[Federal Register Volume 59, Number 245 (Thursday, December 22, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-31419]


[[Page Unknown]]

[Federal Register: December 22, 1994]


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Part VI





Department of Housing and Urban Development





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Office of the Assistant Secretary for Policy Development and Research



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NOFA for Community Outreach Partnership Centers (COPC); Notice
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

Office of the Assistant Secretary for Policy Development and Research
[Docket No. N-94-3836; FR-3825-N-01]

 
NOFA for Community Outreach Partnership Centers (COPC)

AGENCY: Office of the Assistant Secretary for Policy Development and 
Research, HUD.

ACTION: Notice of Funding Availability (NOFA) for Fiscal Year 1995.

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SUMMARY: This NOFA announces the availability of $7.125 million to 
implement the second year of a demonstration program to make grants to 
public and private nonprofit institutions of higher education to assist 
in establishing or carrying out research and outreach activities 
addressing the problems of urban areas. These funds shall be used to 
establish and operate Community Outreach Partnership Centers (COPC).
    The NOFA contains information concerning:
    (1) The principal objectives of the competition, the funding 
available, eligible applicants and activities and factors for award;
    (2) The application process, including how to apply and how 
selections will be made; and
    (3) A checklist of application submission requirements.

DATES: Application kits may be requested on or after December 27, 1994.
    Applications must be physically received by the Office of 
University Partnerships, in care of the Division of Budget, Contracts, 
and Program Control, in Room 8230 by 4:30 p.m. Eastern Standard Time on 
[insert date that is 80 days after publication in the Federal 
Register].
    The above-stated application deadline is firm as to date, hour and 
place. In the interest of fairness to all competing applicants, the 
Department will treat as ineligible for consideration any application 
that is received after the deadline. 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.

ADDRESSES: To obtain a copy of the application kit, contact: HUD USER, 
ATTN: COPC, P.O. Box 6091, Rockville, Maryland 20850. Requests for 
application kits must be in writing, but requests may be faxed to: 301-
251-5747 (this is not a toll-free number). Requests for application 
kits must include the applicant's name, mailing address (including zip 
code), telephone number (including area code) and must refer to 
``Document FR-3825.''

FOR FURTHER INFORMATION CONTACT: Jane Karadbil, Office of University 
Partnerships in the Office of Policy Development and Research, 
Department of Housing and Urban Development, 451 Seventh Street, S.W., 
Room 8110, Washington, DC 20410. Telephone Number (202) 708-1537 voice; 
(202) 708-1455 (TDD). (These are not toll-free numbers.)

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act Statement

    The information collection requirements contained in this notice 
have been approved by the Office of Management and Budget (OMB) under 
section 3504(h) of the Paperwork Reduction Act of 1980 (44 U.S.C. 3501-
3520), and assigned OMB control number 2535-0084.

I. Purpose and Substantive Description

A. Authority

    This competition is authorized under the Community Outreach 
Partnership Act of 1992 (42 U.S.C. 5307 note; hereafter referred to as 
the ``COPC Act''). The COPC Act is contained in section 851 of the 
Housing and Community Development Act of 1992 (P.L. 102-550, approved 
October 28, 1992) (HCD Act of 1992). Section 801(c) of the HCD Act of 
1992 authorizes $7.5 million for each year of the 5-year demonstration 
to create Community outreach Partnership Centers as authorized in the 
COPC Act. The Act also required HUD to establish a national 
clearinghouse to disseminate information about the program.
    The Community Outreach Partnership Centers program was transferred 
to the Office of Policy Development and Research on August 15, 1994, as 
part of the Departmental reorganization which created the Office of 
University Partnerships. This new Office is responsible for four of the 
Department's grant programs for institutions of higher education--
Community Outreach Partnership Centers program, Joint Community 
Development program, Community Development Work Study program, and the 
Doctoral Dissertation Grant program. In addition, the Office is 
responsible for a variety of new outreach initiatives to involve these 
institutions in local community development and revitalization 
partnerships.

B. Allocation and Form of Award

    The competition in this NOFA is for $7.125 million to fund the 
second year of the Community Outreach Partnership Centers (COPC) 
Program authorized as indicated above. HUD has made $7.5 million 
available for the program for FY 1995. $210,000 has been taken off the 
top to correct a mathematical error in the funding of one of last 
year's grantees and $165,000 has been taken off the top to fund the 
clearinghouse in FY 1995. Thus, $7.125 million is available under this 
NOFA.
    Each grant made under the COPC program will be for a maximum two 
year period of performance. The maximum size of any grant will be 
$750,000, while the minimum will be $250,000. HUD has the authority to 
reduce the grant amount. Several applications were disqualified last 
year because they exceeded the maximum amount. Each applicant must 
submit an application within this range. Institutions of higher 
education which received COPC grants in FY 1994 are not eligible to 
receive another COPC grant under this funding round.

C. Description of Competition

    The Congress has mandated that the Department carry out ``a 5-year 
demonstration to determine the feasibility of facilitating partnerships 
between institutions of higher education and communities to solve urban 
problems through research, outreach and the exchange of information.''
    The COPC Act stipulates that grants are to go to public and private 
institutions of higher education to establish and operate Community 
Outreach Partnership Centers (COPC). These COPCs shall: ``(A) Conduct 
competent and qualified research and investigation on theoretical or 
practical problems in large and small cities; and (B) Facilitate 
partnerships and outreach activities between institutions of higher 
education, local communities, and local governments to address urban 
problems.''
    The specific problems that grants under the COPC program must focus 
on are ``problems associated with housing, economic development, 
neighborhood revitalization, infrastructure, health care, job training, 
education, crime prevention, planning, community organizing, and other 
areas deemed appropriate by the Secretary.''
    Furthermore, the COPC Act states: ``The Secretary shall give 
preference to institutions of higher education that undertake research 
and outreach activities by bringing together knowledge and expertise in 
the various disciplines that relate to urban problems.''
    Local COPC programs must combine research with outreach, work with 
communities and local governments and address the multi-dimensional 
problems that beset urban areas. The Department is mindful that, for 
some institutions, such a comprehensive approach may be beyond the 
current capacity of the institution. Because HUD is interested in 
funding as wide a range of eligible institutions as possible, it is 
making a change in the focus of the program. This year applications do 
not have to be comprehensive in their approach to local problems. 
However, while single purpose applications (e.g., assisting the 
homeless, small business development) will not be eligible, a less than 
comprehensive scope, addressing three or more urban problems will be 
acceptable (see Selection Factor #1 for the comprehensive list of urban 
problems that the program can cover).
    To be most effective during the term of the demonstration, the 
assisted research must have a clear near-term potential for solving 
specific, significant urban problems. The selected institutions must 
have the capacity to apply their research results and to work with 
communities and local institutions, including neighborhood groups, in 
applying these results to specific real-life urban problems.

D. Eligible Applicants

    Applicants for this competition must be public or private nonprofit 
institutions of higher education granting four year degrees and 
accredited by a national or regional accrediting agency recognized by 
the Department of Education. Consortia of institutions are eligible to 
apply. The Department is interested in expanding the outreach capacity 
of not only colleges and universities but also junior, technical, and 
community colleges. While some four-year colleges will want to apply 
directly for a COPC, others may not feel they have the credentials or 
the capacity to operate a COPC. Two-year colleges by themselves are not 
eligible, but they can apply with a school offering a four-year 
program. But both four-year and two-year colleges by themselves have 
strengths they could bring to a COPC. Thus, a selection factor has been 
added to encourage the creation of such consortia. If the application 
is submitted on behalf of a consortium of institutions, one institution 
must be designated as the legal applicant. Each institution may be part 
of only one consortium or submit only one application, although the 
application can include various schools within the institution.
    While the program focuses on ``urban'' problems, applicants do not 
have to be located in or assist urban areas.

E. Program Requirements

    Grantees must meet the following program requirements:
    1. Responsibilities. In accordance with section 851(h) of the HCD 
Act of 1992, each COPC shall:
    ``(a) Employ the research and outreach resources of its sponsoring 
institution of higher education to solve specific urban problems 
identified by communities served by the Center;
    (b) Establish outreach activities in areas identified in the grant 
application as the communities to be served;
    (c) Establish a community advisory committee comprised of 
representatives of local institutions and residents of the communities 
to be served to assist in identifying local needs and advise on the 
development and implementation of strategies to address those issues;
    (d) Coordinate outreach activities in communities to be served by 
the Center;
    (e) Facilitate public service projects in the communities served by 
the Center;
    (f) Act as a clearinghouse for dissemination of information;
    (g) Develop instructional programs, convene conferences, and 
provide training for local community leaders, when appropriate; and
    (h) Exchange information with other Centers.''
    The clearinghouse function in (f) above refers to a local or 
regional clearinghouse for dissemination of information and is separate 
and distinct from the functions in (h) above, which relate to the 
provision of information to the National Clearinghouse which, as 
mentioned in section I.A. above will serve all funded COPCs.
    2. Match. Grantees must meet the following match requirements:
    (a) Research Activities. 50 percent of the total project costs of 
establishing and operating research activities.
    (b) Outreach Activities. 25 percent of the total project costs of 
establishing and operating outreach activities.
    This non-Federal share may include cash or the value of non-cash 
contributions, equipment and other allowable in-kind contributions as 
detailed in Attachment E of OMB Circular No. A-110, Grants and 
Agreements with Institutions of Higher Education, Hospitals, and other 
Nonprofit organizations.
    Because there was confusion last year about the calculation of the 
match, an example is provided.
    Assume that the total project cost for a COPC was $1 million, with 
$250,000 for research and $750,000 for outreach. Note that this project 
meets the requirement that no more than 25 percent of the total project 
costs be for research. The total amount of the match required to be 
provided would be $312,500. The research match would be $125,000 
($250,000 X 50 percent) and the outreach match would be $187,500 
($750,000 X 25 percent). The Federal grant requested would be $687,500 
($1 million minus the match of $312,500). In calculating the match, 
administrative costs should be applied to the appropriate attributable 
outreach or research component.
    3. Administrative. The grant will be governed by the provision of 
OMB Circulars A-110 (Grants and Agreements with Institutions of Higher 
Education, Hospitals and other Nonprofit Organizations), A-122 (Cost 
Principles for Nonprofit Organizations), and A-133 (Audits of 
Institutions of Higher Education and other Nonprofit Institutions), as 
implemented at 24 CFR part 45.

 F. Eligible Activities

    Eligible activities include:
    1. Research activities which have practical application for solving 
specific problems in designated communities and neighborhoods. Such 
activities may not total more than one-quarter of the total project 
costs contained in any grant made under this NOFA (including the 
required 50 percent match).
    2. Outreach, technical assistance and information exchange 
activities which are designed to address specific problems in 
designated communities and neighborhoods. Such activities must total no 
less than three-quarters of the total project costs contained in any 
grant made under this NOFA (including the required 25 percent match).
    Examples of outreach activities include, but are not limited to:
    (a) Job training and other training projects, such as workshops, 
seminars and one-on-one and on-the-job training;
    (b) Design of community strategies to resolve urban problems of 
communities and neighborhoods;
    (c) Innovative use of funds to provide direct technical expertise 
and assistance to local community groups and residents to help them 
resolve local problems such as homelessness and housing discrimination;
    (d) Assistance in business start-up activities for low-and 
moderate-income individuals and organizations, including business 
start-up training and technical expertise and assistance, mentor 
programs, assistance in developing small loan funds, business 
incubators, etc; and
    (e) Assistance to communities to improve consolidated housing and 
community development plans and remove impediments to design and 
implementation of such plans.
    3. Funds for faculty development including paying for course time 
or summer support to enable faculty members to work on the COPC.
    4. Funds for stipends for students (which can not cover tuition and 
fees) when they are working on the COPC.
    5. Activities to carry out the ``Responsibilities'' listed under 
Section I.E.1.

G. Ineligible Activities

    Ineligible activities are:
    1. Research activities which have no clear and immediate practical 
application for solving urban problems or do not address specific 
problems in designated communities and neighborhoods.
    2. Any type of construction, rehabilitation, or other physical 
development costs.
    3. Costs used for day-to-day administration of regular programs of 
institutions of higher education, local governments or neighborhood 
groups.

II. Selection Criteria/Rating Factors

A. Rating Factors

    As a result of a year of experience under the program, the 
Department has decided to streamline and revise the selection criteria. 
Changes are noted in the discussion of specific factors. HUD will use 
the following criteria to rate and rank applications received in 
response to this NOFA. The factors and maximum points for each factor 
are provided below. The maximum number of points is 100.
    Rating of the ``applicant'' or the ``applicant's organization and 
staff'', unless otherwise specified, will include any sub-contractors, 
consultants and sub-recipients which are firmly committed to the 
project.
    (1) (10 points) The demonstrated research and outreach resources 
available to the applicant for carrying out the purposes of the COPC 
Act. In rating this factor, HUD will consider the extent to which the 
applicant's organization and staff have recent, relevant and successful 
experience in:
    (a) Undertaking research activities in specific communities which 
have clear near-term potential for practical application to significant 
urban problems associated with housing, economic development, 
neighborhood revitalization, infrastructure, health care, job training, 
education, crime prevention, planning and community organizing, and
    (b) Undertaking outreach activities in specific communities to 
solve or ameliorate the impact of significant urban problems. Under 
this factor, HUD will also evaluate the capability of the applicant to 
provide leadership in solving community problems and in making national 
contributions to solving long-term and immediate urban problems. In the 
FY 1994 competition, research and outreach resources and local and 
national prominence were three separate selection factors.
    (2) (10 points) The demonstrated commitment of the applicant to 
supporting research and outreach programs by providing matching 
contributions for the Federal assistance received. In rating this 
factor, HUD will provide an increasing number of points for increasing 
amounts of contributions beyond the statutory 50 percent for research 
and 25 percent for outreach. Maximum points will be awarded for 
applications that secure 50 percent more than the amount of match 
required. Points will also be awarded based on the tangibility of the 
match, with cash and services being rated higher than indirect 
contributions.
    (3) (10 points) The extent of need in the communities to be served 
by the applicant. HUD will consider the extent to which the proposal 
clearly delineates a need or needs in the specific communities or 
neighborhoods (including colonias, where appropriate), that can be 
resolved through the activities of a COPC. The applicant must 
demonstrate how these needs were determined and how the COPC will help 
resolve these needs.
    (4) (10 points) The demonstrated ability of the applicant to 
disseminate results of research and successful strategies developed 
through outreach activities to other COPC and communities served 
through this demonstration program. In rating this factor, HUD will 
evaluate the past experience of the applicant's staff and the scope and 
the quality of the applicant's proposal to disseminate information on 
its own and other COPC research results and strategies to: (a) local 
communities in its area and (b) other communities and COPC through the 
National Clearinghouse.
    (5) (35 points) The projects and activities that the applicant 
proposes to carry out under the grant. This factor has two sub-factors: 
(a) effectiveness of the research strategy (10 points), and (b) 
effectiveness of the outreach strategy (25 points).
    (a) In rating the effectiveness of the research strategy, HUD will 
consider the extent to which the applicant's proposal outlines a clear 
research agenda related to local needs that can be successfully carried 
out within the period of this grant; and
    (b) Demonstrates how the research to be undertaken will fit into 
the outreach strategy and activities. In rating the effectiveness of 
the outreach factor, HUD will consider the extent to which:
    (i) The application identifies a clear outreach agenda related to 
locally-identified needs that can be successfully carried out within 
the period of this grant;
    (ii) The outreach agenda includes design of a community strategy to 
resolve community and neighborhood problems; and
    (iii) The outreach program provides for on-site or a frequent 
presence in the communities and neighborhoods to be assisted through 
outreach activities.
    (6) (10 points) The extent of neighborhood and neighborhood based 
organization participation in the planning and implementation of the 
COPC. In rating this factor, HUD will consider whether:
    (a) One or more effective community advisory committees comprised 
of representatives of local institutions and a balance of racial/
ethnic, gender and income mix of residents of the communities (and, 
where appropriate, colonias) to be served has been or will be formed to 
participate in identifying local needs to be addressed by the COPC and 
to form a partnership with the COPC to develop and implement strategies 
to address those needs;
    (b) There is a plan for involving the community advisory 
committee(s) in the execution of the research and outreach agenda; and
    (c) The outreach agenda includes training projects for local 
community leaders, when appropriate.
    (7) (5 points) The application is submitted by a consortium 
composed of a variety of different kinds of post-secondary 
institutions. Maximum points will be awarded to consortia composed of 
universities, colleges and junior, technical or community colleges.
    (8) (10 points) The overall concept and organization of the 
application. In rating this factor, HUD will consider:
    (a) The interrelatedness of the components of the application, such 
as the relationship of the research capacity to dissemination and 
outreach activities; and
    (b) The likelihood that the project can be initiated and completed 
within the two year grant period, as measured by such elements as 
sufficient staff, realistic schedules, the quality of supervision and 
project management, and the likelihood that other related commitments 
essential to the project will be in place.

B. Selection Process

    Applications for funding under this NOFA will be evaluated 
competitively and points will be awarded as specified in the Rating 
Factors section described above. Applications will be reviewed by a 
combination of external peers and internal reviewers. After assigning 
points based upon the factors all applications will be listed in rank 
order. Applications will then be funded in rank order until all 
available funds have been expended. However, in order to be funded, an 
applicant must receive a minimum score of 70. HUD reserves the right to 
fund all or portions of the proposed activities identified in each 
application, based upon the eligibility of the proposed activities.
    If two or more applications have the same number of points, the 
application with the most points for rating factor (6) shall be 
selected. If there is still a tie, the application with the most points 
for rating factor (7) shall be selected.
    If the amount of funds remaining after funding as many of the 
highest ranking applications as possible is insufficient for the next 
highest ranking application, HUD shall determine (based upon the 
proposed activities) if it is feasible to fund part of the application 
and offer a smaller grant to the applicant. If HUD determines that 
given the proposed activities a smaller grant amount would make the 
activities infeasible, or if the applicant turns down the reduced grant 
amount, HUD shall make the same determination for the next highest 
ranking application until all applications with scores of at least 70 
points or available funds have been exhausted.
    If HUD receives an insufficient number of applications to exhaust 
all funds, or if funds remain after HUD approves all approvable 
applications, HUD may negotiate increased amounts of grant awards up to 
an additional $250,000. Increased grants will be offered in rank order 
to applicants with scores of at least 70 points.

C. Geographic Distribution

    HUD reserves the right to make selections out of rank order to 
provide for a geographic distribution of funded COPCs. The geographic 
balance that HUD will use, if it decides to implement this option, will 
be based on a combination of two adjacent standard HUD regions (e.g., 
Southwest and Southeast Regions, Great Plains and Midwest Regions, 
etc.). If the rank order does not yield at least one fundable COPC 
within each two region combination, then HUD may select the highest 
ranking application from such a combination, as long as the minimum 
score of 70 is achieved.
    It is HUD's intent to fund at least one COPC that serves the 
colonias, as defined by Section 916(d) of the Cranston-Gonzalez 
National Affordable Housing Act, as long as the applicant receives a 
minimum score of 70.

III. Application Process

A. Obtaining Applications

    To obtain a copy of the application kit, contact: HUD USER, ATTN: 
COPC, P.O. Box 6091, Rockville, Maryland 20850. Requests for 
application kits must be in writing, but requests may be faxed to: 301-
251-5747 (this is not a toll-free number). Requests for application 
kits must include the applicant's name, mailing address (including zip 
code), telephone number (including area code) and must refer to 
``Document FR-3825.'' HUD strongly recommends the use of the fax 
transmission option to promote accuracy and expedite HUD response time.

B. Application Deadline

    To be considered for funding, the application package must be 
physically received by the Office of University Partnerships, Office of 
Policy Development and Research, Department of Housing and Urban 
Development, in care of the Division of Budget, Contracts, and Program 
Control, Room 8230, 451 Seventh Street, SW., Washington, DC 20410 by 
4:30 p.m. Eastern Standard Time on February 15, 1995. The application 
deadline is firm as to date, hour and place. In the interest of 
fairness to all competing applicants, the Department will treat as 
ineligible for consideration any application that is received after the 
deadline. 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.

IV. Checklist of Application Submission Requirements

A. Application Content

    The application kit contains instructions which must be followed in 
submitting an application. The following is a checklist of the 
application contents that will be specified in the Request for Grant 
Applications (the technical term for the application kit):
    (1) Transmittal letter signed by the Chief Executive Officer of the 
institution;
    (2) OMB Standard Form 424 (Application for Federal Assistance), 
Form 424B (Non-Construction Assurances) and Budget Summary;
    (3) Executive summary of the proposed COPC;
    (4) Statement of Work (no more than 15 pages) which must 
incorporate all eligible activities proposed in the application and 
detail how the proposed work will be accomplished. Following a task-by-
task format, the Statement of Work must:
    (a) Delineate the tasks and sub-tasks involved in each of the areas 
for which the COPC is responsible, including research activities, 
outreach/technical assistance activities, community advisory committee 
activities, local/regional clearinghouse activities, and other 
activities necessary to carry out the responsibilities delineated under 
Program Requirement #1, Responsibilities, outlined above.
    (b) Indicate the sequence in which the tasks are to be performed, 
noting areas of work which must be performed simultaneously.
    (c) State the intermediate and end products to be developed by task 
and sub-task.
    (d) Provide a framework for, and be consistent with, the Project 
Management Work Plan requirements.
    (5) Narrative summary of Project Management Work Plan.
    (6) Narrative statement addressing each of the rating factors in 
Section II of this NOFA.

B. Certifications and Exhibits

    Applications must also include the following:
    (1) Drug-Free Workplace Certification.
    (2) Form SF-LLL, Disclosure of Lobbying Activities, if applicable.
    (3) Form HUD-2280, Applicant/Recipient Disclosure/Update Report.

V. Corrections to Deficient Applications

    After the submission deadline date, HUD will screen each 
application to determine whether it is complete. If an application 
lacks certain technical items or contains a technical error, such as an 
incorrect signatory, HUD will notify the applicant in writing that it 
has 14 calendar days from the date of HUD's written notification to 
cure the technical deficiency. If the applicant fails to submit the 
missing material within the 14-day cure period, HUD will disqualify the 
application.
    This 14-day cure period applies only to non-substantive 
deficiencies or errors. Any deficiency capable of cure will involve 
only items not necessary for HUD to assess the merits of an application 
against the factors specified in this NOFA.

VI. Other Matters

Environmental Review

    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 in this document relate only to the 
provision of research, training and technical assistance which do not 
result in physical change and therefore are categorically excluded from 
the requirements of the National Environmental Policy Act.

Federalism Impact

    The General Counsel, as the Designated Official under section 6(a) 
of Executive Order 12612, Federalism, has determined that the policies 
and procedures contained in this notice will not have substantial 
direct effects on States or their political subdivisions, or 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. Specifically, the notice solicits participation in an effort to 
provide assistance to institutions of higher education for establishing 
and carrying out research and outreach activities addressing the 
problems of urban areas. The COPCs established under this notice will 
work with local communities to help resolve urban problems. The notice 
does not impinge upon the relationships between the Federal government 
and State or local governments.

Impact on the Family

    The General Counsel, as the Designated Official under Executive 
Order 12606, The Family, has determined that this notice will likely 
have a beneficial impact on family formation, maintenance, and general 
well-being. The assistance to be provided by the funding under this 
NOFA is expected to help local residents to become self-sufficient by 
improving living conditions and standards. Accordingly, since the 
impact on the family is beneficial, no further review is considered 
necessary.

Documentation and Public Access Requirements: 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 requirements.)

Prohibition Against Advance Information on Funding Decisions

    HUD's regulation implementing section 103 of the HUD Reform Act is 
codified at 24 CFR part 4, and applies to this funding competition. The 
requirements of the rule continue to apply until the announcement of 
the selection of successful applicants.
    HUD employees involved in the review of applications and in the 
making of funding decisions are restrained by part 4 from providing 
advance information to any person (other than an authorized employee of 
HUD) concerning funding decisions, or from otherwise giving any 
applicant an unfair competitive advantage. Persons 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. (This is not a toll-free number.) The Office of 
Ethics can provide information of a general nature to HUD employees, as 
well. However, a HUD employee who has specific program questions, such 
as whether particular subject matter can be discussed with persons 
outside the Department, should contact his or her Field counsel, or 
Headquarters counsel for the program to which the question pertains.

Prohibition Against Lobbying of HUD Personnel

    Section 13 of the Department of Housing and Urban Development Act 
(42 U.S.C. 3537b) 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.
    The rule implementing section is codified at 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 the regulation.
    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 TDD: (202) 708-1112. These are not toll-free numbers. Forms 
necessary for compliance with the rule may be obtained from the local 
HUD office.

Prohibition Against Lobbying Activities

    The use of funds awarded under this NOFA is subject to the 
disclosure requirements and prohibitions of Section 319 of the 
Department of Interior and Related Agencies Appropriations Act for 
Fiscal Year 1990 (31 U.S.C. 1352) and the implementing regulations at 
24 CFR part 87. These authorities prohibit recipients of federal 
contracts, grants, or loans from using appropriated funds for lobbying 
the Executive or Legislative Branches of the Federal Government in 
connection with a specific contract, grant, or loan. The prohibition 
also covers the awarding of contracts, grants, cooperative agreements, 
or loans unless the recipient has made an acceptable certification 
regarding lobbying. Under 24 CFR part 87, applicants, recipients, and 
subrecipients of assistance exceeding $100,000 must certify that no 
federal funds have been or will be spent on lobbying activities in 
connection with the assistance.

Protection of Human Subjects

    45 CFR, part 46, Subtitle A on the protection of human subjects 
does not apply to the COPC program because the research activities to 
be conducted under the program are only incidentally regulated by the 
Department solely as part of it's broader responsibility to regulate 
certain types of activities whether research or non-research in nature.

    Authority: 42 U.S.C. 5307 note.

    Dated: December 5, 1994.
Michael A. Stegman,
Assistant Secretary for Policy Development and Research.
[FR Doc. 94-31419 Filed 12-21-94; 8:45 am]
BILLING CODE 4210-62-P