of this NOFA, and applicants must
meet eligibility requirements.
With the remainder of the available funding, the Department will be
providing two kinds of grants: (1) Basic Grants; and (2) Additional
Grants.
Basic Grants
All resident grantees that are selected for funding (including
additional funding grantees) will access the grant funds through a line
of credit control system (LOCCS), based on the line items approved in
the work plan/budget. To monitor and ensure the progress of the funded
resident grantees this year, each resident grantee will be allowed to
draw down up to 10% of the grant funds to begin implementing Tasks 1
and 2 of the workplan. If the resident grantee has reached the 10%
limit and all activities set forth in Tasks 1 and 2 are not completed,
the resident grantee will not be allowed to draw down any additional
funds until all activities are completed. The local field office will
monitor this progress through the semiannual progress reports that are
required to be submitted by the resident grantees.
Additional Grants
RCs/RMCs/ROs selected for funding in FYs 1988-1993 (including a
mini-grant for start-up activities) that received less than a total of
$100,000 may apply for an Additional Grant not to exceed (including
previous grants) the total statutory maximum of $100,000. A RC/RMC/RO
considered for additional funding will be asked to demonstrate progress
based on its Work Plan previously approved by HUD. All additional
grantees will be evaluated to determine if Tasks 1 and 2 of the
workplan have been completed. If the tasks are not completed, the
grantee will follow the same procedures as the Basic Grantees and, upon
completion of the tasks, proceed to complete all other tasks listed in
the workplan.
This year applicants will not be disqualified for funding if all of
the activities identified in the work plan are not completed. However,
applicants applying for additional grants will receive a higher score
if the RC/RMC/RO can demonstrate the accomplishment of all of the
following activities:
(1) Developed an active community organization that includes
democratically elected officers;
(2) Issued by-laws governing the operation of the organization;
(3) Developed an organizational structure that consists of one or
more of the following: floor/block captains or residential community
groups and program committees to carry out specific tasks;
(4) Developed a basic financial management and accounting system
that will provide effective control over and accountability for all
grant funds, or acquired an accounting service to perform this
function;
(5) Identified community needs and interests for achieving resident
management, and determined the level and degree of skills and community
participation available to support program development;
(6) Obtained a Memorandum of Understanding (MOU) between the RC/
RMC/RO and the 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, etc.) and the activities to be conducted by the RC/
RMC/RO;
(7) Completed the first phase of the Board and Leadership Training
provided by the consultant/trainer that is selected by the RC/RMC/RO;
and
(8) Has formal recognition from the HA as the duly elected RC/RMC/
RO to represent residents in meetings with the HA or other entities.
E. TOP Technical Assistance Grant (TOP TAG)
Grant awards will be made through a TOP Technical Assistance Grant
(TOP TAG), which defines the legal framework for the relationship
between HUD and a resident grantee for the proposed activities approved
for funding. The TAG will contain all applicable requirements,
including administrative requirements such as progress reports, a final
report, a final audit, and accessing the Line of Credit Control System
(LOCCS) to draw down funds. All necessary materials regarding the TAG
will be furnished at a later date to applicants that are selected to
receive funding.
F. Definitions
The following definitions apply to applicants:
National Resident Organization (NRO). An incorporated nonprofit
organization or association for public or 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); and
(2) It has experience in providing start-up and capacity-building
training to residents and resident organizations.
Regional Resident Organization (RRO). An incorporated nonprofit
organization or association for public or Indian housing that meets 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.
Statewide Resident Organization (SRO). An incorporated nonprofit
organization or association for public or Indian housing that meets the
following requirements:
(1) It is statewide; and
(2) It has experience in providing start-up and capacity-building
training to residents and resident organizations.
The following definitions apply to Public Housing:
Project. Includes any of the following that meets the requirements
of 24 CFR part 964:
(1) One or more contiguous buildings;
(2) An area of contiguous row houses;
(3) Scattered site buildings.
Resident Council (RC)/Resident Organization (RO). An incorporated
or unincorporated nonprofit organization or association that meets each
of the following requirements:
(1) It must be representative of the tenants it purports to
represent;
(2) It may represent tenants in more than one project or in all of
the projects of a PHA, but it must fairly represent tenants from each
project that it represents;
(3) It must adopt written procedures providing for the election of
specific officers on a regular basis (but at least once every three
years);
(4) It must have a democratically elected governing board; and
(5) The voting membership of the governing board must consist of
tenants of the project or projects that the tenant organization or
resident council represents.
Resident Management. The performance of one or more management
activities for one or more projects by a resident management
corporation under a management contract with the PHA.
Resident Management Corporation (RMC). The entity that proposes to
enter into, or enters into, a management contract with a PHA that meets
the requirements of subpart C of 24 CFR part 964. The entity must have
each of the following characteristics:
(1) It must be a nonprofit organization that is incorporated under
the laws of the State in which it is located;
(2) It may be established by more than one tenant organization or
resident council, so long as each organization or council:
(a) Approves the establishment of the corporation; and
(b) Has representation on the Board of Directors of the
corporation;
(3) It must have an elected Board of Directors;
(4) Its by-laws must require the Board of Directors to include
representatives of each resident council involved in establishing the
corporation;
(5) Its voting members must be tenants of the project or projects
it manages;
(6) It must be approved by the resident council. If there is no
council, a majority of the households of the project must approve the
establishment of such an organization to determine the feasibility of
establishing a corporation to manage 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:
Project. Includes any of the following that meet the requirements
of 24 CFR part 905.962:
(1) One or more contiguous buildings;
(2) An area of contiguous row houses;
(3) Scattered site buildings;
(4) Scattered site single-family units.
Resident Management. The performance of one or more management
activities for one or more projects by a resident management
corporation under a management contract with the HA.
Resident Management Corporation (RMC). A Resident Management
Corporation is an entity that proposes to enter into, or enters into, a
management contract with an IHA under this NOFA. The corporation must
have each of the following characteristics:
(1) It is a nonprofit organization that is incorporated under the
laws of the State or Indian tribe within which it is located;
(2) If it is established by more than one resident organization,
each such organization both approves the establishment of the
corporation and has representation on the Board of Directors of the
corporation;
(3) It has an elected Board of Directors;
(4) Its by-laws require the Board of Directors to include
representatives of each resident organization involved in establishing
the corporation. (It may serve as both the resident management
corporation and the resident organization, so long as the corporation
meets the requirements of this section for a resident organization.);
(5) Its voting members are required to be residents of the project
or projects it manages;
(6) Its establishment is approved by the resident organization or,
if there is no organization, creation of an organization is approved by
a majority of the households of the project for the purpose of
determining the feasibility of establishing a RMC to manage the
project.
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 is representative of the residents it purports to represent.
(2) If it represents residents in more than one project or in all
of the projects of an IHA, it fairly represents residents from each
project that it represents.
(3) It has adopted written procedures providing for the election of
specific officers on a regular basis (but at least once every three
years).
(4) It has a democratically elected governing board. The voting
membership of the board shall consist of the residents of the project
or projects that the RO represents.
G. Eligibility
Only organizations that meet the definitions of a RC/RMC/RO or a
NRO/RRO/SRO set forth under the subheading ``Definitions'' (Section
I.F) of this NOFA will be eligible for funding under this NOFA, as
follows:
(1) A RC/RMC/RO that has been in existence for several years as
well as new emerging organizations may apply for a basic grant of up to
$100,000.
(2) A RC/RMC/RO selected for funding in FYs 1988-1993 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. The RC/RMC/RO will receive consideration for the
additional amount based on the Ranking Factors contained in Section I.L
of this NOFA. No special considerations will be given to previously
funded applicants.
(3) Projects that were awarded the maximum total amount of $100,000
in FYs 1988-1993 are not eligible to apply.
(4) A RC/RMC/RO that represents more than one project may apply on
behalf of some or all of the projects it represents. In that case, an
individual project represented by the organization may not apply for
technical assistance funding for the same activities that are included
in the application submitted by the larger organization.
(5) A city-wide/tribal-wide organization (consisting of members
from RCs/RMCs/ROs who reside in housing projects that are owned and
operated by the same HA) may represent more than one RC/RMC/RO within a
HA. In that case, an individual project represented by the city-wide/
tribal-wide organization that has received technical assistance funding
of $100,000 in a previous year may not receive additional funding based
on the application submitted by the organization.
(6) A NRO/SRO/RRO that is organized to provide technical assistance
to RCs/RMCs/ROs may receive grants up to $100,000.
H. Eligible Activities
Activities that may be funded and carried out by an eligible RC/
RMC/RO or NRO/RRO/SRO include any combination of, but are not limited
to, the following:
(1) Resident Capacity Building:
(a) Training Board members in community organizing, Board
development and leadership training, and
(b) Determining the feasibility of the Tenant Opportunity Program
initiatives for a specific project or projects.
(2) Resident Management:
(a) Start-up activities for a RC/RMC/RO, as well as building and
strengthening its capacity as an organization (e.g., conduct democratic
elections for officers of the organization, establish operating/
planning committees and block building captains to carry out specific
organizational tasks, develop by-laws, etc.); developing a cohesive
relationship between the residents and the local community; and
building a partnership with the HA.
(b) Training residents, as potential employees of an RMC, in skills
directly related to the operation, management, maintenance and
financial systems of a project;
(c) Training of residents with respect to fair housing and equal
opportunity requirements; and
(d) Gaining assistance in negotiating management contracts and
designing a long-range planning system.
(3) Resident Management Business Development
(a) Economic development training related to resident management
and technical assistance for job training and placement in RMC
developments;
(b) Technical assistance and training in business development
related to resident management through:
Feasibility and market studies;
Development of business plans;
Affirmative outreach activities;
Innovative financing methods including revolving loan
funds; and
(c) Legal advice in establishing resident management required
business entities.
(4) Partnerships:
(a) Establish and provide training related to the Partnership
Paradigm Technical Assistance (PPTA) model to residents in each
community. This partnership would bring together residents, the HA, and
HUD in an effort to create a community-based process that offers
technical assistance and training related to building the partnership
between the residents, the HA, and HUD, and to oversee and carry out
activities in the TOP program.
(b) Other partnerships developed by the local residents/HA in the
community are also allowed under this program.
(5) Social Support Services (such as self-sufficiency and youth
initiatives):
(a) Feasibility studies to determine training and social services
needs;
(b) Coordination of social services;
(c) Resident management training for programs such as child care,
early childhood development, parent involvement, volunteer services,
parenting skills, and before- and after-school programs;
(d) Resident management training programs on health, nutrition, and
safety;
(e) Resident management 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 and Big Brother/Big Sisters,
etc.
(f) Resident management training in the development of strategies
to successfully implement youth programs. For example, assessing the
needs and problems of the youth, improving existing youth programs, and
training youth and RMCs/RCs/ROs on youth initiatives.
(6) General: (a) Training in resident management-related skills,
such as computer skills, clerical (payroll clerk/records management);
(b) Resident management-related employment training and counseling;
(c) Training in accessing other funding sources;
(d) Hiring trainers or other experts (resident grantees must ensure
that any training is provided by a qualified housing management
specialist, a community development specialist, the HA, or other
sources knowledgeable about the program);
(e) Rental of car, van, or bus by resident grantees to attend
training related to the TOP initiatives;
(f) Stipends, as provided in this paragraph. Officers and members
of a RC/RMC/RO should not receive stipends for participating or
receiving training under the TOP. If RCs/RMCs/ROs are interested in
achieving resident-managed activities, stipends will be approved,
subject to the availability of funds, when the officers and members of
the resident organization are within 3-6 months of apprenticeship or
dual management contract with the HA. Generally, no more than 10% of
the grant funds should be used for this purpose. If approved, Officers
and members should use the stipends only for costs incurred for
resident management activities (i.e., child care, transportation to
training, etc.).
(7) Capacity building and training to facilitate resident
participation in the Comprehensive Grant Program.
(8) Funds may be used to assist in the creation of a RC/RMC/RO,
such as:
(a) Consulting and legal assistance to incorporate the RC/RMC/RO;
(b) Preparing by-laws and drafting a corporate charter;
(c) Developing performance standards and assessment procedures to
measure the success of the RC/RMC/RO;
(d) Assistance in acquiring fidelity bonding and insurance, but not
the cost of the bonding and insurance; and
(e) Assessing potential management functions or tasks that the RC/
RMC/RO might undertake.
(9) Implementation of activities by a RC/RMC/RO associated with the
operation and maintenance of the public and Indian housing project(s).
Examples of eligible activities, in addition to those cited in
paragraphs (1) through (7) of Section I.H, ``Eligible Activities,'' of
this NOFA, are:
(a) Designing and implementing financial management systems that
include provisions for budgeting, accounting, and auditing;
(b) Assisting in developing and negotiating management contracts,
and related contract monitoring and management procedures;
(c) Designing and implementing a long-range planning system;
(d) Designing and implementing personnel policies; performance
standards for measuring staff productivity; policies and procedures
covering organizational structure, recordkeeping, maintenance,
insurance, occupancy, and management information systems; any other
recognized functional responsibilities relating to property management,
in general, and public/Indian housing management, in particular; and
responsibilities relating to any TOP initiative;
(e) Identifying the social support needs of residents, and the
securing of that support by hiring a services coordinator to coordinate
and assist in implementing the services needed by the residents, such
as health clinics, day care, and security; and
(f) Assessing potential homeownership opportunities for residents
within public and Indian housing or anywhere in the community.
(10) Administrative costs necessary for the implementation of
activities outlined in paragraphs (1) through (7) of Section I.H,
``Eligible Activities,'' of this NOFA. Appropriate administrative costs
include, but are not limited to, the following items or activities:
(a) 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 hardware equipment, such as computer hardware and
copying machines, unless purchase of this equipment can be made from a
resident grantee's operating budget. A resident grantee must justify
the need for this equipment in relationship to its management
capability and the level of management responsibilities;
(b) HUD-approved travel directly related to activities for the
development/training and implementation of resident management or any
tenant opportunity initiatives, including conference fees, related per
diem for meals, and miscellaneous travel expenses for individual staff
or Board members of the resident grantee; and
(c) Child care expenses for individual resident grantees staff and
Board members in cases where residents or Board members who need child
care are involved in training-related activities associated with the
development of resident management entities. Not more than two percent
of the total grant amount (.02 times the grant award amount) may be
used for expenses to support child care needs.
(11) For NROs/RROs/SROs only: Organize and establish democratically
elected and effective RCs/RMCs/ROs, in addition to providing to RCs/
RMCs/ROs any of the services described in paragraphs (1)-(10) of this
Section.
I. Ineligible Activities
Ineligible items or activities include, but are not limited to, the
following:
(1) Entertainment, including associated costs such as food and
beverages, except normal per diem for meals;
(2) Purchase or rental of land or buildings or any improvements to
land or buildings;
(3) Activities not directly related to the TOP, e.g., lead-based
paint testing and abatement and operating capital for economic
development activities;
(4) Purchase or rental of any vehicle (car, van, bus etc.) or any
other property, other than as described under Section I.H, ``Eligible
Activities,'' of this NOFA (see, e.g., paragraphs (6)(e) and (10)(a)),
unless approved by HUD;
(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 resident management grant activities;
(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 or HUD Field Office staff, and HUD will
reduce the resident grantee's grant for the amount expended; and
(9) Any activity otherwise eligible under this NOFA for which funds
from any other source are being provided or are requested by the
applicant.
J. Selection Process
Each application for a grant award that is submitted in a timely
manner, as specified in the application kit, to the local HUD field
office or, in the case of IHAs, to the appropriate HUD Office of Native
American Programs, and that otherwise meets the requirements of this
NOFA, will be evaluated. An application must receive a minimum score of
60 points (out of the maximum of 85) for a Basic Grant, or a minimum
score of 50 points (out of a maximum of 75) for Additional Grants, to
be eligible for funding. NROs/RROs/SROs must receive a minimum score of
60 points (out of a maximum of 85) to be eligible for funding. RCs/
RMCs/ROs should submit applications to the local HUD Field Office
(Office of Native American Programs, for IHAs; see Appendix to this
NOFA). The local Field Office will submit all RC/RMC/RO applications to
a grant review site for processing by a Grants Management Team. NROs/
SROs/RROs should submit applications to HUD Headquarters: Department of
Housing and Urban Development, PIH/ORI, 451 Seventh Street SW., Room
4112, Washington, DC 20410.
K. Rating Factors--Basic Grant Applicants
An application for funding for a Basic Grant will be reviewed based
on the following Rating Factors (maximum of 85 points):
(1) Describe the Goals and Objectives of the RC/RMC/RO (30 points):
A high score (16-30 points) is received where the RC/RMC/
RO provides a detailed plan clearly showing proposed methods for
accomplishing the overall goals and objectives of the TOP initiatives.
A medium score (6-15 points) is received where the RC/RMC/
RO provides a general explanation of proposed methods for accomplishing
TOP initiatives.
A low score (0-5 points) is received where the RC/RMC/RO
provides a plan that is unclear or the RC/RMC/RO does not clearly state
the goals and objectives.
(2) Evidence of Support by Project Residents and RC/RMC/RO
Board (15 points):
A high score (11-15 points) is received where the RC/RMC/
RO provides documentation that shows support by the residents and the
support is evidenced by a board resolution, petitions, minutes of
meetings, or letters of support.
A medium score (1-10 points) is received where the RC/RMC/
RO provides documentation that is limited to petitions and minutes of
meetings.
No score (0 points) is received where the RC/RMC/RO fails
to provide documentation of support by project residents and no support
is mentioned.
(3) Evidence that the RC/RMC/RO has a Partnership with the HA (20
points):
A high score (13-20 points) is received where the RC/RMC/
RO provides a letter of support from the local HA that states the
support of the RC/RMC/RO, as well as a description of what the HA will
undertake to assist the RC/RMC/RO.
A medium score (6-12 points) is received where the RC/RMC/
RO provides a letter of support from the HA but does not state the
activities for which the HA will provide assistance.
A low score (0-5 points) is received where the RC/RMC/RO
fails to submit a letter of support from the local HA, but support is
mentioned in the narrative summary.
(4) Evidence that the RC/RMC/RO has Support of Other Local/Tribal
Agencies (10 points):
A high score (8-10 points) is received where the RC/RMC/RO
provides letters of support discussing assistance from, at least, one
or two local/tribal agencies in target areas, such as Weed and Seed or
Distressed housing.
A medium score (1-7 points) is received where the RC/RMC/
RO provides letters of support discussing assistance from one or two
local/tribal agencies.
No score is received where the RC/RMC/RO fails to submit
letters of support from local/tribal agencies.
(5) Capability of Handling Financial Resources--demonstrated
through previous experience, adequate financial control procedures, or
similar evidence, or an explanation of how such capability will be
obtained (10 points):
A high score (7-10 points) is received where the RC/RMC/RO
provides evidence of having over two years of experience in handling
financial resources and has adequate accounting procedures in place.
A medium score (1-6 points) is received where the RC/RMC/
RO provides evidence of having less than two years of experience in
handling financial resources or has provided a plan for developing
financial controls that is adequate.
No score (0 points) is received where the RC/RMC/RO has no
experience in handling financial matters and no evidence is submitted
that shows that an adequate accounting system is in place or under
development.
L. Rating Factors--Additional Grant Applicants
An application for funding for an Additional Grant will be reviewed
based on the following Rating Factors (maximum of 75 points):
(1) Describe the Goals and Objectives of the RC/RMC/RO (25 points):
A high score (14-25 points) is received where the RC/RMC/
RO provides a detailed plan clearly showing proposed methods for
accomplishing the overall goals and objectives of the proposed TOP
initiatives.
A medium score (6-15 points) is received where the RC/RMC/
RO provides a general explanation of proposed methods for accomplishing
its TOP initiatives.
A low score (0-5 points) is received where the RC/RMC/RO
does not provide a plan of the goals and objectives or the plan
submitted is unclear.
(2) Evidence of the Progress of the RC/RMC/RO) (30 points) (some
examples of the documents applicants should include in their
applications are listed in parentheses):
A high score (16-30 points) is received where the RC/RMC/
RO show evidence of completing six to eight of the following
activities:
(a) Developed an active community organization which includes
democratically elected officers (example: fact sheet, minutes of
meetings, petitions);
(b) Issued by-laws governing the operation of the organization
(example: a copy of the RC/RMC/RO by-laws);
(c) Developed an organizational structure that consists of floor/
block captains or residential community groups and program committees
to carry out specific tasks (example: a copy of the RC/RMC/RO's
organizational structure that lists floor/block captains, community
groups and program committees);
(d) Developed a basic financial management and accounting system
that will provide effective control over and accountability for all
grant funds, or acquired an accounting service to perform this function
(example: a certification that the accounting system is developed);
(e) Identified community needs and interests for achieving any TOP
initiatives and determined the level and degree of skills and community
participation available to support program development (example: a copy
of the RC/RMC/RO's needs assessment);
(f) Obtained 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, etc.) and the activities to be conducted by the RC/
RMC/RO (example: a copy of a MOU between the RC/RMC/RO and HA);
(g) Completed the first phase of the Board and Leadership Training
provided by the consultant/trainer which is selected by the RC/RMC/RO
(example: a copy of the certificate of completion of training); and
(h) Has formal recognition from the HA to represent residents in
meetings with the HA or other entities.
A medium score (6-15 points) is received where the RC/RMC/
RO shows evidence of completing four or five of the eight activities
listed above.
A low score (0-5 points) is received where the RC/RMC/RO
shows evidence of completing zero to three of the eight activities
listed above.
(3) Evidence That the RC/RMC/RO has a Strong Partnership with the
HA (10 points):
A high score (8-10 points) is received where the RC/RMC/RO
provides a copy of a letter from the HA that indicates there is a
cooperative relationship and a commitment from the HA to provide
support (i.e., technical assistance, on-the-job training, or in-kind
services) to the resident organization;
A medium score (4-7 points) is received where the RC/RMC/
RO provides a copy of a letter from the HA that indicates its support
for the resident organization, but does not commit to providing
tangible support to the resident organization; and
A low score (0-3 points) is received where the RC/RMC/RO
does not provide a letter from the HA, even if HA support is mentioned.
(4) Evidence That the RC/RMC/RO has the Support of the State/Local/
County/Tribal Government, Community Organizations, or Other Public/
Private Sector Groups. (10 points) (Maximum point value is given where
the support letters contain commitments, such as financial assistance,
technical assistance, on-the-job training, or other tangible support.)
A high score (8-10 points) is received where the RC/RMC/RO
provides copies of letters discussing assistance from more than three
entities (e.g., State/local/county/tribal government, community
organizations, or other public/private sector groups;
A medium score (4-7 points) is received where the RC/RMC/
RO provides letters discussing assistance from two or three entities;
and
A low score (0-3 points) is received where the RC/RMC/RO
provides a letter from only one entity or was unable to obtain any
letters of support.
M. Rating Factors--NROs/RROs/SROs
(1) Describe the Goals and Objectives of the NRO/RRO/SRO (30
points):
A high score (16-30 points) is received where the NRO/RRO/
SRO provides a detailed plan clearly showing proposed methods for
accomplishing the overall goals and objectives of the TOP initiatives.
A medium score (6-15 points) is received where the NRO/
RRO/SRO provides a general explanation of proposed methods for
accomplishing TOP initiatives.
A low score (0-5 points) is received where the NRO/RRO/SRO
provides a plan that is unclear or the NRO/RRO/SRO does not clearly
state the goals and objectives.
(2) Evidence of Support by NRO/RRO/SRO Board (15 points):
A high score (11-15 points) is received where the NRO/RRO/
SRO provides documentation that shows support, as evidenced by a board
resolution, minutes of meetings, and letters of support.
A medium score (1-10 points) is received where the NRO/
RRO/SRO provides documentation of support that is limited to minutes of
meetings.
No score (0 points) is received where the RC/RMC/RO fails
to provide documentation of support.
(3) Evidence of the Capability to Provide Local on-Site Training.
The applicant should demonstrate its capability to identify and provide
local on-site training and coordinate activities of the local on-site
training, so that RCs/RMCs/ROs may have access to continued training
and technical assistance at the end of the grant agreement. (20 points)
A high score (13-20 points) is received where the
applicant provides a detailed plan clearly showing its capability to
identify and provide local on-site training.
A medium score (6-12 points) is received where the
applicant provides a general explanation of its capability to identify
and provide local on-site training.
A low score (0-5 points) is received where the applicant
provides a plan that is unclear or does not clearly state its
capability to identify and provide local on-site training.
(4) Evidence of Prior Resident Training Experience. The applicant
should provide documented evidence, i.e., letters of support, Board
resolution, etc., of prior experience, indicating success and quality
of work from RCs/RMCs/ROs. (10 Points)
A high score (8-10 points) is received where the applicant
provides documentation that shows support by the residents, i.e.,
letters of support, board resolutions, petitions, and minutes of
meetings.
A medium score (1-7 points) is received where the
applicant provides documentation that is limited to petitions and
minutes of meetings.
No score is received where the applicant fails to provide
documentation of support by project residents, and no support is
mentioned.
(5) Capability of Handling Financial Resources--demonstrated
through previous experience, adequate financial control procedures, or
similar evidence, or an explanation of how such capability will be
obtained (10 points):
A high score (7-10 points) is received where the NRO/RRO/
SRO provides evidence of having over two years of experience in
handling financial resources and has adequate accounting procedures in
place.
A medium score (1-6 points) is received where the NRO/RRO/
SRO provides evidence of having less than two years of experience in
handling financial resources or has provided a plan for developing
financial controls that is adequate.
No score (0 points) is received where the NRO/RRO/SRO has
no experience in handling financial matters and no evidence is
submitted that shows that an adequate accounting system is in place or
under development.
N. HA Notification
HUD will send a notification to the HAs associated with the
applications selected for funding.
II. Application Process
A. Actions Preceding Application Submission
Consistent with this NOFA, HUD may direct a HA to notify its
existing RCs/RMCs/ROs, as well as NROs, SROs, and RROs, of this funding
opportunity. It is important for residents to be advised that even in
the absence of a RC/RMC/RO, the opportunity exists to establish a RC/
RMC/RO. If no RC/RMC/RO exists for any of the developments, HUD
encourages a HA to post this NOFA in a prominent location within the
HA's main office, as well as in each development's office.
B. Application Development and Submission
(1) Submission. An application kit is required as the formal
submission to apply for funding. The kit includes information on the
preparation of a Work Plan and Budget for activities proposed by the
applicant. An application may be obtained by writing the Resident
Initiatives Clearinghouse, Post Office 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 FR3669. Applications may be requested beginning May 13, 1994.
An applicant RC/RMC/RO must submit its application to the local HUD
field office or, in the case of IHAs, to the appropriate HUD Office of
Native American Programs, listed in the Appendix to this NOFA. An
applicant NRO/SRO/RRO must submit its application to: Department of
Housing and Urban Development, PIH/ORI, 451 Seventh Street, SW, Room
4112, Washington, DC 20410.
(2) Preparation. The application must contain the following
information:
(a)(i) 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, i.e.,
charter, articles of incorporation (if incorporated), and by-laws. Name
and phone number of contact person (in the event further information or
clarification is needed during the application review process).
(ii) 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).
(b)(i) RCs/RMCs/ROs: Name, address, and phone number of the Public
Housing Agency (PHA)/Indian Housing Authority (IHA) responsible for the
development(s) to which inquiries may be addressed concerning the
application.
(ii) NROs/RROs/SROs: A narrative statement discussing the
geographical areas in which the applicant wishes to organize RCs/RMCs/
ROs. In addition, the name of the PHA/IHA where the applicant proposes
to organize new or inactive RCs/RMCs/ROs, and a proposed schedule of
activities.
(c) A narrative statement addressing the following issues:
(i) For all applicants:
The name of the project(s) for which the funds are
proposed to be used;
A summary description which include the proposed amount of
funding requested. The schedule for completion of all activities is
three to five years;
The application must be signed by an authorized member of
the board of the RC/RMC/RO or NRO/RRO/SRO, 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 part 964 (for Public Housing) and 24 CFR part 905, subpart
O (for Indian Housing);
Assurances (e.g., Board Resolution or Certificate) that
the RC/RMC/RO or NRO/RRO/SRO will comply with all applicable Federal
laws, Executive Orders, regulations, and policies governing this
program, including all applicable civil rights laws, regulations, and
program requirements.
(ii) For Basic Grants:
A discussion of the needs of the RC/RMC/RO and the overall
group objectives for specified TOP initiatives and how the proposed
activities will meet the needs of the RC/RMC/RO;
A description of the extent to which the residents and the
board of the RC/RMC/RO support the proposed activities;
A discussion of the extent to which the local HA supports
the activities outlined in the proposal;
A discussion of the extent to which local agencies,
community organizations, and the private sector support the activities
outlined in the proposal, including the provision of financial
resources, technical assistance, or other support;
A description of the project financial and accounting
procedures that are available, or plans to develop these procedures, to
ensure that funds are properly spent; and
A description of other funding the RC/RMC/RO has received
and how the requested funding will complement ongoing activities.
(iii) For Additional Grants:
A discussion of the needs of the RC/RMC/RO and the overall
group objectives for specified TOP initiatives and an explanation of
how the proposed activities will meet the needs of the RC/RMC/RO;
An explanation of the RC's/RMC's/RO's progress in carrying
out activities in the work plan previously approved by HUD;
A detailed discussion of the extent to which the local HA
supports the activities outlined in the proposal; and
A description of other funding the RC/RMC/RO has received
and how the requested funding will complement ongoing activities.
(iv) For grants to NROs/RROs/SROs:
A description of the extent to which the board of the NRO/
RRO/SRO support the proposed activities;
A description of the training to be provided, including
identification of trainers and support letters;
A description of project financial and accounting
procedures, or plans to develop these procedures to ensure that funds
are spent properly.
(3) HA Support. (a) HUD is in full support of a cooperative
relationship between each RC/RMC/RO and its HA. A resident organization
is urged to involve its HA in the application planning and submission
process. This can be achieved through meetings to discuss resident
concerns and objectives and how best to transfer 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.
(b) A RC/RMC/RO is encouraged to include an indication of support
and assistance by development residents and Board (e.g., RC/RMC/RO
Board resolution, copies of minutes, letters, petition, etc.); the
neighboring community; and local public or private organizations.
(4) Submission. The original and 2 copies of the Application must
be submitted. The Appendix lists addresses of HUD Field/Native American
Program Offices that will accept a completed application. The
application must be received by the local HUD Field Office no later
than 4 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 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.
III. Checklist of Application Submission Requirements
The Application Kit will contain a checklist of all application
submission requirements to complete the application process.
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 and
Section 3 (of the Housing and Urban Development Act of 1968, 12 U.S.C.
1701u) and other Fair Housing Act requirements, and applicable civil
rights laws for Public Housing or for Indian Housing (24 CFR part 905);
(b) Financial management, including budgetary and accounting
principles and techniques, in accordance with Federal guidelines,
including OMB Circulars A-110 and A-122, which contain Federal
administrative requirements for grants, and OMB Circular 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 and/or
any TOP activity training that is required.
(2) Each grantee must ensure that this training is provided by a
qualified housing management specialist (Consultant/Trainer), community
development specialist, the HA, or other local/tribal agencies
knowledgeable about the program.
B. OMB Procurement Requirements
(1) The resident grantees must follow Circular A-110, Uniform
Administrative Requirements for Grants, and other agreements with
recipients of Federal funds. OMB Circular A-110 prescribes standards
and policies essential to the proper execution of procurement
transactions, including standards of conduct for resident grantees'
employees, officers, or agents engaged in procurement actions to avoid
any conflict of interest.
(2) A resident grantee may use two methods in obtaining consultant
services:
(a) A ``full service'' approach may be used where the applicant
solicits competitive proposals for assisting in the preparation of the
application, with inclusion of the consultant work if the applicant is
selected to receive a grant. The evaluation criteria in the
solicitation must address the qualifications and experience of
prospective consultants for all tasks (the contract may stipulate that
in the event that the application is not approved, the consultant is
not entitled to any payment); and
(b) Separation of Application Preparation from Consultant Work
After Grant Award. This approach allows an applicant to solicit
competitive proposals and contract with a Consultant-Trainer/Housing
Management Specialist for the development of an application for
technical assistance funding. If the applicant is selected for funding,
the Consultant-Trainer/Housing Management Specialist must compete along
with other prospective Consultant-Trainer/Housing Management
Specialists through an open and free procurement process for a training
and technical assistance contract. This will eliminate any competitive
advantage attained by the Consultant-Trainer/Housing Management
Specialist who was awarded a contract for the development of the
application/Work Plan and Budget.
IV. Corrections to Deficient Applications
HUD will notify an applicant in writing of any technical
deficiencies in the application. Any deficiency capable of cure will
involve only items not necessary for HUD to assess the merits of an
application against the Rating Factors specified in this NOFA. For
example, signatures needed on certain forms, certifications, workplan,
budget, and other required forms may be considered curable
deficiencies. The applicant must submit corrections within 14 calendar
days from the date of HUD's letter notifying the applicant of any
technical deficiency.
After the application due date, applicants will not have an
opportunity to submit independently information omitted from the
Application Kit that directly relates to the evaluation factors
contained in the subheading ``Rating Factors'' of this NOFA so as to
enhance the merits of the application. HUD encourages all applicants to
submit all documents with their application before the due date, so
that applicants will not be affected by the technical deficiency
period.
V. Other Matters
A. Freedom of Information Act
Applications submitted in response to this NOFA are subject to
disclosure under the Freedom of Information Act (FOIA). To assist the
Department in determining whether to release information contained in
an application in the event a FOIA request is received, an applicant
may, through clear earmarking or otherwise, indicate those portions of
its application that it believes should not be disclosed. The
applicant's views will be used solely to aid the Department in
preparing its response to a FOIA request; however, 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
related 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 empowerment initiatives of public and Indian housing. It will
have no meaningful impact on States or their political subdivisions.
E. Documentation and Public Access Requirements; Applicant/Recipient
Disclosures: HUD Reform Act
Documentation and public access requirements. Pursuant to section
102 of the Department of Housing and Urban Development Reform Act of
1989 (42 U.S.C. 3537a) (HUD Reform Act), HUD will ensure that
documentation and other information regarding each application
submitted pursuant to this NOFA are sufficient to indicate the basis
upon which assistance was provided or denied. This material, including
any letters of support, will be made available for public inspection
for a five-year period beginning not less than 30 days after the award
of the assistance. Material 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 its quarterly Federal
Register notice of all recipients of HUD assistance awarded on a
competitive basis. (See 24 CFR 12.14(a) and 12.16(b), and the notice
published in the Federal Register on January 16, 1992 (57 FR 1942), for
further information on these documentation and public access
requirements.)
Disclosures. HUD will make available to the public for five years
all applicant disclosure reports (HUD Form 2880) submitted in
connection with this NOFA. Update reports (also Form 2880) will be made
available along with the applicant disclosure reports, but in no case
for a period less than three years. All reports--both applicant
disclosures and updates--will be made available in accordance with the
Freedom of Information Act (5 U.S.C. 552) and HUD's implementing
regulations at 24 CFR part 15. (See 24 CFR part 12, subpart C, and the
notice published in the Federal Register on January 16, 1992 (57 FR
1942), for further information on these disclosure requirements.)
F. Prohibition Against Advance Information on Funding Decisions
Section 103 of the HUD Reform Act proscribes the communication of
certain information by HUD employees to persons not authorized to
receive that information during the selection process for the award of
assistance. HUD's regulation implementing section 103 is codified at 24
CFR part 4 (see 56 FR 22088, May 13, 1991). In accordance with the
requirements of section 103, HUD employees involved in the review of
applications and in the making of funding decisions are restrained by
24 CFR part 4 from providing advance information to any person (other
than an authorized employee of HUD) concerning funding decisions, or
from otherwise giving any applicant an unfair competitive advantage.
Persons who apply for assistance in this competition should confine
their inquiries to the subject areas permitted under 24 CFR part 4.
Applicants who have questions should contact the HUD Office of Ethics
(202) 708-3815 (voice/TDD). (This is not a toll-free number.)
G. Prohibition Against Lobbying of HUD Personnel
Section 112 of the HUD Reform Act added a new section 13 to the
Department of Housing and Urban Development Act (42 U.S.C. 3531 et
seq.). Section 13 contains two provisions dealing with efforts to
influence HUD's decisions with respect to financial assistance. The
first imposes disclosure requirements on those who are typically
involved in these efforts--those who pay others to influence the award
of assistance or the taking of a management action by the Department
and those who are paid to provide the influence. The second restricts
the payment of fees to those who are paid to influence the award of HUD
assistance, if the fees are tied to the number of housing units
received or are based on the amount of assistance received, or if they
are contingent upon the receipt of assistance.
Section 13 is implemented in 24 CFR part 86. If readers are
involved in any efforts to influence the Department in these ways, they
are urged to read part 86, particularly the examples contained in
Appendix A of that part.
Any questions about the rule should be directed to the Office of
Ethics, room 2158, Department of Housing and Urban Development, 451
Seventh Street SW., Washington, DC 20410-3000. Telephone: (202) 708-
3815 (voice/TDD) (these are not toll-free numbers). Forms necessary for
compliance with the rule may be obtained from the local HUD office.
H. Drug-Free Workplace Certification
The Drug-Free Workplace Act of 1988 (42 U.S.C. 701) requires
grantees of federal agencies to certify that they will provide drug-
free workplaces. Each potential recipient under this NOFA must certify
that it will comply with drug-free workplace requirements in accordance
with the Act and with HUD's rules at 24 CFR part 24, subpart F.
Catalog of Federal Domestic Assistance
The Catalog of Federal Domestic Assistance program number is
14.853.
Authority: 42 U.S.C. 1437r; 42 U.S.C. 3535(d).
Dated: May 9, 1994.
Joseph H. Shuldiner,
Assistant Secretary for Public and Indian Housing.
Appendix--Names, Addresses, and Telephone Numbers of HUD Field Offices
and Offices of Native American Programs Accepting Applications for
Tenant Opportunities Program Technical Assistance
Boston, Massachusetts Field Office
Public Housing Division
Room 375
Thomas P. O'Neill, Jr. Federal Building
10 Causeway Street
Boston, Massachusetts 02222-1092
(617) 565-5234
Hartford, Connecticut Office
Public Housing Division
330 Main St. First Floor
Hartford, Connecticut 06106-1860
(203) 240-4522
Manchester, New Hampshire Office
Public Housing Division
Norris Cotton Federal Building
275 Chestnut St.
Manchester, New Hampshire 03101-2487
(603) 666-7681
Providence, Rhode Island Office
Public Housing Division
330 John O. Pastore Federal Building & U.S.
Post Office--Kennedy Plaza
Providence, Rhode Island 02903-1785
(401) 528-5351
New York, New York Field Office
Public Housing Division
26 Federal Plaza
New York, New York 10278-0068
(212) 264-6500
Buffalo, New York Office
Public Housing Division
465 Main Street
Lafayette Court, 5th Fl.
Buffalo, New York 14203-1780
(716) 846-5755
Newark, New Jersey Office
Public Housing Division
Military Park Building
60 Park Place
Newark, New Jersey 07102-5504
(201) 877-1662
Washington, D.C. Office
Public Housing Division
820 First St. NE., suite 300
Washington, DC 20002-4502
(202) 275-9200
Philadelphia, Pennsylvania Field Office
Public Housing Division
Liberty Square Building
105 South 7th Street
Philadelphia, Pennsylvania 19106-3392
Baltimore, Maryland Office
Public Housing Division
City Crescent Building
10 South Howard St., 5th Floor
Baltimore, Maryland 21202-2505
(410) 962-2520
Pittsburgh, Pennsylvania Office
Public Housing Division
Old Post Office Courthouse Building
700 Grant St.
Pittsburgh, Pennsylvania 15219-1939
(412) 644-6428
Richmond, Virginia Office
Public Housing Division
The 3600 Centre
3600 West Broad St.
P.O Box 90331
Richmond, Virginia 23230-0331
(804) 278-4507
Charleston, West Virginia Office
Public Housing Division
405 Capitol St., suite 708
Charleston, West Virginia 25301-1795
(304) 347-7000
Atlanta, Georgia Field Office
Public Housing Division
Richard B. Russell Federal Building
75 Spring Street, SW.
Atlanta, Georgia 30303-3388
(404) 331-5136
Birmingham, Alabama Office
Public Housing Division
Beacon Ridge Tower
600 Beacon Parkway West, suite 300
Birmingham, Alabama 35209-3144
(205) 290-7617
Louisville, Kentucky Office
Public Housing Division
P.O. Box 1044
601 W. Broadway
Louisville, Kentucky 40201-1044
(502) 582-5251
Jackson, Mississippi Office
Public Housing Division
Dr. A.H. McCoy Federal Building
100 West Capitol St., room 910
Jackson, Mississippi 39269-1096
(601) 965-5308
Greensboro, North Carolina Office
Public Housing Division
2306 W. Meadowview Rd.
Greensboro, North Carolina 27407
(919) 547-4000
Caribbean Office
Public Housing Division
New San Juan Office Building
159 Carlos E. Chardon Ave.
San Juan, Puerto Rico 00918-1804
(809) 766-6121
Columbia, South Carolina Office
Public Housing Division
Strom Thurmond Federal Building
1835 Assembly St.
Columbia, South Carolina 29201-2480
(803) 765-5592
Knoxville, Tennessee Office
Public Housing Division
John J. Duncan Federal Building
710 Locust St. 3rd Floor
Knoxville, Tennessee 37902-2526
(615) 549-4384
Nashville, Tennessee Office
Public Housing Division
251 Cumberland Bend Drive, suite 200,
Nashville, Tennessee 37228-1803
(615) 736-5213
Jacksonville, Florida Office
Public Housing Division
301 West Bay Street, suite 2200
Jacksonville, Florida 32202-5121
(904) 232-2626
Chicago, Illinois Field Office
Public Housing Division
Ralph Metcalfe Federal Building
77 West Jackson Boulevard
Chicago, Illinois 60604-3507
(312) 353-5680
Detroit, Michigan Office
Public Housing Division
Patrick V. McNamara Federal Building
477 Michigan Ave.
Detroit, Michigan 48226-2592
(313) 226-7900
Indianapolis, Indiana Office
Public Housing Division
151 North Delaware St.
Indianapolis, Indiana 46204-2526
(317) 226-6303
Grand Rapids, Michigan Office
Public Housing Division
2922 Fuller Ave., N.E.
Grand Rapids, Michigan 49505-3499
(616) 456-2100
Minneapolis-St. Paul, Minnesota Office
Public Housing Division
220 2nd St. South
Bridge Place Building
Minneapolis, Minnesota 55401-2195
(612) 370-3000
Cincinnati, Ohio Office
Public Housing Division
Federal Office Building, room 9002
550 Main St.
Cincinnati, Ohio 45202-3253
(513) 684-2884
Cleveland, Ohio Office
Public Housing Division
Renaissance Building
1350 Euclid Ave., 5th Floor
Cleveland, Ohio 44115-1815
(216) 522-4058
Columbus, Ohio Office
Public Housing Division
200 North High Street
Columbus, Ohio 44115-1815
(216) 522-4058 1
Milwaukee, Wisconsin Office
Public Housing Division
Henry S. Reuss Federal Plaza
310 W. Wisconsin Ave., suite 1380
Milwaukee, Wisconsin 53203-2289
(414) 297-3214
Fort Worth, Texas Field Office
Public Housing Division
1600 Throckmorton
P.O. Box 2905
Fort Worth, Texas 76113-2905
(817) 885-5401
Houston, Texas Office
Public Housing Division
Norfolk Tower
2211 Norfolk, suite 200
Houston, Texas 77098-4096
(713) 653-3274
San Antonio, Texas Office
Public Housing Division
Washington Square Building
800 Dolorosa St.
San Antonio, Texas 78207-4563
(210) 229-6800
Little Rock, Arkansas
Public Housing Division
TCBY Tower
425 West Capitol Ave.
Little Rock, Arkansas 72201-3488
(501) 324-5931
New Orleans, Louisiana Office
Public Housing Division
Fisk Federal Building
1661 Canal St., suite 3100
New Orleans, Louisiana 70112-2887
(504) 589-7200
Albuquerque, NM Office
Public Housing Division
625 Truman Street NE.
Albuquerque, NM 87110-6472
(505) 262-6463
Omaha, Nebraska Office
Public Housing Division
10909 Mill Valley Rd.
Omaha, Nebraska 68154-3955
(402) 492-3100
St. Louis, Missouri Office
Public Housing Division
1222 Spruce St., room 3207
St. Louis, Missouri 63103-2836
(314) 539-6583
Kansas City Field Office
Public Housing Division
Room 200
Gateway Tower II
400 State Avenue
Kansas City, Kansas 66101-2406
(913) 551-5462
Des Moines, Iowa Office
Public Housing Division
Federal Building
210 Walnut St., rm. 239
Des Moines, Iowa 50309-2155
(515) 284-4512
Denver, Colorado Field Office
Public Housing Division
633 17th Street
First Interstate Tower North
Denver, Colorado 80202-3607
(303) 672-5448
San Francisco, California Field 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
Honolulu, Hawaii Office
Public Housing Division
7 Waterfront Plaza
500 Ala Moana Blvd., suite 500
Honolulu, Hawaii 96813-4918
(808) 541-1323
Los Angeles, California 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
Phoenix, Arizona Office
Public Housing Division
Two Arizona Center
400 N. 5th St., suite 1600
Phoenix, Arizona 85004-2361
(602) 379-4434
Portland, Oregon Office
Public Housing Division
Cascade Building
520 Southwest Sixth Ave.
Portland, Oregon 97204-1596
(503) 326-2561
Seattle, Washington Field Office
Public Housing Division
Suite 200
Seattle Federal Office Building
909 First Avenue
Seattle, Washington 98104-1000
(206) 220-5101
Anchorage, Alaska Office
Public Housing Division
University Plaza Building
949 E. 36th Ave., suite 401
Anchorage, Alaska 99508-4399
(907) 271-4170
Native American Program Offices
Serves: All States east of the Mississippi River and Iowa
Mr. Leon Jacobs, Administrator
Chicago Office of Native American Programs, 5P
77 W. Jackson Boulevard, 24th Floor
Chicago, Illinois 60604-3507
(312) 886-4532
Serves: Oklahoma, Kansas, Missouri, Texas, Arkansas and Louisiana
Mr. Hugh Johnson, Administrator
Oklahoma City Office of Native American Programs, 6.7P
Murrah Federal Building
200 N.W. 5th Street
Oklahoma City, Oklahoma 73102
(405) 231-4101
Serves: Colorado, Montana, The Dakotas, Nebraska, Utah and Wyoming
Mr. Vernon Haragara, Administrator
Denver 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
Indian Programs Office
Two Arizona Center, 9 OIP
400 N. Fifth Street, suite 1650
Phoenix, Arizona 85004
(602) 379-4156
Serves: Washington, Idaho and Oregon
Mr. Jerry Leslie, Administrator
Seattle Office of Native American Programs, 10PI
Seattle Federal Office Building
909 First Avenue
Seattle, Washington 98104
(206) 220-5270
Serves: Alaska
Mr. Marlin Knight, Administrator
Anchorage 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. 94-11609 Filed 5-12-94; 8:45 am]
BILLING CODE 4210-33-P
