[Federal Register Volume 68, Number 58 (Wednesday, March 26, 2003)]
[Notices]
[Pages 14834-14866]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-7277]



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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

  Federal Register / Vol. 68, No. 58 / Wednesday, March 26, 2003 / 
Notices  

[[Page 14834]]


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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,

[[Page 14835]]

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.

[[Page 14838]]

    (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 
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

[[Page 14840]]

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]
BILLING CODE 4210-62-C