[Federal Register Volume 81, Number 113 (Monday, June 13, 2016)]
[Notices]
[Pages 38207-38210]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-13945]


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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-5952-N-01]


Authority To Accept Unsolicited Proposals for Research 
Partnerships

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

ACTION: Notice.

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SUMMARY: This notice announces that HUD's Office of Policy Development 
and Research (PD&R) has the authority to accept unsolicited research 
proposals that address current research priorities. In accordance with 
statutory requirements, the research projects must be funded at least 
50 percent by philanthropic entities or Federal, state, or local 
government agencies. This notice announces that HUD is accepting 
research proposals and provides a general description of information 
that should be included in any research proposal.

DATES: There are no set deadlines. Proposals may be submitted at any 
time and will be evaluated as they are received; however, available 
funds will be awarded as proposals are received, evaluated, and 
approved, until funds are exhausted.

FOR FURTHER INFORMATION CONTACT: Questions should be directed by email 
to [email protected], by telephone to Madlyn Wohlman-
Rodriguez at 202-402-5939 or Kinnard Wright at 202-402-7495, or by mail 
to

[[Page 38208]]

the Department of Housing and Urban Development, Office of University 
Partnerships, 451 7th Street SW., Room 8226, Washington, DC 20410. 
These are not toll-free numbers. Persons with speech or hearing 
impairments may access these number through TTY by calling the Federal 
Relay Service, toll-free, at 800-877-8339.

I. Funding Opportunity Description

A. Program Description, Requirements and Purpose

    HUD developed the Research Partnerships vehicle to allow greater 
flexibility in addressing important policy questions and to better 
utilize external expertise in evaluating the local innovations and 
effectiveness of programs impacting residents of urban, suburban, rural 
and tribal areas. Through this notice, HUD is able to accept 
unsolicited research proposals that address current research priorities 
and allow PD&R to participate in innovative research projects that 
inform HUD's policies and programs. These projects are meant to align 
with PD&R's research priorities and help the HUD answer key policy and 
programmatic questions in ways that can inform new policy and program 
development efforts.

B. Authority

    The Consolidated Appropriations Act, 2016, (Pub. L. 114-53, 
approved December 11, 2015) (FY 2016 appropriation) authorizes PD&R to 
enter into non-competitive cooperative agreements for research projects 
that are aligned with PD&R's research priorities and that will help 
inform HUD's policies and programs.

C. Program Description

    1. Research Priorities. The two primary documents that provide a 
framework for HUD's research priorities are the FY2010-2015 Strategic 
Plan (available at, http://portal.hud.gov/hudportal/HUD?src=/program_offices/cfo/stratplan), which specifies the Department's 
mission and strategic goals for program activities, and the HUD 
Research Roadmap (available at, https://www.huduser.gov/portal/about/pdr_roadmap.html), which takes the strategic plan as a starting point 
and integrates extensive input from diverse stakeholder groups to 
define a five-year research agenda. PD&R developed and published this 
research agenda to focus research resources on timely, policy-relevant 
research questions that lie within the Department's area of comparative 
advantage. This focus on comparative advantage has a corollary, which 
is the accompanying need for PD&R to collaborate with other research 
organizations to support their comparative advantage in areas that are 
mutually important.
    The authority that Congress provided HUD to enter into 
noncompetitive cooperative agreements for research is a central tool 
for fulfilling the Roadmap's vision for research collaboration. 
Research proposals should be developed that inform important policy and 
program objectives of HUD that are not otherwise being addressed and 
that focus on one of HUD's research priorities, including:
    (1) Strengthening Housing Markets: Homeownership and Housing 
Finance. HUD is interested in research in many areas of homeownership 
and housing finance, which include, but are not limited to:
    (a) Improving outcomes for struggling homeowners and communities in 
the areas of foreclosures, mortgage modification protocols, and real-
estate owned properties;
    (b) Finding ways that are safer for both borrowers and lenders to 
extend mortgage credit to first-time homebuyers and homeowners with 
less-than-stellar credit; and
    (c) Updating federal support structures for single-family and 
multifamily housing finance in a reformed housing finance system.
    (2) Affordable Quality Rental Housing. HUD is interested in 
research that improves the efficiency and effectiveness of HUD's 
housing programs (e.g., public housing, Housing Choice Vouchers, 
assisted multifamily programs, and FHA insurance) which include, but 
are not limited to:
    (a) Improving program operations and responses to changing market 
conditions;
    (b) Identifying rent subsidy approaches that could more efficiently 
and beneficially meet the full range of housing needs; and
    (c) Better understanding how HUD's programs are affected by tenant 
and landlord behavior.
    (3) Housing as a platform for improving quality of life. HUD is 
interested in how HUD-provided housing assistance can be best used to 
improve quality of life, including, but not limited to:
    (a) Improving educational outcomes and early learning and 
development;
    (b) Improving health outcomes;
    (c) Increasing economic security and self-sufficiency; and
    (d) Improving housing stability for vulnerable populations, 
including the elderly, people with disabilities, homeless families and 
individuals, and those individuals and families at risk of becoming 
homeless.
    To evaluate the ability of housing assistance to positively affect 
these various outcomes requires reaching beyond the sphere of housing 
to health, education, and other areas, which may involve targeted 
provision of cost-effective services in association with housing.
    (4) Resilient and inclusive communities. HUD's goal of advancing 
resilient and inclusive communities seeks innovative and 
transformational evidence-based approaches to deal with long-standing 
and emerging community development challenges in suburban, rural and 
tribal areas. HUD is interested in research questions such as, but not 
limited to:
    (a) Leveraging cost-effective housing technology in HUD-funded 
housing or other housing to accomplish key HUD priority goals;
    (b) Understanding and addressing persistent segregation along 
racial, ethnic and economic lines, including the role of promising 
community development and housing strategies for strengthening 
communities;
    (c) Strengthening community resilience in the face of climate 
change, disasters, pestilence and energy shocks;
    (d) Improving integrated and regional planning for cross-agency 
alignment, such as land use and transportation.
    (5) HUD Assets. HUD has made, and continues to make, significant 
investments in ``Research Assets,'' as described below, including 
program demonstrations and in the production of datasets, that PD&R is 
interested in seeing leveraged in ways that may, or may not, be 
specifically referenced in the Research Roadmap or HUD's Strategic 
Plan. Such studies demonstrate a broader usefulness of HUD's Research 
Assets that further increases the return on these investments for the 
taxpayer.
    2. HUD's Research Assets. In considering potential research 
partnerships, PD&R urges organizations to consider ways to take 
advantage of key research assets that the Research Roadmap identifies 
as part of HUD's comparative advantage.
    (1) HUD demonstrations. HUD values demonstrations as a method for 
evaluating new policy and program initiatives and significantly 
advancing evidence-based policy, especially when rigorous random-
assignment methods are feasible. HUD also is interested in research 
opportunities that take advantage of completed and ongoing 
demonstrations. For example, the Moving to Opportunity demonstration 
was completed in 2011, but researchers

[[Page 38209]]

continue to answer relevant policy questions using the existing data. 
Examples of demonstrations that are underway include Choice 
Neighborhoods, Family Options, the Rental Assistance Demonstration, 
Pre-Purchase Counseling Outcome Study, and Rent Reform. Electronic 
versions of published HUD research can be found at: https://www.huduser.gov/portal/publications/pdrpubli.html.
    (2) HUD data infrastructure. HUD makes significant investments to 
improve and support the nation's housing data, so submitting 
institutions are encouraged to consider opportunities to use HUD-
sponsored survey data and administrative data. The American Housing 
Survey (AHS) is one of HUD's largest research investments. The AHS 
provides a wealth of data on size and composition of the nation's 
housing inventory that researchers could use more effectively to 
address questions about housing market dynamics. The AHS, the 2012 
Rental Housing Finance Survey, and other datasets sponsored by PD&R, 
along with HUD administrative data made available by PD&R, represent 
HUD research assets that PD&R encourages the use, and further analysis 
of, through Research Partnerships. Data assets are described at: 
https://www.huduser.gov/portal/pdrdatas_landing.html.

D. Other Requirements

    1. Protection of Human Research Subjects. HUD will require 
successful applicants to comply with requirements of the federal Common 
Rule (45 CFR part 46) for protecting human research subjects when 
applicable. Compliance may require grantees to seek review and approval 
of research plans by an Institutional Review Board (IRB). For research 
requiring an IRB review, work plans shall identify the IRB that the 
awardee will use and factor in the necessary cost and time involved in 
that review. HUD will require awardees to provide appropriate 
assurances and certifications of compliance before human subjects 
research begins.
    2. Privacy. Submission of any information to databases (whether Web 
site, computer, paper, or other format) of personal identifiable 
information is subject to the protections of the Privacy Act of 1974. 
You should also check to ensure you meet state and local privacy 
regulations.
    3. Cost Sharing. The Uniform Administrative Requirements, Cost 
Principles, and Audit Requirements for Federal Awards, set forth in 2 
CFR part 200, shall apply to this Federal award. Cost sharing or 
matching means the portion of project costs not paid by Federal funds 
(unless otherwise authorized by Federal statute.) Applicants should 
refer to 2 CFR 200.306 for specific requirements.
    4. Data Only Requests. For those who are interested in requesting 
only HUD data (no funds), a HUD data license agreement will be 
required. To obtain a copy of the data license application go to the 
following Web site: https://www.huduser.gov/portal/research/pdr_data-license.html. Please be advised that a data license will only be 
considered for research that is in alignment with one of the research 
priorities listed in this notice. Applications may be submitted to HUD 
at [email protected]. Upon receipt, the application will be forwarded 
to the appropriate PD&R office for review and approval.

II. Description of Awards

A. Available Funds

    HUD is making approximately $1 million available for Research 
Partnerships. Additional funds may become available for award as a 
result of HUD's efforts to recapture unused funds or use carryover 
funds. Use of these funds will be subject to statutory constraints.

B. Number of Awards

    The number of awards will be based on the number of proposals HUD 
reviews, approves, and funds.

C. Period of Performance

    The period of performance will be determined by the applicant's 
proposal and subject to negotiation by HUD.

D. Type of Funding Instrument

    Funding Instrument Type: Cooperative Agreement.

III. Eligibility Information

A. Eligible Applicants

    Eligible applicants under this Notice include academic 
institutions, philanthropic entities, state and units of local 
government, not-for-profit and for-profit institutions located in the 
United States. For-profit firms are not allowed to earn a fee (i.e., 
make a profit from the project).

B. Cost Sharing

    Cost sharing is required for research projects to be eligible for 
funding through HUD's non-competitive cooperative agreement authority. 
Research projects must include at least a 50 percent cost share from 
philanthropic organizations, Federal, state, local government agencies, 
or a combination of these entities. For the purposes of the cost-
sharing requirement, HUD defines a philanthropic entity as the subset 
of 501(c)(3) organizations that directly fund research activities. 
These include private foundations, educational institutions that may 
have a separate foundation, public charities, and operating 
foundations. Philanthropic entities may include foreign entities. HUD 
will not count waiver of overhead or similar costs as cost-sharing 
contributions.

IV. Proposal and Submission Information

A. Proposal Submission

    All proposals should be submitted electronically to 
[email protected], or by mail to: U.S. Department of Housing 
and Urban Development, Office of University Partnerships, 451 7th 
Street SW., Room 8226, Washington, DC 20410, ATTENTION: Research 
Partnerships

B. Content and Form of Proposal Submission

    Proposals should contain sufficient information for PD&R to 
identify whether the research would meet statutory requirements for 
cost sharing and alignment with the research priorities identified in 
Section I.C.1 of this Notice. At a minimum, proposals must include:
    1. Proposal Abstract. Applicants should provide a Proposal Abstract 
with the project title, the names and affiliations of all 
investigators, a summary of the objectives, study design and expected 
results, and the total funds requested.
    2. Points of Contact. Applicants should clearly identify the name 
of the entity(s) submitting the proposal and detailed contact 
information for the point of contact;
    3. Key Personnel. Applicants should provide information on key 
personnel that will be engaged with the project. HUD will assess the 
qualifications of key personnel to carry out the proposed study as 
evidenced by academic and professional background, publications, and 
recent (within the past 5 years) research experience. The proposed 
Principal Investigator must directly represent and be compensated 
directly by the applicant for his or her role in the proposed study. 
Publications and/or 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.
    4. Research Proposal Description. Applicants should provide a clear

[[Page 38210]]

description of the research project, including the methodology being 
used, and its alignment with the PD&R research priorities identified. 
Specific components should include:
    (1) Clearly and thoroughly describe your proposed study and its 
design, and identify the major objectives;
    (2) The study should be presented as a logical sequence of steps or 
phases with individual tasks described for each phase;
    (3) Your narrative should reflect the relevant literature, which 
should be thoroughly cited in your application. Your proposed study 
will be judged in part on the soundness of the underlying body of 
research upon which it is based and the clarity and soundness of your 
summary and interpretation of this research base;
    (4) Describe the statistical basis for your study design and 
demonstrate that you would have adequate statistical power to test your 
stated hypotheses and achieve your study objectives;
    (5) Discuss your plans for data management, analysis, and 
archiving;
    (6) You should identify any important ``decision points'' in your 
study plan;
    (7) You should describe/list deliverables and associated 
timeframes; and
    (8) You should demonstrate that it is clearly feasible to complete 
the study within the proposed period of performance and successfully 
achieve your objectives.
    5. Budget. Applicants should provide a detailed budget with line 
items including the amount of the HUD share and the contributions of 
any partners (cost sharing component) and/or the submitting 
institution. HUD strongly encourages using form HUD-424CBW to detail 
your budget request. The form is available at: https://www.hudexchange.info/resource/304/hud-form-424cbw/. Proposals for 
research partnerships that have already been submitted to HUD as part 
of a grant competition are ineligible as the subject of a non-
competitive cooperative agreement.

C. Review and Selection Process

    1. Proposals that meet all of the threshold requirements will be 
eligible for review and rating.
    2. Proposals will be reviewed by individuals who are knowledgeable 
in the field covered by the research proposal.
    3. As required by the statutory authority within the appropriations 
bill, HUD will report each award provided through a cooperative 
agreement in the Federal Funding Accountability and Transparency Act 
Sub-award Reporting System created under the Federal Funding 
Accountability and Transparency Act of 2006.

    Dated: June 7, 2016.
Matthew E. Ammon
General Deputy Assistant Secretary for Policy Development and Research.
[FR Doc. 2016-13945 Filed 6-10-16; 8:45 am]
 BILLING CODE 4210-67-P