[Federal Register Volume 68, Number 197 (Friday, October 10, 2003)]
[Notices]
[Pages 58868-58891]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-25678]



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Part V





Department of Housing and Urban Development





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Notice of Funding Availability (NOFA) for the HUD Urban Scholars 
Fellowship Program; Notice

  Federal Register / Vol. 68, No. 197 / Friday, October 10, 2003 / 
Notices  

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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4859-N-01]


Notice of Funding Availability (NOFA) for the HUD Urban Scholars 
Fellowship Program

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

ACTION: Notice of Funding Availability (NOFA).

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SUMMARY: Purpose of the Program. To provide encouragement to new 
scholars to undertake research now, and throughout their careers, on 
topics of interest to HUD.
    Available Funds. Approximately $550,000 from the Fiscal Year (FY) 
2003 Consolidated Appropriations Resolution, Division K, has been set 
aside to fund grants under this NOFA.
    Eligible Applicants: Ph.D. recipients who have an academic 
appointment at an institution of higher education and have received 
their Ph.D. degrees no earlier than January 1, 1998.

Application Deadline. December 17, 2003.

    Match. University support in terms of course load reductions, 
indirect costs waived, space, etc. is required.

Additional Information

I. Application Due Date

    Your completed application must be received on or before December 
17, 2003, based on the following submission requirements.
    Address for Submitting Applications. Your completed application 
consists of an original signed application and one copy. Submit your 
completed application to the following address: The Fellowship Office/
HUD GR 346A, National Research Council, 500 Fifth Street, NW., 
Washington, DC 20001-2736. Only one application per applicant will be 
accepted.
    For Further Information and Technical Assistance. You may contact 
the National Research Council (NRC) by telephone: (202) 334-2872; fax: 
(202) 334-3419 (these are not toll-free numbers); or email: 
[email protected].

II. Amount Allocated

    Approximately $550,000 made available from the FY 2003 Consolidated 
Appropriations Resolution (Pub. L. 108-7; approved February 20, 2003), 
Division K, for the Research and Technology Program, Office of Policy 
Development and Research, has been set aside to fund grants under this 
program NOFA.
    The maximum grant period is 15 months. The tenure will commence on 
the effective date of the grant agreement.
    The maximum amount to be requested by and awarded to an applicant 
is $55,000. HUD reserves the right to make awards for less than the 
maximum amount or less than the amount requested in your application.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. The purposes of the HUD Urban Scholars 
Program are to:
    (1) Fund research relevant to HUD priorities and issues in the 
United States and its possessions;
    (2) Provide encouragement to new scholars to undertake research 
now, and throughout their careers, on topics of interest to HUD; and
    (3) Make an impact on the academic context in which these scholars 
work so that this kind of research becomes highly valued. The research 
priorities for the HUD Urban Scholars Program are designed to inform 
federal problem-solving and policy-making relating to HUD's Strategic 
Goals.
    (B) HUD's Strategic Goals. HUD's Strategic Goals are to:
    (1) Increase Homeownership Opportunities. This strategic goal seeks 
to increase homeownership opportunities, particularly for minorities; 
make the home buying process easier and less expensive; fight practices 
that permit predatory lending; help HUD-assisted renters become 
homeowners; and keep existing homeowners from losing their homes.
    (2) Promote Decent Affordable Housing. This strategic goal seeks to 
expand access to decent affordable rental housing; improve the physical 
quality and management accountability of public and assisted housing; 
increase housing opportunities for the elderly and persons with 
disabilities; and help HUD-assisted renters achieve progress toward 
self-sufficiency.
    (3) Strengthen Communities. This strategic goal seeks to improve 
economic conditions in distressed communities; make communities more 
livable; end chronic homelessness; and mitigate housing conditions that 
threaten health.
    (4) Ensure Equal Opportunity in Housing. HUD's Equal Opportunity in 
Housing strategic goal seeks to resolve discrimination complaints on a 
timely basis; promote public awareness of Fair Housing Laws; and 
improve housing accessibility for persons with disabilities.
    (5) Embrace High Standards of Ethics, Management, and 
Accountability. Through this strategic goal HUD is seeking to rebuild 
HUD's human capital and further diversify its workforce; improve HUD's 
management, internal controls and systems, and resolve audit issues; 
improve accountability, service delivery, and customer service of HUD 
and its partners; and ensure program compliance.
    (6) Promote Participation of Grass-Roots Faith-Based and Other 
Community-Based Organizations. Through this strategic goal, HUD seeks 
to reduce regulatory barriers to participation by grass-roots faith-
based and other community-based organizations; conduct outreach to 
inform potential partners of HUD opportunities; expand technical 
assistance resources deployed to grass-roots faith-based and other 
community-based organizations; and encourage partnerships between 
grass-roots faith-based and other community-based organizations and 
HUD's traditional grantees.
    HUD, through its Secretarial Policy Priorities, also encourages 
applicants to undertake specific activities that will assist the 
Department in implementing its policy priorities and which will help 
the Department achieve its Strategic Goals for FY 2004, when the 
majority of funding recipients will be reporting programmatic results 
and achievements. Applicants who include research work that address 
these policy priorities will receive higher rating scores than 
applicants who do not address these policy priorities. HUD's 
Secretarial Policy Priorities are:
    (1) Providing Increased Homeownership and Rental Opportunities for 
Low- and Moderate-Income Persons with Disabilities, the Elderly, 
Minorities, and Families with Limited English Proficiency. Too often 
these individuals are shut out of the housing market through no fault 
of their own. Many of these families are anxious to have a home of 
their own or better or more affordable rental housing, but are not 
aware of programs and assistance available.
    (2) Improving Our Nation's Communities. HUD wants to improve the 
quality of life for those living in distressed communities by bringing 
capital to these areas to finance business investments to grow new 
businesses; maintain and expand existing businesses; create a pool of 
funds for new small or minority-owned businesses; improve the 
environmental health and safety of families living in public and 
privately owned housing; and make communities more livable by providing 
public and social services and

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improving infrastructure and community facilities.
    (3) Encouraging Accessible Design Features. These design features 
are intended to promote visitability and incorporate features of 
universal design in new construction and rehabilitation projects. For 
more information on visitability visit http://www.concretechange.org. 
For more information on universal design, visit the Center for 
Universal Design at http://www.design.ncsu.edu:8120/cud/ or the 
Resource Center on Accessible Housing and Universal Design at http://www.abledata.com/Site_2/accessib.htm.
    (4) Providing Full and Equal Access to Grass-Roots Faith-Based and 
Other Community-Based Organizations in HUD Program Implementation. HUD 
encourages non-profit organizations, including grass-roots faith-based 
and other community-based organizations, to participate in the vast 
array of programs HUD funds. HUD also encourages states and units of 
local government, universities and colleges, and other organizations to 
partner with grass-roots organizations e.g. civic organizations, faith-
communities, and grass-roots faith-based and other community-based 
organizations that have not been effectively utilized. HUD considers an 
organization to be a grass-roots organization if the organization is 
headquartered in the local community to which it provides services and 
has a social services budget of $300,000 or less, or has six or fewer 
full-time equivalent employees. Local affiliates of national 
organizations are not considered grass-roots. National organizations 
are encouraged to partner with grass-roots organizations.
    (5) Colonias. HUD is seeking to improve housing conditions for 
families living in Colonias. Colonias means any identifiable, rural 
community that: is located within 150 miles of the border between the 
United States and Mexico; is determined to be a Colonia on the basis of 
objective need criteria including lack of potable water supply, lack of 
adequate sewerage systems, and lack of decent, safe, sanitary, and 
accessible housing.
    (6) Participation of Minority-Serving Institutions in HUD Programs. 
Pursuant to Executive Orders 13256 President's Board of Advisors on 
Historically Black Colleges and Universities, 13230 President's 
Advisory Commission on Educational Excellence for Hispanic Americans, 
13216 Increasing Participation of Asian Americans and Pacific Islanders 
in Federal Programs, and 13270 Tribal Colleges and Universities, HUD is 
strongly committed to broadening the participation of Minority-Serving 
Institutions (MSI) in its programs to advance the development of human 
potential, strengthen the nation's capacity to provide high-quality 
education, and increase opportunities for MSI to participate and 
benefit from federal financial assistance programs. A listing of MSI 
can be found on the Department of Education website at http://www.ed.gov/offices/OCR/minorityinst.html.
    (7) Participation in Energy Star. HUD has adopted a wide-ranging 
energy action plan for improving energy efficiency in all programs. The 
purpose of HUD's Energy Star Partnership with Environmental Protection 
Agency (EPA) and the Department of Energy (DoE) is to promote energy 
efficiency of the affordable housing stock and to help protect the 
environment. HUD also urges the purchase and use of Energy Star 
products and providing Energy Star promotional materials. For more 
information about Energy Star visit http://www.energystar.gov.
    (8) Ending Chronic Homelessness Within Ten Years. President Bush 
has set a national goal to end chronic homelessness within ten years, 
and this has been embraced by Secretary Martinez. A person experiencing 
chronic homelessness is defined as an individual with a disabling 
condition who has been continuously homeless for a year or more or has 
experienced four or more episodes of homelessness over the last three 
years.
    (C) Research Topics. Examples of research topics that will further 
HUD's Strategic Goals and Policy Priorities related to these goals are:
    (1) Increasing Homeownership.
    (a) Increasing minority homeownership.
    (b) Simplifying the home buying process (RESPA reform) and reducing 
settlement costs.
    (c) Setting appropriate housing goals for the Government Sponsored 
Enterprises (GSE).
    (d) Countering Predatory Lending.
    (e) Helping low-income homeowners avoid default and foreclosure.
    (f) Evaluating housing counseling.
    (2) Improving Our Nation's Communities.
    (a) Strengthening the economic viability of communities.
    (b) Improving the environmental health and safety of families 
living in public and privately owned housing.
    (c ) Making communities more livable.
    (d) Providing increased public and social services.
    (e) Improving infrastructure and community facilities.
    (3) Encouraging Accessible Design Features and Promoting Decent 
Affordable Housing.
    (a) Reducing regulatory barriers to the development of affordable 
housing, as well as all forms of multifamily housing.
    (b) Meeting the housing-related needs of the elderly.
    (c) Meeting the housing-related needs of persons with disabilities.
    (d) Meeting the housing-related needs of families with limited 
English proficiency.
    (e) Improving housing quality and affordability through technology 
and design.
    (f) Ensuring visitability in new construction and substantial 
rehabilitation.
    (g) Increasing use of universal design in construction and 
rehabilitation projects.
    (4) Providing full and equal access and participation to Grass-
Roots Faith-Based and other Community-Based Organizations and 
Strengthening the Capacity of Grass-Roots Faith-Based and Other 
Community-Based Organizations to conduct community, housing, and 
economic development programs.
    (5) Meeting and Improving the Housing and Community and Economic 
Development Needs of Residents of High-Needs areas such as Colonias, 
Appalachia, the Mississippi Delta, and Tribal Areas.
    (6) Increasing Participation of Minority-Serving Institutions in 
HUD Programs.
    (7) Increasing Participation in Energy Star.
    (8) Ending Chronic Homelessness in Less than Ten Years.
    (a) Preventing homelessness.
    (b) Developing creative strategies for expanding the availability 
of affordable housing.
    (c) Strengthening the delivery of HUD-funded rental assistance and 
assistance provided through the low-income housing tax credit
    (d) Promoting Self-Sufficiency among residents of public and 
assisted housing.
    (9) Ensuring Equal Opportunity in Housing.
    (a) Reducing housing discrimination.
    (b) Improving housing accessibility for persons with disabilities.
    (10) Embracing High Standards of Ethics, Management, and 
Accountability.
    (a) Reducing fraud, waste, and abuse in HUD-funded programs.
    (b) Improving the effectiveness of HUD programs through program 
evaluations.
    (D) Eligible Applicants. You must meet the following conditions:
    (1) Have an academic appointment at an institution of higher 
education and

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be on a tenure track or term (teaching or research) appointment that 
will extend beyond the 15-month duration of this fellowship;
    (2) Have been awarded a Ph.D. received no earlier than January 1, 
1998;
    (3) Proposed a research project that can be completed within the 
15-month fellowship period;
    (4) Received support from your institution as attested to in the 
letter described below in Section V(C)(2)(c); and
    (5) Be a U.S. citizen or legally admitted permanent resident (green 
card recipient).
    (E) Eligible Activities. Your grant must support costs related to 
completion of your research project. Eligible costs include, but are 
not limited to, your salary for two summers; graduate assistants to 
work on the project; up to $2,500 per course for the purchasing of your 
release time from teaching; computer software; survey development and 
administration; the purchase of data; travel expenses to collect data 
or to make presentations at meetings on your findings; transcription 
services; compensation for interviews; and no more than eight percent 
of the university's indirect costs.

IV. Application Selection Process

    The National Research Council (NRC) will administer the competition 
and selection process for this program on HUD's behalf. The NRC will 
conduct two types of reviews: A threshold review to determine your 
eligibility to apply; and a technical review to rate your application 
based on the rating factors in this section.
    (A) Threshold Factors for Funding Consideration. Under the 
threshold review, your application can only be rated if the following 
standards are met:
    (1) You are eligible to apply for this program, as defined in 
Section III (D) above, and have provided a letter from your department 
chair confirming your eligibility;
    (2) You have obtained a mentor and have included a letter from this 
person confirming this fact and describing his or her role in your 
research; and
    (3) Your institution has agreed to provide some support to you, 
beyond that provided by this funding, as part of this grant and has 
provided a letter outlining that support.
    (B) Ineligible Activities. Your grant may not be used to pay for 
tuition, computer hardware, meals and relocation costs, or other costs 
not directly related to your research project. Fellowship funding 
cannot be used to substitute for university funding. HUD must approve 
receipt of additional external grant awards and will do so on a case-
by-case basis.
    (C) Other Requirements.
    (1) Support from your university. Support from your university is 
required. Institutions will be required at a minimum, to:
    (a) Designate a faculty adviser to monitor your progress on your 
research project;
    (b) Provide office space, computer usage, etc.; and
    (c) Waive indirect costs above the eight percent allowed to be 
covered by this fellowship.
    In addition, your application will be viewed more favorably if your 
institution agrees to reduce your course load by at least one course 
per term or semester, but continues to pay your full salary.
    (2) Progress reporting. Award recipients must submit two copies of 
a progress report halfway through the fellowship tenure that details 
the progress made to date toward completion of the research project. At 
the completion of the research project, applicants must furnish three 
copies of a final paper documenting the research findings, as well as 
three copies of any publication or presentation based on the research.
    (3) Mentors. You will be required to work with a mentor on your 
research project. The mentor can be someone in your institution or 
elsewhere and should be a well-respected scholar in the area of your 
research topic. The mentor will be expected to provide you with advice 
and direction on substantive research issues. The mentor and the 
faculty monitor described above can be, but do not have to be, the same 
person.
    (4) Compliance with Fair Housing and Civil Rights Laws. All 
applicants and their subrecipients must comply with all Fair Housing 
and civil rights laws, statutes, regulations, and executive orders as 
enumerated in 24 CFR 5.105(a). In addition, the applicant and any 
subrecipients must comply with Title IX of the Education Amendments Act 
of 1972 (20 U.S.C. 1681 et seq.).
    NRC will not rate and rank your application under this NOFA if the 
charge, lawsuit or letter of findings has not been resolved to the 
satisfaction of the Department before the application deadline. if you, 
the applicant,
    (a) Have been charged with a systemic violation of the Fair Housing 
Act by the Secretary alleging ongoing discrimination;
    (b) Are a defendant in a Fair Housing Act lawsuit filed by the 
Department of Justice alleging an ongoing pattern or practice of 
discrimination; or
    (c) Have received a letter of noncompliance findings under Title 
VI, Section 504 or Section 109.
    HUD's decision 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 ongoing 
discrimination in the policies or practices involved in the charge, 
lawsuit, or letter of findings.
    (5) Delinquent Federal Debts. Consistent with the purpose and 
intent of 31 U.S.C. 3720B and 28 U.S.C. 3201(e), no award of federal 
funds shall be made to an applicant who has an outstanding delinquent 
federal debt until: (a) The delinquent account is paid in full; (b) a 
negotiated repayment schedule is established and at least one payment 
is received; or (c) other arrangements satisfactory to the Department 
of Housing and Urban Development are made prior to the deadline 
submission date.
    (D) Conflicts of Interest. All individuals involved in rating and 
ranking this NOFA, including experts and consultants, must avoid 
conflicts of interest or the appearance of conflicts. Individuals 
involved in the rating and ranking of applications must disclose to 
HUD's General Counsel or HUD's Ethics Law Division the following 
information, if applicable: (a) How the selection or non-selection of 
any applicant under this NOFA will affect the individual's financial 
interests, as provided in 18 U.S.C. 208; or, (b) how the application 
process involves a party with whom the individual has a covered 
relationship under 5 CFR 2635.502. The individual must disclose this 
information prior to participating in any matter regarding this NOFA. 
If you have questions regarding these provisions, or if you have 
questions concerning a conflict of interest, you may call the Office of 
General Counsel, Ethics Law Division, at 202-708-3815.
    (E) Factors for Award Used to Evaluate and Rate Applications. The 
factors for rating and ranking applicants and maximum points for each 
factor are provided below. The maximum number of points for this 
program is 100.
    Rating Factor 1: Capacity to do the Research (15 points). In 
reviewing this factor, NRC will determine the extent to which your 
training, past employment, and past written work, such as your 
dissertation, teaching, coursework, and previously completed research 
papers that were accepted for presentation or publication, lay a 
foundation for this proposed work.
    Rating Factor 2: Need for the Research (20 points). In reviewing 
this factor, NRC will determine the extent to which

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your proposed project undertakes research in an area not covered by 
previous research or proposes to look at a previously studied research 
topic in a new and different way. Reviewers will look at the clarity 
and compelling nature of the case you make for this project in the 
context of the existing literature and knowledge base for that topic.
    Rating Factor 3: Approach (40 total points). (a) Appropriateness of 
your Methodology and Approach to the Research Topic (25 points). In 
reviewing this factor, NRC will determine the extent to which your 
research design and methodology are likely to produce data and 
information that will successfully answer your research hypothesis. NRC 
will also evaluate the extent to which the methodology you propose to 
use is sound and generally accepted by the relevant research community. 
Reviewers will be looking at the extent to which you use standard 
methodological practices in line with research already completed or 
existing publications in the field related to your research questions. 
Applicants that focus on one of the HUD policy priorities listed above 
for this year will receive higher points.
    (b) Plan for Timely Completion of Your Research Project (10 
points). In reviewing this factor, NRC will determine the extent to 
which your research design and methodology and plan for completion of 
your research project can feasibly be completed within the 15-month 
fellowship period. Applications that propose extremely complex and 
time-consuming data collection efforts (e.g., major longitudinal 
studies or a very large number of site visits within the grant period) 
will be determined to be less feasible for completion within the 
allowed time frame. For example, if you propose a methodology based on 
information that may not be publicly available until after the end of 
the grant period (e.g., census information), or a data collection plan 
that will take longer than the time you have allowed for it, you will 
get a lower score than if you have presented a time line and 
methodology that show evidence that the research project can be 
completed within the grant period.
    (c) Quality of the Mentoring Plan (5 points). In reviewing this 
factor, NRC will determine the appropriateness of the person chosen to 
be your mentor in terms of his/her previous work, (e.g., research, 
publications, presentations, standing in the research community, and 
availability) and the role the mentor has agreed to play in your 
project. The more time the mentor commits to you, the greater the 
number of points you will receive.
    Rating Factor 4: Leveraging/Commitment of the University (10 
points). In reviewing this factor, NRC will determine the extent of the 
commitment of your university, beyond that required in Section IV 
(C)(1). The quality of your institution's commitment, in terms of its 
furthering your research project, will also be evaluated under this 
factor. For example, your university could propose to cover the cost of 
a graduate assistant to work on your research project in order to 
demonstrate its commitment beyond what is minimally required. The 
larger the commitment, translated into dollar terms, the higher the 
points. Full points may only be received if your institution designates 
a faculty adviser and agrees to reduce your course load by one course 
per semester or term while it continues paying your full salary.
    Rating Factor 5: Relevance of Your Research to HUD's Strategic 
Goals (15 points). In reviewing this factor, NRC will determine the 
extent to which your proposed research project will produce policy-
relevant information that is directly related to one or more of the 
strategic goals listed above (i.e., the research could improve the 
effectiveness of HUD's programs and policies and the ability to achieve 
the stated goals). The less directly related to one of these goals your 
research project is, the fewer points you will receive. For example, a 
study of minorities' housing choice decisions would have high relevance 
to HUD's strategic goals; a study of transportation inequities would 
have medium relevance; and a study of the effects of global warming on 
urban development would have low relevance. In addition, this factor 
reflects HUD's goal to embrace high standards of ethics, management, 
and accountability and measures your commitment to assess your 
performance to achieve your proposed research agenda's outcome and/or 
objective. NRC will evaluate the extent to which you identify 
activities, outcomes, benchmarks, and performance indicators that will 
describe how performance will be measured. This information should be 
provided in a Logic Model format. This form number can be found under 
the ``Additional Required Assurance and Certification'' section of this 
NOFA.
    (F) Selections. HUD will fund applications in rank order, until it 
has awarded all available funds. However, as noted in Section II, HUD 
reserves the right to make awards for less than the amount requested in 
your application. After all application selections have been made, HUD 
may require that you participate in negotiations to determine the 
specific terms of the fellowship and the grant budget. In cases where 
HUD cannot successfully complete negotiations, or you fail to provide 
HUD with requested information, an award will not be made. In such 
instances, HUD may elect to offer an award to the next highest-ranking 
applicant, and proceed with negotiations with that applicant.

V. Application Submission Requirements

    Your application should include an original and one copy of the 
items in the order listed below. All pages should be numbered. All 
applications must be submitted on 8\1/2\ by 11-inch paper, double-
spaced on one side of the paper, and printed in a standard 12-point 
font. Please do not exceed the page limits described below. Submitting 
pages in excess of the page limit will not disqualify your application 
but the information will not be considered, which may result in a lower 
score.
    (A) Evidence of your eligibility. A letter must be submitted from 
your faculty chairperson containing the following: (1) Confirmation 
that you received a doctoral degree no earlier than January 1998; (2) 
verification of your appointment to a tenure-track or teaching or 
research position extending beyond the 15-month duration of this 
fellowship; (3) verification of your U.S. citizenship or evidence of 
your resident alien status; and (4) the university's name, department, 
mailing address, telephone, facsimile number, and e-mail address.
    (B) Abstract (one page). You must include a summary that describes 
your proposed research project.
    (C) Response to Rating Factors.

    (1) Rating Factor 1--Capacity to do the Research

    (a) A curriculum vita that contains the following:
    (1) Your graduate and post-graduate educational background.
    (2) A list of your publications: books, refereed journal articles, 
chapters contributed to books, articles in published proceedings, and 
any other articles.
    (3) A list of text and poster presentations made during the last 
five years.
    (4) Grants and awards received during the last five years.
    (5) Teaching load during the last five years.
    (b) A one-page abstract of your dissertation.
    (c) Two letters of reference.

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    (2) Narrative Statement (addresses Factors 2 through 5 listed 
below): The application narrative must not exceed 15 pages in length 
(excluding letters, forms, and assurances) double spaced, on one side 
of the paper, and printed in a standard 12-point front.

(a) Rating Factor 2--Need for the Research

    A succinct description of your proposed research and how your 
proposal is non-duplicative of previously published research.

(b) Rating Factor 3--Approach

    Identify your proposed research, methodologies, and the extent to 
which it will produce data and information to successfully answer your 
research hypotheses. Include a letter from your mentor that contains 
his/her address, telephone and facsimile number and email address, 
states his/her qualifications and availability to be your mentor, and 
describes his/her proposed role in your research project (excluded from 
narrative page limit).

    (c) Rating Factor 4--Leveraging/Commitment of the University

    Provide evidence of your university's support and commitment to you 
furthering your research and a description of the type of support the 
institution will provide. Include a firm letter of commitment that 
outlines the University's total proposed level of support.
    (d) Response to Rating Factor 5--Relevance of Research

    Address the extent to which your proposed research will further and 
support HUD's research agenda and reflects HUD's goal to embrace high 
standards of ethics, management, and accountability and measures your 
commitment to assess your performance to achieve your proposed research 
outcome and/or objective. This information should be provided in a 
Logic Model format. Additional required Assurances and Certifications:

1. Application for Federal Assistance (HUD-424)
2. Application Assurances and Certifications (HUD-424-B)
3. Sample Budget (See Appendix A)
4. Disclosure of Lobbying Activities, (SF Form LLL)
5. Race and Ethnic Data Reporting Form (HUD-27061) (if applicable)
6. Applicant/Recipient Disclosure/Update Report (HUD-2880)
7. Logic Model (HUD-96010)

    All forms must be signed by the applicant and can be downloaded 
from the HUD website at www.hud.gov.

VI. Corrections to Deficient Applications

    After the application due date, NRC may not, consistent with HUD 
regulations in 24 CFR part 4, subpart B, consider any unsolicited 
information the applicant may want to provide. NRC may contact you to 
clarify an item in your application or to correct technical 
deficiencies. NRC 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, NRC 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, NRC will notify you in writing by describing 
the clarification or technical deficiency.

VII. Environmental Requirements

    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).

VIII. Other Matters

(A) Federalism, Executive Order 13132

    This notice does not have federalism implication and does not 
impose substantial direct compliance costs on state and local 
governments or preempt state law within the meaning of Executive Order 
13132 (entitled ``Federalism'').

(B) Intergovernmental Review of Federal Program, Executive Order 12372

    This notice is excluded from the intergovernmental review process 
and therefore should be sent directly to NRC.

(C) 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 Sec. Sec.  84.42 and 85.36(b)(3)). Consistent with 
regulations governing specific programs, your university's 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 grant agreement with 
HUD, to submit a copy of your university's 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. Failure 
to meet the requirement for a code of conduct will prohibit you from 
receiving an award document.

(D) Prohibition Against Lobbying Activities

    You, the applicant, 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), which prohibits 
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. You are required to certify, using the certification 
found at Appendix A to 24 CFR part 87, that you will not and have not 
used appropriated funds for any prohibited lobbying activities. In 
addition, you must disclose, using Standard Form LLL ``Disclosure of 
Lobbying Activities,'' any funds, other than federally appropriated 
funds, that will be or have been used to influence federal employees, 
members of Congress, and congressional staff regarding specific grants 
or contracts. Federally recognized Indian tribes and tribally 
designated housing entities (TDHEs) established by federally recognized 
Indian tribes as a result of the exercise of the tribe's sovereign 
power are excluded from coverage of the Byrd Amendment, but state-
recognized Indian tribes and TDHEs established under state law must 
comply with this requirement.

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(E) Section 102 of the HUD Reform Act, Documentation and Public Access 
Requirements

    Section 102 of the Department of Housing and Urban Development 
Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and the 
regulations codified 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, HUD published a notice that also provides 
information on the implementation of Section 102 (57 FR 1942). The 
documentation, public access, and disclosure requirements of Section 
102 apply to 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 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 (24 CFR part 15).
    (2) Debriefing. Beginning 30 days after the awards for assistance 
are publicly announced and for at least 120 days after awards for 
assistance are announced, HUD will provide a debriefing to any 
applicant requesting one on his or her application. All debriefing 
requests must be made in writing or by email by the authorized official 
whose signature appears on the HUD-424 or his or her successor in 
office, and submitted to the person or organization identified as the 
Contact under the section entitled ``For Further Information and 
Technical Assistance.'' Information provided during a 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.
    (3) Disclosures. HUD will make available to the public for five 
years all applicant disclosure reports (HUD Form 2880) submitted in 
connection with this NOFA. Update reports (also reported on HUD Form 
2880) will be made available along with the applicant disclosure 
reports, but in no case for a period of 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 (24 CFR part 5).
    (4) 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 102(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) Section 103 of the HUD Reform Act. HUD's regulations 
implementing Section 103 of the Department of Housing and Urban 
Development Reform Act of 1989 (42 U.S.C. 3537a), codified in 24 CFR 
part 4, subpart B, 4.26(2)(c) et seq. and 4.28 apply to this funding 
competition. The regulations 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 the regulations 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 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.) HUD employees who have specific program questions 
should contact the appropriate field office counsel or Headquarters 
counsel for the program to which the question pertains.
    (G) Accessible Technology. The Rehabilitation Act Amendments of 
1998 (the Act) apply to all electronic information technology (EIT) 
used by a recipient for transmitting, receiving, using, or storing 
information to carry out the responsibilities of any federal funds 
awarded. The Act's coverage includes, but is not limited to, computers 
(hardware, software, word-processing, email, and web pages), facsimile 
machines, copiers, and telephones. When developing, procuring, 
maintaining, or using EIT, funding recipients must ensure that the EIT 
allows employees with disabilities and members of the public with 
disabilities to have access to and use of information and data that is 
comparable to the access and use of information and data by employees 
and members of the public who do not have disabilities. If these 
standards impose a hardship on a funding recipient, a recipient may 
provide an alternative means to allow the individual to use the 
information and data. However, no recipient will be required to provide 
information services to a person with disabilities at any location 
other than the location at which the information services is generally 
provided.
    (H) Name Check Review. Applicants are subject to a name check 
review process. Name checks are intended to reveal matters that 
significantly reflect on the applicant's management and financial 
integrity, or if any key individuals have been convicted or are 
presently facing criminal charges. If the name check reveals 
significant adverse findings that reflect on the business integrity or 
responsibility of the recipient and/or key individual, HUD reserves the 
right to: (a) Deny funding or consider suspension/termination of an 
award immediately for cause; (b) require removal of any key individual 
from association with management of and/or implementation of the award; 
and (c) make appropriate provisions or revisions with respect to the 
method of payment and/or financial reporting requirements.
    (I) False Statements. A false statement in an application is 
grounds for denial or termination of an award and grounds for possible 
punishment as provided in 18 U.S.C. 1001.
    (J) Catalog of Federal Domestic Assistance. The Catalog of Federal 
Domestic Assistance number is: 14.518.
    (K) Paperwork Reduction Act Statement. The information collection 
requirements contained in this NOFA have been approved by the Office of 
Management and Budget (OMB), under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB Control Number 2528-0175. 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.

IX. Authority

    The authority for this program is found in Title V of the Housing 
and Urban Development Act of 1970 (Public Law 91-609).

    Dated: August 11, 2003.
Darlene L. Williams,
General Deputy Assistant Secretary for Policy Development and Research.

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[FR Doc. 03-25678 Filed 10-9-03; 8:45 am]
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