[Federal Register Volume 69, Number 216 (Tuesday, November 9, 2004)]
[Rules and Regulations]
[Pages 65024-65025]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-24884]



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Part II





Department of Housing and Urban Development





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24 CFR Part 5



Implementation of Requirement in HUD Programs for Use of Data Universal 
Numbering System (DUNS) Identifier; Final Rule

  Federal Register / Vol. 69 , No. 216 / Tuesday, November 9, 2004 / 
Rules and Regulations  

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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

24 CFR Part 5

[Docket No. FR-4876-F-02]
RIN 2501-AD01


Implementation of Requirement in HUD Programs for Use of Data 
Universal Numbering System (DUNS) Identifier

AGENCY: Office of the Secretary, HUD.

ACTION: Final rule.

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SUMMARY: On March 26, 2004, HUD published an interim rule implementing 
an Office of Management and Budget (OMB) policy directive that requires 
grant applicants, other than individuals, to provide a Data Universal 
Numbering System (DUNS) number when applying for Federal grants or 
other assistance agreements on or after October 1, 2003. HUD is 
applying this policy widely to its assistance programs in order to have 
a single identifier for applicants and to facilitate the transition to 
electronic application submission. This final rule follows publication 
of the March 26, 2004, interim rule. HUD did not receive any public 
comments on the interim rule and, therefore, is adopting the interim 
rule without change.

DATES: Effective Date: December 9, 2004.

FOR FURTHER INFORMATION CONTACT: Barbara Dorf, Director, Office of 
Departmental Grants Management and Oversight, Room 3156, Department of 
Housing and Urban Development, 451 Seventh Street, SW., Washington, DC 
20410-3000, telephone (202) 708-0667 (this is not a toll-free number). 
Hearing-or speech-impaired individuals may access this number through 
TTY by calling the toll-free Federal Information Relay Service at (800) 
877-8339.

SUPPLEMENTARY INFORMATION:

I. Background--HUD's March 26, 2004, Interim Rule

    On March 26, 2004 (69 FR 15671), HUD published an interim rule 
implementing a June 27, 2003 (68 FR 38402), OMB final policy directive 
that implemented a governmentwide requirement for applicants to provide 
a DUNS number when applying for Federal grants or other assistance on 
or after October 1, 2003.
    OMB determined that there was a governmentwide need for improved 
statistical reporting of Federal grants and cooperative agreements. 
Governmentwide use of the DUNS number will provide a means to identify 
entities receiving those grants and entering into cooperative 
agreements, as well as the means to identify those entities' business 
relationships. The identifier will be used for tracking purposes and to 
validate address and point-of-contact information. The DUNS number is 
already in general use by the Federal government to identify entities 
receiving Federal contracts and by some Federal agencies in their grant 
and cooperative agreement processes. Also, among existing numbering 
systems, DUNS is the only one that provides the Federal government the 
ability to determine hierarchical and family-tree data for related 
organizations.
    Based on the OMB directive, HUD published its March 26, 2004, 
interim rule. The interim rule implemented OMB's DUNS policy and made 
it widely applicable to HUD funding programs by amending 24 CFR part 5 
to add a new subpart K. The new subpart requires organizations that 
apply for HUD grants or other financial assistance to provide a DUNS 
number with the application. HUD's regulations at 24 CFR part 5 
describe requirements that are generally applicable to all HUD 
programs.
    The objective of this DUNS policy is to help ensure that HUD is 
able to identify funding received by the various entities that receive 
HUD program awards. Recipients affected include, but are not limited 
to: State, local, and tribal governments; public housing agencies 
(PHAs); tribally designated housing entities (TDHEs); universities and 
colleges; nonprofit organizations; for-profit organizations; owners of 
assisted housing; resident management organizations; and resident 
councils.

II. This Final Rule

    This final rule follows publication of the March 26, 2004 interim 
rule. The interim rule became effective April 26, 2004, and provided 
for a 60-day comment period. The comment period for the interim rule 
closed on May 25, 2004. HUD did not receive any public comments on the 
interim rule. Accordingly, this final rule adopts the interim rule 
without changes. As discussed above, HUD's DUNS policy is codified in 
subpart K of HUD's regulations at 24 CFR part 5. This section of the 
preamble provides an overview of the policies contained in 24 CFR part 
5, subpart K.

A. General

    Organizations that apply for HUD grants or other financial 
assistance must provide a DUNS number with the application. This 
requirement covers funds awarded as a grant, cooperative agreement, 
capital fund or operating fund subsidy, capital advance, or other 
assistance. Every application for a new grant or assistance award or 
renewal of an award or plan (including a PHA plan) under all 
discretionary and formula grant programs must include an applicant's 
DUNS number. The DUNS requirement, however, does not extend to Federal 
Housing Administration (FHA) insurance or loan guarantee transactions 
that are not associated with a grant program or grant award.
    Unless an exemption from this requirement is requested by HUD and 
approved by OMB, HUD will not consider an application as complete until 
a valid DUNS number is provided by the applicant. Consistent with the 
OMB policy directive issued on June 27, 2003, HUD may request that OMB 
approve an exemption from this requirement for classes of grants or 
grantees.
    Also consistent with the OMB policy directive, it is HUD's intent 
to make all funding opportunities and applications for assistance 
available online at http://www.grants.gov. Use of the DUNS number will 
be required for all submissions through http://www.grants.gov.

B. Applicability to Consortia and Sponsors

    As did the preceding interim rule, this final rule affirms that the 
DUNS requirement will also apply to groups of organizations applying 
for HUD grants or other financial assistance as consortia. Applicants 
or groups of applicants under consortia arrangements must have a DUNS 
number for the organization that submits an application for Federal 
assistance on behalf of the other applicants. However, if each 
organization is submitting a separate application for Federal 
assistance, then each organization must have a separate DUNS submitted 
with its application for assistance.
    If an organization is managing funds for a group of organizations 
(as may be the case with several small PHAs utilizing a single 
management organization to apply for and manage funds on their behalf), 
a DUNS number must be submitted for the managing organization, if it is 
drawing down HUD funds directly. If an organization, such as a PHA, 
draws down funds directly from HUD and subsequently turns the funds 
over to a management organization, then the management organization 
must obtain a DUNS number and provide the number to HUD.

C. Applicability to Individuals

    Individuals who would personally receive an assistance award from 
HUD, apart from any business or nonprofit

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organization that they may operate or participate in, are exempt from 
the requirements set forth in this final rule. Specifically, 
individuals may continue to apply under programs for which they are 
eligible without providing a DUNS number. In addition, an applicant is 
not required to submit DUNS numbers for entities with which it may 
enter into subawards. In cases where individuals apply for funding but 
the funding will be awarded to an institution or other entity on the 
individual's behalf, the institution or entity must obtain a DUNS 
number, and the individual must submit the institution's DUNS number 
with the application.

III. Obtaining a DUNS Number

    The DUNS number does not replace existing identifiers, such as the 
Employer Identification Number (EIN), the Tax Identification Number 
(TIN), and State Application Identifier (SAI) numbers that are required 
by statute, Executive Order, or regulation.
    Obtaining a DUNS number is free for all entities doing business 
with the Federal government. This includes applicants and prospective 
applicants for grants and cooperative agreements. An applicant should 
identify its organization as a Federal grant applicant or prospective 
applicant when it contacts Dun and Bradstreet (D&B) for a DUNS number, 
as explained below.
    The DUNS number is site-specific; therefore, each distinct physical 
location of an applicant entity (such as a branch, division, or 
headquarters) may be assigned a DUNS number. If an organization already 
has a DUNS number in connection with the Federal acquisition process, 
or requested or had a DUNS number assigned for another purpose, the 
applicant may use that number for its application. When possible, 
organizations should avoid establishing new DUNS numbers. Organizations 
should take responsibility for updating and validating the information 
associated with the existing DUNS number(s). To help organizations 
manage multiple DUNS numbers, an entity may request D&B to supply a 
family tree report of the DUNS numbers associated with the 
organization. Organizations should work with D&B to ensure that the 
correct information is in the family tree report. If an organization 
wishes to determine if it has an existing DUNS number or wishes to 
request a family tree report, it may contact D&B toll-free at (866) 
705-5711.
    Organizations may receive a DUNS number by calling the dedicated 
toll-free DUNS number request line at (866) 705-5711 between 8 a.m. and 
6 p.m. (local time of the caller when calling from within the United 
States). Speech-or hearing-impaired individuals may access the toll-
free DUNS number request line through TTY by calling (866) 814-7818. 
Organizations alternatively may apply for DUNS numbers online at http://www.dunandbradstreet.com. For faster service, HUD recommends using the 
telephone request line to obtain a DUNS number. The telephone call to 
obtain a DUNS number takes approximately five to ten minutes, and a 
DUNS number will be assigned at the conclusion of the call. Applicants 
should expect that the following information will be requested: legal 
name; name and address for the organization's headquarters; ``doing 
business as'' (DBA) or other name by which the organization is commonly 
known or recognized; physical address, city, State and zip code; 
mailing address (if different from headquarters or physical address); 
telephone number; contact name and title; and number of employees.

IV. Findings and Certifications

Unfunded Mandates Reform Act

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) (2 
U.S.C. 1531-1538) establishes requirements for Federal agencies to 
assess the effects of their regulatory actions on State, local, and 
tribal governments and the private sector. This final rule does not 
impose any Federal mandates on any State, local, or tribal government 
or the private sector within the meaning of UMRA.

Executive Order 13132, Federalism

    Executive Order 13132 (entitled ``Federalism'') prohibits, to the 
extent practicable and permitted by law, an agency from publishing any 
rule that has federalism implications and either imposes substantial 
direct compliance costs on State and local governments and is not 
required by statute, or the rule preempts State law, unless the agency 
meets the consultation and funding requirements of section 6 of the 
order. This rule 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 order.

Regulatory Flexibility Act

    The Secretary, in accordance with the Regulatory Flexibility Act (5 
U.S.C. 605(b)), has reviewed this rule before publication and by 
approving it certifies that this rule does not have a significant 
economic impact on a substantial number of small entities. DUNS numbers 
are immediately obtained at no cost with minimal time and effort, and 
there are not any unusual procedures with which small entities alone 
would have to comply. Accordingly, the final rule will not impose any 
new costs, or modify existing costs, applicable to HUD grantees.

Environmental Impact

    In accordance with 24 CFR part 50.19(c)(1) of the Department's 
regulations, this final rule 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. Therefore, this final rule is categorically 
excluded from the requirements of the National Environmental Policy Act 
(42 U.S.C. 4332).

Catalog of Federal Domestic Assistance (CFDA) Numbers

    The regulatory amendments contained in this final rule generally 
apply to all HUD assistance awards, unless the recipient is 
specifically exempted under this final rule or the program. The Catalog 
of Federal Domestic Assistance number for a particular HUD program may 
be found on the CFDA Web site at http://www.cfda.gov.

List of Subjects in 24 CFR Part 5

    Administrative practice and procedure, Aged, Claims, Drug abuse, 
Drug traffic control, Grant programs--housing and community 
development, Grant programs--Indians, Individuals with disabilities, 
Information and statistics, Loan programs--housing and community 
development, Low and moderate income housing, Mortgage insurance, Pets, 
Public housing, Rent subsidies, Reporting and recordkeeping 
requirements.

0
Accordingly, for the reasons stated in the preamble, the interim rule 
that added Subpart K to part 5 of title 24 of the Code of Federal 
Regulations, published on March 26, 2004, at 69 FR 15671, is adopted as 
a final rule without change.

    Dated: November 1, 2004.
Alphonso Jackson,
Secretary.
[FR Doc. 04-24884 Filed 11-8-04; 8:45 am]
BILLING CODE 4210-32-P