[Federal Register: March 26, 2003 (Volume 68, Number 58)]
[Notices]
[Page 14833-14866]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr26mr03-200]
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Part III
Department of Housing and Urban Development
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Notice of Funding Availability (NOFA) for the Research on the Socio-
Economic Change in Cities, Fiscal Year 2002; Notice
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4780-N-01]
Notice of Funding Availability (NOFA) for the Research on the
Socio-Economic Change in Cities, Fiscal Year 2002
AGENCY: Office of Policy Development and Research, HUD.
ACTION: Notice of funding availability
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SUMMARY: Purpose of the Program. To fund empirical research projects on
trends in urban areas, that is, social, economic, demographic, and
fiscal change in cities. Research grants of up to $40,000 each would
allow HUD to commission a variety of in-depth and high-quality research
projects. For example, the release of the Census 2000 long-form data
presents an excellent opportunity to inform us on the long-run dynamics
of population, housing, income, and transportation in urban areas.
Research using other current data sets, such as the County Business
Patterns Special Extracts, FBI Crime Statistics, or Building Permits
Data found in the State of the Cities Data Systems \1\, or concerning
other topics such as the fiscal condition of cities, crime, poverty, or
economic development would also be encouraged. These research projects
would provide HUD with a basic understanding of how cities are
changing, what factors are driving change, and the impact of public
policy on change.
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\1\ This site (http://socds.huduser.org//index.html) specializes
in data about cities and metropolitan areas. Some of the data is
available at other sites, but here it is in a particularly useful
interface. The available data include: population data from the
1970, 1980, 1990, and 2000 Censuses; data on employed residents from
the Current Employment Statistics; data on jobs from and business
establishments from special extracts of the County Business
Patterns; data from the FBI's Uniform Crime Report; and data on
permits for residential construction from the Census Bureau's
Building Permits Survey.
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Available Funds. $300,000 from HUD's FY 2002 research and
technology appropriation. HUD anticipates funding seven to ten studies
on these topics; studies will be funded through cooperative agreements,
up to a maximum of $40,000.
Eligible Applicants. Academic and not-for-profit institutions
located in the U.S., state and local governments, and federally
recognized Indian tribes are eligible to apply. For-profit businesses
also are eligible; however, they are not allowed to earn a fee (i.e.,
no profit can be made from the project).
Application Deadline. May 27, 2003.
Match. None required.
Additional Information:
I. Application Due Date, Further Information, and Technical Assistance
Application Due Date. Your completed application is due May 27,
2003.
Address for Submitting Applications. All applications must be
either mailed or sent via overnight/express mail delivery, addressed
to: Department of Housing and Urban Development, Economic Development
and Public Finance Division, Office of Policy Development and Research,
451 Seventh Street, SW., Room 8234, Washington, DC 20410.
Application Submission Requirements. New Security Procedures. HUD
has implemented new security procedures that affect application
submission procedures. Please read the following instructions carefully
and completely. HUD will not accept hand-delivered applications.
Applications may be mailed using the United States Postal Service
(USPS) or may be shipped via one of the following delivery services:
DHL, Falcon Carrier, FedEx, United Parcel Service (UPS), or United
States Postal Service Express Mail. No other delivery services are
permitted into HUD Headquarters without escort. You must, therefore,
use one of these carriers.
Mailed Applications. Your application will be considered timely
filed if your application is postmarked on or before 12 midnight of the
application due date and received by the designated HUD office on or
within fifteen (15) calendar days of the application due date. All
applicants must obtain and save a Certificate of Mailing showing the
date when the application was submitted to the USPS. The Certificate of
Mailing (USPS Form 3817) will be your documentary evidence that your
application was timely filed.
Applications Sent by Overnight/Express Mail Delivery. If your
application is sent by overnight delivery or express mail, your
application will be timely filed if it is received before or on the
application due date, or when you submit documentary evidence that your
application was placed in transit with the overnight delivery/express
mail service by no later than the application due date. Due to new
security measures, you must use either USPS express mail or one of four
carrier services that do business with HUD Headquarters regularly.
These services are DHL, Falcon Carrier, FedEx, and UPS. Delivery by
these services must be made during HUD Headquarters business hours,
between 8:30 AM and 5:30 PM Eastern time, Monday through Friday.
Other Transmission Methods. Only applications submitted via mail or
one of the express carrier services identified above will be accepted.
Facsimile, email, or other types of transmission are not acceptable.
FOR FURTHER INFORMATION CONTACT: You may contact: Dr. Alastair
McFarlane, Department of Housing and Urban Development, Economic
Development and Public Finance Division, Office of Policy Development
and Research, 451 Seventh Street, SW., Room 8234, Washington, DC 20410,
telephone (202) 708-0426, extension 5901, or Mr. Patrick Tewey, Grants
Officer, (202) 708-1796, extension 4098 (these are not toll-free
numbers). Hearing- and speech-impaired persons may access the above
telephone number via TTY by calling the toll-free Federal Information
Relay Service at 1-800-877-8339.
II. Amount Allocated
Approximately $ 300,000 from HUD's FY 2002 Research and Technology
appropriation will be available to fund research study proposals in FY
2002. Cooperative agreements will be awarded on a competitive basis
according to the Rating Factors described in Section VII (D). HUD
anticipates awarding seven to ten cooperative agreements ranging up to
$40,000 each. Applications exceeding this amount (unless the excess is
provided through cost-sharing) will be deemed to be non-responsive.
III. Program Description and Eligible Activities
(A) Program Description: Background
Identifying the extent and dimension of change occurring in
American cities is an important part of HUD's mission. A better
understanding of urban dynamics would support the pursuit of all of
HUD's Strategic Goals (see Fiscal Year 2002 Annual Performance Plan,
U.S. Department of Housing and Urban Development, May 2001), including
Goal 1, ``Increase the availability of decent, safe, and affordable
housing in American communities,'' and Goal 4, ``Improve community
quality of life and economic vitality.'' Fundamental social science
research on urban dynamics is relevant to housing and urban policy for
at least three major reasons. First, an understanding of urban socio-
economic factors, such as immigration, is critical in the evaluation of
the impact of existing urban policy. Second, such research would allow
HUD more accurately to predict the impact of a proposed rule or
program. Third, innovative research may reveal issues,
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about which little is known currently, that merit the attention of the
Department. To accomplish these objectives, studies that utilize
recently released data, such as the Census 2000 long-form data or other
Census products such as County Business Patterns, are needed.
(B) Eligible Activities: Topics in Urban Research
This part lists major topics and questions on which HUD seeks
information. HUD is interested in high-quality research that offers a
unique contribution to the literature on urban economic and social
change. The proposals may include descriptive studies, analytical
studies, or both. These studies may identify or measure the factors
associated with particular outcomes and the underlying causes of
particular outcomes. The impact of existing policies may be described
and analyzed. The proposals should highlight the policy implications of
the potential findings of the proposed research, particularly with
respect to policies that have been successful in urban areas. The
methodology to be applied to the studies may include statistical
techniques, econometric estimation, application of geographic
information systems (GIS) techniques, case studies, a critical review
of the present state of knowledge, and meta-analysis of existing
studies. In each case, the methodology must reflect the state-of-the-
art in the respective discipline. The final report for each empirical
study will include a succinct discussion of the scholarly literature
related to the issue being analyzed; this literature review will
provide background for the methodology of the proposed study and a
useful context for identifying the analytical and policy contributions
of the study. The Department is interested in a wide variety of
research topics. These topics are:
(1) Urban Economy
HUD is interested in research that would help explain the necessary
conditions for a thriving urban economy as well as which local and
federal policies encourage balanced or sustainable growth. Such
research could support, for example, Strategic Objective 4.1, ``The
number, quality, and accessibility of jobs increase in urban * * *
communities,'' and Strategic Objective 4.2, ``Economic conditions in
distressed communities improve.'' Possible topics include but are not
limited to the following questions:
[sbull] Economic development: Are there any particular industries
that are key to economic development? What are the implications of
different types of agglomeration economies (i.e., scale economies,
economies of localization) for urban growth? What is the role of tax
incentives in economic development? Are there geographic spillovers of
economic development? To what extent does growth in the suburbs lead to
growth in center cities? What is the impact of economic development on
poverty? What role have faith-based institutions played in effective
community development initiatives?
[sbull] Economic change: What have been the trends in employment,
income, and wealth in center cities?
[sbull] Labor markets: What does recent data tell us about the
significance of spatial mismatch between jobs and residents? What are
the trends in unemployment among youth in cities? What is the impact of
job growth on unemployment in cities? What has been the impact of
welfare reform, urban development, and other fiscal policies on urban
labor markets?
[sbull] Housing and mortgage markets: What is the impact of
economic growth and other urban trends on the supply of affordable
housing? What is the impact of gentrification on the economic welfare
of the pre-existing residents of a neighborhood? What is the
relationship between housing tenure and other variables such as
employment status? What have been the dynamics (construction,
rehabilitation, and transformation) of the rental housing stock of
cities? What are the long- and short-run relationships between income
growth and rents? What is the recent evidence on the causes and
consequences of homelessness? What has been the impact on urban
economies of the substantial increase in affordable lending during the
1990's? What problems do inner-city residents face in obtaining
financing? What role do mainstream lenders play in inner cities?
[sbull] Urban Public Finance: What is the extent of the fiscal
disparities among urban and suburban local governments? What is the
impact of fiscal conditions on economic growth and vice-versa? What are
some of the determinants of fiscal health? How have some of the fiscal
innovations of the last decades affected the public finances of cities?
(2) Urban Demographics
HUD would be interested in research that reveals both the
characteristics of cities' populations as well as the spatial patterns
of real estate development.
[sbull] Population characteristics: How has the proportion of
elderly, immigrants, minorities, and female-headed households changed
over the last ten years and why? What are the demographics of
population growth, or decline, in cities? What would be the projections
of population growth in cities based on observed trends?
[sbull] Urban growth: What is the role of migration (both foreign
and domestic) in the growth of urban centers? What are the most recent
causes and consequences of suburbanization? To what extent are
minorities relocating to suburban areas and why? What is the degree of
interdependence between suburbs and cities?
[sbull] Patterns of population density: What has been the change in
the spatial distribution of population and why? Is there a significant
relationship between the density of population and other variables such
as housing affordability, economic growth, or fiscal health? What is
the role of subcenters in the urban economy?
(3) Urban Issues
HUD is interested in research concerning social and economic issues
that are unique to urban areas as well as social problems that are
particularly concentrated in urban areas.
[sbull] Education: Which policies have been successful in improving
inner-city schools? What is the extent of spending inequalities in
education? What has been the trend in education levels required for
employment in cities? What is the impact of education on poverty? What
role do colleges and universities play in the economic development of
cities?
[sbull] Crime: What are some of the social and economic variables
that appear to influence crime in cities? What is the cost of crime in
terms of metropolitan and urban growth? What are the relative impacts
of different social and criminal justice policies on crime rates? How
are property crime and violent crime different with respect to all of
the above questions? How is crime in cities different from crime in the
suburbs?
[sbull] Poverty: How has the income distribution of urban centers
changed? What have been the recent trends in urban poverty, especially
in the concentration of poverty in cities? What are the explanations
for these changes in urban poverty? What is the trend of gaps between
inner city-suburban social indicators?
[sbull] Transportation and commuting patterns: What have been the
recent trends in commuting times and distances in cities? How are these
trends related to mode of transport and
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automobile ownership? How are trends in transportation affected by
characteristics of the urban area? What is the impact of traffic
congestion on decentralization?
Many of these research topics could be addressed using the 1990 and
2000 Census data (short- and long-forms).\2\ Longer-term comparisons
may be made using census data from before 1990 or other socioeconomic
databases such as the Panel Study of Income Dynamics. The Census of
Population and Housing data may be supplemented with other databases
from the Census such as County Business Patterns data, the American
Housing Survey data (including the geocoded version of that database),
or other national or local databases.
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\2\ Applicants should take note of changes in minority
categorization, metropolitan area specification, etc. that became
effective with the 2000 Census.
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IV. Program Threshold Requirements
(A) Eligible Applicants
Academic and not-for-profit institutions located in the U.S., state
and local governments, and federally recognized Indian tribes are
eligible to apply under this NOFA. For-profit firms also are eligible;
however, they are not allowed to earn a fee (i.e., no profit can be
made from the project). Federal agencies and federal employees are not
eligible to submit applications.
A particular author or group of co-authors may submit separate
research proposals on more than one topic, but no more than one award
will be made to any one such author or group of co-authors.
You may address more than one of the technical study topic areas
within your proposal or submit separate applications for different
topic areas. Projects need not address all of the objectives within a
given topic area. While you will not be penalized for not addressing
all of the specific objectives for a given topic area, if two
applications for technical study in a given topic have equal scores,
HUD will select the applicant whose project addresses the most
objectives.
(B) Period of Performance
The period of performance may not exceed 18 months from the time of
award.
(C) Existing Resources
HUD technical studies funds may not replace existing resources
dedicated to any ongoing project.
(D) Protection of Human Subjects
Human research subjects must be protected from research risks in
conformance with Federal Policy for the Protection of Human Subjects,
codified by HUD at 24 CFR part 60.
(E) Compliance With Fair Housing and Civil Rights Laws
(1) With the exception of federally recognized Indian tribes and
their instrumentalities, all applicants and their sub-recipients must
comply with all Fair Housing and Civil Rights laws, statutes,
regulations, and Executive Orders as enumerated in 24 CFR 5.105(a). If
you are a federally recognized Indian tribe, you must comply with the
non-discrimination provisions enumerated at 24 CFR 1003.601, as
applicable.
(2) If you, the applicant:
[sbull] Have been charged with a systemic violation of the Fair
Housing Act alleging ongoing discrimination;
[sbull] Are a defendant in a Fair Housing Act lawsuit filed by the
Department of Justice alleging an on-going pattern or practice of
discrimination; or
[sbull] Have received a letter of non-compliance findings under
Title VI, Section 504, or Section 109, and if the charge, lawsuit, or
letter of findings has not been resolved to HUD's satisfaction before
the application deadline stated in this NOFA, you may not apply for
assistance under this NOFA. HUD will not rate and rank your
application. HUD's decision regarding whether a charge, lawsuit, or a
letter of findings has been satisfactorily resolved will be based upon
whether appropriate actions have been taken to address allegations of
on-going discrimination in the policies or practices involved in the
charge, lawsuit, or letter of findings.
(F) Conducting Business In Accordance With Core Values and Ethical
Standards
Entities subject to 24 CFR Parts 84 and 85 (most non-profit
organizations and state, local and tribal governments or government
agencies or instrumentalities who receive federal awards of financial
assistance) are required to develop and maintain a written code of
conduct (see Sections 84.42 and 85.36(b)(3)). Consistent with
regulations governing specific programs, your code of conduct must:
Prohibit real and apparent conflicts of interest that may arise among
officers, employees, or agents; prohibit the solicitation and
acceptance of gifts or gratuities by your officers, employees, and
agents for their personal benefit in excess of minimal value; and,
outline administrative and disciplinary actions available to remedy
violations of such standards. If awarded assistance under this NOFA,
you will be required, prior to entering into a cooperative agreement
with HUD, to submit a copy of your code of conduct and describe the
methods you will use to ensure that all officers, employees, and agents
of your organization are aware of your code of conduct.
(G) Ensuring the Participation of Small Businesses, Small Disadvantaged
Businesses, and Women-Owned Businesses
HUD is committed to ensuring that small businesses, small
disadvantaged businesses, and women-owned businesses participate fully
in HUD's direct contracting and in contracting opportunities generated
by HUD cooperative agreement funds. Too often, these businesses still
experience difficulty accessing information and successfully bidding on
federal contracts. State, local, and tribal governments are required by
24 CFR 85.36(e) and non-profit recipients of assistance by 24 CFR
84.44(b), to take all necessary affirmative steps in contracting for
purchase of goods or services to assure that minority firms, women's
business enterprises, and labor surplus area firms are used when
possible.
(H) Additional Non-Discrimination Requirements
You, the applicant, and your sub-recipients must comply with the
Americans with Disabilities Act of 1990 (42 U.S.C. 1201 et seq.) and
title IX of the Education Amendments Act of 1972 (20 U.S.C. 1681 et
seq.)
V. Application Submission Requirements
(A) Applicant Information
Your application must contain the items listed in this Section V,
as follows:
(1) A transmittal letter (limited to one page) which identifies the
purpose for which the technical study program funds are requested, the
dollar amount requested, and the applicant or applicants submitting the
application. If two or more organizations are working together on the
project, a primary applicant must be designated;
(2) Checklist and Submission Table of Contents (see Appendix);
(3) Name of primary applicant and any sub-recipients (such as
consortium associates, partners, subcontractors, joint venture
participants, or others contributing resources to your project), with
contact information (i.e., name, mailing address, and telephone number
of principal contact person) for each;
(4) An abstract (limited to two pages) containing the following
information: The project title, the names and
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affiliations of all investigators, and a summary of the research
problem and study design as described in the project narrative;
(5) A project narrative (limited to a total of 25 pages) which
discusses your qualifications and your study plan and addresses the
following topics, which correspond to the Rating Factors for award of
funding as stated in Section VI (D), below. The narrative statement
must be organized in sections numbered in accordance with this outline.
a. Applicant and organizational qualifications, including
qualifications of the principal investigator and key personnel,
experience in managing similar projects, and past performance in
managing project funds. See the discussion of Rating Factor 1 in
Section VI (D).
b. The problem to be addressed. See Rating Factor 2.
c. Technical study plan, including study design, quality assurance
mechanisms, and project management plan. See Rating Factor 3. Also see
discussion of management plan in Section VI (b).
d. Statement of non-HUD resources to be applied, if any. See Rating
Factor 4.
e. Statement on coordination, self-sufficiency, and sustainability
of your work. See Rating Factor 5. Any pages in excess of the 25-page
limit will not be read;
(6) Discussion of desired HUD resources, if applicable. See Section
IV (C).
(7) You may provide attachments, appendices, bibliography, or other
relevant materials that support your project narrative, but these must
not exceed 20 pages in the aggregate. Any pages in excess of the 20
page limit will not be read;
(8) The resumes of the principal investigator and other key
personnel. Resumes shall not exceed three pages each and are limited to
information that is relevant in assessing the qualifications of key
personnel to conduct and/or manage the proposed technical studies; and
(9) Indirect Cost Rate Agreement, if available. Applicants that
have established indirect cost rate agreements shall provide a copy of
the agreement from their cognizant federal agency. The cognizant agency
is the federal agency responsible for negotiating and approving
indirect cost rates for the grantee. A grantee that has not previously
established an indirect cost rate with a federal agency shall submit
its initial indirect cost proposal immediately after the grantee is
advised that an award will be made.
(B) Standard Forms, Certifications and Assurances
You, the applicant, are required to submit signed copies of the
following forms, certifications, and assurances:
[sbull] Application for Federal Assistance (HUD-424);
[sbull] Applicant Assurances and Certifications (HUD-424-B);
[sbull] Detailed Budget (SF-424-CB);
[sbull] Detailed Budget Worksheet (SF-424-CBW); Note that the
thoroughness, clarity, and coherence of the budget information that you
provide on the Detailed Budget Worksheet will be evaluated under Rating
Factor 4. You must thoroughly document and justify all budget
categories and costs and all major tasks, for yourself and any sub-
recipients contributing resources to the project. Your budget should
include the cost of travel to Washington for at least one member of the
project team to meet with HUD representatives or participate in a
research seminar or symposium;
[sbull] If required, the Disclosure Form Regarding Lobbying (SF-
LLL). See the first paragraph under ``certifications'' on page 2 of
form HUD-424;
[sbull] Disclosure/Update Report (HUD-2880);
[sbull] Acknowledgment of Application Receipt (HUD-2993); and
[sbull] Client Comments and Suggestions (HUD 2994).
Copies of these standard forms, with instructions as applicable,
are appended to this NOFA.
VI. Application Selection Process
(A) Program Threshold Requirements
HUD will review your application to determine whether it meets all
of the program threshold requirements described in Section V above.
Only applications that meet all of the threshold requirements will be
eligible to be rated and ranked.
(B) Rating
Applications that meet all of the threshold requirements will be
eligible to be scored and ranked, based on the total number of points
allocated for each of the Rating Factors described below. Your
application must receive a total score of at least 70 points to remain
in consideration for funding.
(C) Ranking and Selection
Selection of award recipients will be based on the ranking of
aggregate scores, within the limits of funding availability. In
selecting award recipients, HUD will award the highest ranked
application in each of the research topics listed in paragraph III (B)
above. HUD will then select the second highest ranked application in
each research topic and continue this process as long as funding
remains available. Awards may be made to two or more recipients
proposing work on a particular topic. In order to be funded, applicants
must receive a minimum score of 70 points.
(D) Rating Factors
The factors for rating and ranking applicants, and maximum points
for each factor, are provided below. The maximum number of points to be
awarded is 100.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (30 Points)
Points will be awarded under the following three sub-factors, based
on the extent to which your proposal indicates that you have the
ability and organizational resources necessary to implement
successfully your proposed activities in a timely manner. The rating of
you, the ``applicant,'' will include any sub-recipients that will
contribute resources to the project. In rating this factor HUD will
consider and award points based on the extent to which your application
demonstrates:
(a) That the principal investigator and key personnel are capable
and qualified to accomplish the proposed research, based on their
education/training and previous completed research (15 points).
Qualifications to carry out the proposed study will be evaluated based
on the academic background of personnel, relevant publications, and
recent (within the past 10 years) research experience relevant to the
type of work proposed. Publications and research experience are
considered relevant if they required the acquisition and use of
knowledge and skills that can be applied in the planning and execution
of the technical study that is proposed.
(b) That the project manager(s) has demonstrated ability to manage
this research, based on past performance in managing similar projects
(10 points). Points will be awarded based on demonstrated ability to
successfully manage your study in such areas as personnel management,
project management, data management, quality control, community study
involvement (if applicable), and report writing, as well as overall
success in project completion (i.e., projects completed on time and
within budget). You should also demonstrate that your project would
have adequate administrative support, including clerical and
specialized support in areas such as accounting and equipment
maintenance, as relevant.
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(c) That the primary applicant and any sub-recipients are capable
of managing project funds, based on past performance (5 points). Points
will be awarded based on the extent of demonstrated ability to account
for funds appropriately and timely use of funds received either from
HUD or other federal, state, or local programs, or private programs.
HUD may include information at hand or available from public sources
such as, but not limited to, newspapers, Inspector General or
Government Accounting Office Reports or Findings, and/or hotline
complaints that have been proven to have merit.
Rating Factor 2: Need/Extent of the Problem (10 Points)
Points will be awarded based on the extent to which your proposal
establishes that your proposed research will address documented
problems, target areas or target groups. In responding to this factor,
you should document in detail how your project would make a significant
contribution toward achieving some or all of HUD's stated goals and
objectives for one or more of the topic areas described in Section III
(B).
Rating Factor 3: Soundness of Technical Study Approach (50 Points)
Points will be awarded based on the quality of your proposed study
plan, under the following four sub-factors, as described in your
proposal. Specific components that will be evaluated include the
following:
(a) Soundness of the study design (30 points). Describe the
thoroughness and feasibility of your project and study design, and the
extent to which it reflects a comprehensive understanding of the
relevant technical literature. It should clearly describe how your
study builds upon the current state of knowledge for your focus area.
If possible, your study should be designed to address testable
hypotheses, which are clearly stated. Your study design should be
statistically based, with sufficient data to provide an adequate test
of your stated hypotheses. The study design should be presented as a
logical sequence of steps or phases, with individual tasks described
for each phase. You should identify any important ``decision points''
in your study plan, and you should discuss plans for data management,
analysis and archiving.
(b) Quality assurance mechanisms (10 points). Describe the adequacy
of quality assurance mechanisms that will be integrated into your
project design to ensure the validity and quality of the results. Areas
to be addressed include acceptance criteria for data quality,
procedures for selection of samples/sample sites, sample handling,
measurement and analysis, and any standard/nonstandard quality
assurance/control procedures to be followed. Documents (e.g.,
government reports, peer-reviewed academic literature) that provide the
basis for your quality assurance mechanisms should be cited.
(c) Project management plan (8 points). The extent to which your
schedule for the completion of major activities, tasks and
deliverables, and your budget, confirm that there will be adequate
resources (e.g., personnel, financial) to carry out your study design
successfully within the proposed time frame, taking into account timing
requirements stated in section IV, above.
(d) Budget Proposal (2 Points). Two points will be awarded if your
budget proposal thoroughly estimates all applicable direct and indirect
costs and is presented in a clear and coherent format. One point, or no
points, will be awarded if your budget proposal is deficient in this
regard, based on the degree of deficiency.
Rating Factor 4: Leveraging of Resources (5 Points)
You are encouraged to demonstrate that the effectiveness of HUD's
funds will be increased by securing other public and/or private
resources or by structuring the project in a cost-effective manner,
such as integrating the project into an existing study. Resources may
include funding or in-kind contributions (such as services, facilities,
or equipment) allocated to the purpose(s) of your project. Staff and
in-kind contributions should be given a monetary value. Larger such
commitments will be awarded more points under this Rating Factor.
You should provide evidence of leveraging/partnerships by attaching
to your application letters of firm commitment, memoranda of
understanding, or agreements to participate from those entities
identified as partners in the project efforts. Each letter of
commitment, memorandum of understanding, or agreement to participate
must include the organization's name, proposed level of commitment
(with monetary value), and responsibilities as they relate to specific
activities or tasks of your proposed program. The commitment must also
be signed by an official of the organization legally able to make
commitments on behalf of the organization.
Rating Factor 5: Coordination, Self-Sufficiency and Sustainability (5
Points)
(a) The extent to which you have coordinated your activities with
other organizations that have or are in the process of conducting
similar or related work;
(b) Evidence that your proposed study builds upon the existing body
of related work and it does not significantly duplicate work that is
currently being conducted, or has been conducted, by other
organizations (to the extent that this can be ascertained); and
(c) The extent to which your project will help generate practical
solutions that can be implemented on the local or national level for
improving the economic vitality and the quality of life in cities.
(E) Negotiations; Amount To Be Awarded
After HUD has rated and ranked all applications and made
selections, HUD may require, depending upon the program, that all
winners participate in negotiations to determine the specific terms of
the cooperative agreement and budget. HUD is not required to approve or
fund all proposal activities. In cases where HUD cannot successfully
conclude negotiations with a selected applicant or a selected applicant
fails to provide HUD with requested information, an award will not be
made to that applicant. In this instance, HUD may offer an award, and
proceed with negotiations with the next-highest ranking applicant.
(F) Adjustments to Funding
(1) HUD reserves the right to fund less than the full amount
requested in your application to ensure the fair distribution of the
funds and that the purposes of this program are met.
(2) HUD will not fund any portion of your application that: is not
eligible for funding under specific program statutory or regulatory
requirements; does not meet the requirements of this NOFA; or may be
duplicative of other funded programs or activities from previous years'
awards or other selected applicants. Only the eligible portions of your
application (including non-duplicative portions) may be funded.
(3) Purchase or lease of equipment having a per unit cost in excess
of $5,000 will not be funded unless prior written approval is obtained
from HUD.
(4) If funds remain after funding the highest-ranking applications,
HUD may fund all or part of the next highest-ranking application in a
given program. If you, the applicant, turn down an award offer, HUD
will make an offer of
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funding to the next-highest ranking application.
(5) In the event HUD commits an error that, when corrected, would
result in selection of an otherwise eligible applicant during the
funding round of this NOFA, HUD may select that applicant when
sufficient funds become available.
(G) Audit
Grantees/applicants that expend $300,000 or more in a year in
federal awards shall have a single or program-specific audit conducted
for that year in accordance with OMB Circular A-133. Grantees/
applicants shall ensure that their most recent completed audit has been
submitted to the federal Audit Clearinghouse for review by HUD (refer
to www.harvester.census.gov/sac/). Grantees/applicants that do not have
such an audit or are not subject to OMB Circular A-133 will be asked to
provide a copy of their organization's most recent audit or other
evidence that financial controls are in place before an award can be
finalized.
VII. Cooperative Agreement Structure; Publication of Studies
The awards will be structured as cooperative agreements, in order
to provide latitude to researchers to proceed independently, but with
opportunity for HUD to provide comments at appropriate points in work.
HUD's participation will include review and comment on the study design
and draft final report and participation in a seminar on the research.
If you believe that a greater extent of substantive involvement by HUD
personnel in your project would be advantageous for the successful
accomplishment of your research objectives, please include in your
project description/narrative a discussion of the desired HUD resources
and the rationale (this is item 6 in the list of application items
provided in Section V (A) above). Formal commitments regarding this
aspect of the cooperative agreement would then become a matter for
negotiation prior to award (see Section VI (E), above).
Your management plan must provide for the following work steps to
be performed by you and by HUD:
[sbull] You will submit a detailed study design, comprising
identified research issue(s), a technical proposal, and methodological
approach. This will be due no later than six weeks from the date of
award, unless you indicate a specific rationale for a different
schedule. HUD will provide comments to you on the study design;
[sbull] You will submit a draft report to HUD no later than twenty
(20) weeks prior to the scheduled ending date of the project. HUD will
provide comments on the draft report, which may include comments of
peer reviewers engaged by HUD;
[sbull] At least one investigator will travel to Washington (or
another location, as mutually agreed) to present the study, at a time
to be arranged with HUD representatives, subsequent to submission of
the draft final report; and
[sbull] You will submit a final report taking account of the
comments.
A cost-reimbursement award based on the negotiated budget is
anticipated.
A payment schedule based on the completion of project milestones
will be established in negotiation. An amount equal to 20 percent of
the total amount of the cooperative agreement will be withheld and paid
by HUD only after the final project report has been received and
accepted by HUD.
The terms and conditions of the cooperative agreement will include
restrictions against the applicant's release of work products,
quotation or paraphrasing from work products or disclosures of interim
findings prior to 60 days after HUD acceptance of your final report
except with HUD approval. Thereafter, recipients are free to publish
without HUD approval. The present provisions of OMB-Circular A-110,
Subpart C, and HUD regulations at 24 CFR Part 84, Subpart C shall
govern the right to intellectual or intangible property developed as a
result of a recipient's performance under a cooperative agreement.
VIII. Findings and Certifications
(A) Environmental Impact
This NOFA does not direct, provide for assistance or loan and
mortgage insurance for, or otherwise govern or regulate, real property
acquisition, disposition leasing, rehabilitation, alteration,
demolition or new construction, or establish, revise or provide for
standards for construction or construction materials, manufactured
housing, or occupancy. Accordingly, under 24 CFR 50.19(c)(1), this NOFA
is categorically excluded from environmental review under the National
Environmental Policy Act of 1969 (42 U.S.C. 4321).
(B) Federalism Impact
Executive Order 13132 (captioned ``Federalism'') prohibits, to the
extent practicable and permitted by law, an agency from promulgating a
regulation that has federalism implications and either imposes
substantial direct compliance costs on state and local governments and
is not required by statute, or preempts state law, unless the relevant
requirements of section 6 of the Executive Order are met. This NOFA
does not have federalism implications and does not impose substantial
direct compliance costs on state and local governments or preempt state
law within the meaning of the Executive Order.
(C) Executive Order 12372, Intergovernmental Review of Federal Programs
Executive Order 12372 was issued to foster intergovernmental
partnership and strengthen federalism by relying on state and local
processes for the coordination and review of federal financial
assistance and direct federal development. The Order allows each state
to designate an entity to perform a state review function. The official
listing of State Points of Contact (SPOC) for this review process can
be found at http://www.whitehouse.gov/omb/grants/spoc.html. States not
be found at http://www.whitehouse.gov/omb/grants/spoc.html. States not
listed on the website have chosen not to participate in the
intergovernmental review process and, therefore, do not have a SPOC. If
your state has a SPOC, you should contact them to see if they are
interested in reviewing your application prior to submission to HUD.
Please make sure that you allow ample time for this review process when
developing and submitting your applications. If your state does not
have a SPOC, or your SPOC declines to review or is unable to review
your application in a timely manner, you may send applications directly
to HUD.
(D) Prohibition Against Lobbying Activities
Applicants for funding under this NOFA are subject to the
provisions of section 319 of the Department of Interior and Related
Agencies Appropriation Act for Fiscal Year 1991 (31 U.S.C. 1352) (the
Byrd Amendment) and to the provisions of the Lobbying Disclosure Act of
1995 (Pub. L. 104-65; approved December 19, 1995).
The Byrd Amendment, which is implemented in regulations at 24 CFR
part 87, prohibits applicants for federal contracts and grants from
using appropriated funds to attempt to influence federal executive or
legislative officers or employees in connection with obtaining such
assistance, or with its extension, continuation, renewal, amendment, or
modification. The Byrd Amendment applies to the funds that are the
subject of this NOFA. Therefore, applicants must file a certification
stating that they have not made and will
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not make any prohibited payments and, if any payments or agreement to
make payments of non-appropriated funds for these purposes have been
made, a form SF-LLL disclosing such payments must be submitted.
The Lobbying Disclosure Act of 1995 (Pub. L. 104-65; approved
December 19, 1995), which repealed section 112 of the HUD Reform Act,
requires all persons and entities who lobby covered executive or
legislative branch officials to register with the Secretary of the
Senate and the Clerk of the House of Representatives and file reports
concerning their lobbying activities.
(E) Accountability in the Provision of HUD Assistance
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (HUD Reform Act) and the regulations in 24 CFR part
4, subpart A contain a number of provisions that are designed to ensure
greater accountability and integrity in the provision of certain types
of assistance administered by HUD. On January 14, 1992 (57 FR 1942),
HUD published a notice that also provides information on the
implementation of section 102. HUD will comply with the documentation,
public access, and disclosure requirements of section 102 with regard
to the assistance awarded under this NOFA, as follows:
(1) Documentation and Public Access Requirements. 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. 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;
(2) Disclosures. HUD will make available for public inspection for
5 years all applicant disclosure reports (HUD Form 2880) submitted in
connection with this NOFA. Update reports (also reported on HUD 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; and
(3) Publication of Recipients of HUD Funding. HUD's regulations at
24 CFR part 4 provide that HUD will publish a Notice in the Federal
Register to notify the public of all decisions made by the Department
to provide:
(i) Assistance subject to section 1092(a) of the HUD Reform Act;
and/or
(ii) Assistance provided through grants or cooperative agreements
on a discretionary (non-formula, non-demand) basis, but that is not
provided on the basis of a competition.
(F) Applicant Debriefing
Beginning not less than 30 days after the awards for assistance are
announced in the Federal Register, and for at least 120 days after
awards for assistance are announced, HUD will provide any requesting
applicant with a debriefing on their application. All requests for
debriefing must be made by the principal investigator for the proposed
study or by the authorized official whose signature appears on the SF-
424 or his or her successor in office. Submit your request to Mr.
Patrick Tewey at (202) 702-1796, extension 4098. Information provided
during your debriefing will include, at a minimum, the final score you
received for each Rating Factor, final evaluator comments for each
Rating Factor, and the final assessment indicating the basis upon which
assistance was provided or denied.
(G) Section 103 HUD Reform Act
HUD will comply with section 103 of the Department of Housing and
Urban Development Reform Act of 1989 and HUD's implementing regulations
in subpart B of 24 CFR part 4 with regard to the funding competition
announced today. These requirements 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 limited by section 103 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 section 103 and subpart B of 24 CFR part 4.
Applicants or employees who have ethics related questions should
contact the HUD Ethics Law Division at (202) 708-3815. (This is not a
toll-free number.)
(H) Paperwork Reduction Act Statement
The information collection requirements in this NOFA have been
approved by OMB under the Paperwork Reduction Act of 1995 (44 U.S.C.
3501-3520). The OMB number is 2528-0227. Under the Paperwork Reduction
Act, 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.
(I) Catalog of Federal Domestic Assistance Numbers
The Federal Domestic Assistance number for this program is 14.506.
IX. Corrections to Deficient Applications
After the application due date, HUD may not, consistent with its
regulations in 24 CFR part 4, subpart B, consider any unsolicited
information you, the applicant, may want to provide. HUD may contact
you to clarify an item in your application or to correct technical
deficiencies. HUD may not seek clarification of items or responses that
improve the substantive quality of your response to any Rating Factors.
In order not to unreasonably exclude applications from being rated and
ranked, HUD may contact applicants to ensure proper completion of the
application and will do so on a uniform basis for all applicants.
Examples of curable (correctable) technical deficiencies include
failure to submit the proper certifications or failure to submit an
application that contains an original signature by an authorized
official. In each case, HUD will notify you in writing by describing
the clarification or technical deficiency. HUD will notify applicants
by facsimile or by USPS, return receipt requested. Clarifications or
corrections of technical deficiencies in accordance with the
information provided by HUD must be submitted within 14 calendar days
of the date of receipt of the HUD notification. (If the due date falls
on a Saturday, Sunday, or federal holiday, your correction must be
received by HUD on the next day that is not a Saturday, Sunday, or
federal holiday.) If the deficiency is not corrected within this time
period, HUD will reject the application as incomplete and it will not
be considered for funding.
X. Authority
These cooperative agreements are authorized under sections 501 and
502 of the Housing and Urban Development Act of 1970.
[[Page 14841]]
Dated: December 5, 2002.
Harold Bunce,
Deputy Assistant Secretary for Economic Affairs.
Appendix
Checklist and Submission Table of Contents; Research on the
Socioeconomic Change in Cities
The following checklist is provided to ensure you have submitted
all required items to receive consideration for funding. You must
assemble the application in the order shown below and note the
corresponding page number where the response is located. You must
include this checklist and submission table of contents with the
proposal.
page number
[ballot] Transmittal Letter (limited to one page)......... cover page
[ballot] Checklist and submission table of contents (i.e., __________
this page)...............................................
[ballot] Name of primary applicant and any sub-recipients, __________
with contact information for each........................
[ballot] Abstract (limited to two pages).................. __________
Project narrative (limited to 25 pages total)
[ballot] 1. Applicant and organizational qualifications... __________
[ballot] 2. The problem to be addressed................... __________
[ballot] 3. Technical study plan (study design, quality __________
assurance mechanisms, and project management plan........
[ballot] 4. Non-HUD resources to be applied (if any)...... __________
[ballot] 5. Statement on coordination, self-sufficiency, __________
and sustainability.......................................
[ballot] Discussion of desired HUD resources, if __________
applicable...............................................
[ballot] Conflict of interest disclosure.................. __________
[ballot] Attachments, appendices, bibliography, or other __________
relevant materials, if any (limited to 20 pages).........
[ballot] Resumes (limited to three pages per individual).. __________
[ballot] Indirect cost rate agreement, if available....... __________
[ballot] Application for Federal Assistance (Form HUD-424) __________
[ballot] Applicant Assurances and Certifications (Form HUD __________
424-B)...................................................
[ballot] Detailed Budget (Form HUD-424-CB)................ __________
[ballot] Detailed Budget Worksheet (Form HUD-424-CBW)..... __________
[ballot] Disclosure of Lobbying Activities, if required __________
(Standard Form LLL)......................................
[ballot] Disclosure/Update Report (Form HUD-2880)......... __________
[ballot] Acknowledgment of Application Receipt (Form HUD- __________
2993)....................................................
[ballot] Client Comments and Suggestions (Form HUD-2994) __________
Forms....................................................
Forms
Copies of required forms are attached. Instructions are included
where applicable.
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[FR Doc. 03-7277 Filed 3-25-03; 8:45 am]
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