[Federal Register Volume 59, Number 245 (Thursday, December 22, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-31419]
[[Page Unknown]]
[Federal Register: December 22, 1994]
_______________________________________________________________________
Part VI
Department of Housing and Urban Development
_______________________________________________________________________
Office of the Assistant Secretary for Policy Development and Research
_______________________________________________________________________
NOFA for Community Outreach Partnership Centers (COPC); Notice
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of the Assistant Secretary for Policy Development and Research
[Docket No. N-94-3836; FR-3825-N-01]
NOFA for Community Outreach Partnership Centers (COPC)
AGENCY: Office of the Assistant Secretary for Policy Development and
Research, HUD.
ACTION: Notice of Funding Availability (NOFA) for Fiscal Year 1995.
-----------------------------------------------------------------------
SUMMARY: This NOFA announces the availability of $7.125 million to
implement the second year of a demonstration program to make grants to
public and private nonprofit institutions of higher education to assist
in establishing or carrying out research and outreach activities
addressing the problems of urban areas. These funds shall be used to
establish and operate Community Outreach Partnership Centers (COPC).
The NOFA contains information concerning:
(1) The principal objectives of the competition, the funding
available, eligible applicants and activities and factors for award;
(2) The application process, including how to apply and how
selections will be made; and
(3) A checklist of application submission requirements.
DATES: Application kits may be requested on or after December 27, 1994.
Applications must be physically received by the Office of
University Partnerships, in care of the Division of Budget, Contracts,
and Program Control, in Room 8230 by 4:30 p.m. Eastern Standard Time on
[insert date that is 80 days after publication in the Federal
Register].
The above-stated application deadline is firm as to date, hour and
place. In the interest of fairness to all competing applicants, the
Department will treat as ineligible for consideration any application
that is received after the deadline. Applicants should take this
practice into account and make early submission of their materials to
avoid any risk of loss of eligibility brought about by unanticipated
delays or other delivery-related problems.
ADDRESSES: To obtain a copy of the application kit, contact: HUD USER,
ATTN: COPC, P.O. Box 6091, Rockville, Maryland 20850. Requests for
application kits must be in writing, but requests may be faxed to: 301-
251-5747 (this is not a toll-free number). Requests for application
kits must include the applicant's name, mailing address (including zip
code), telephone number (including area code) and must refer to
``Document FR-3825.''
FOR FURTHER INFORMATION CONTACT: Jane Karadbil, Office of University
Partnerships in the Office of Policy Development and Research,
Department of Housing and Urban Development, 451 Seventh Street, S.W.,
Room 8110, Washington, DC 20410. Telephone Number (202) 708-1537 voice;
(202) 708-1455 (TDD). (These are not toll-free numbers.)
SUPPLEMENTARY INFORMATION:
Paperwork Reduction Act Statement
The information collection requirements contained in this notice
have been approved by the Office of Management and Budget (OMB) under
section 3504(h) of the Paperwork Reduction Act of 1980 (44 U.S.C. 3501-
3520), and assigned OMB control number 2535-0084.
I. Purpose and Substantive Description
A. Authority
This competition is authorized under the Community Outreach
Partnership Act of 1992 (42 U.S.C. 5307 note; hereafter referred to as
the ``COPC Act''). The COPC Act is contained in section 851 of the
Housing and Community Development Act of 1992 (P.L. 102-550, approved
October 28, 1992) (HCD Act of 1992). Section 801(c) of the HCD Act of
1992 authorizes $7.5 million for each year of the 5-year demonstration
to create Community outreach Partnership Centers as authorized in the
COPC Act. The Act also required HUD to establish a national
clearinghouse to disseminate information about the program.
The Community Outreach Partnership Centers program was transferred
to the Office of Policy Development and Research on August 15, 1994, as
part of the Departmental reorganization which created the Office of
University Partnerships. This new Office is responsible for four of the
Department's grant programs for institutions of higher education--
Community Outreach Partnership Centers program, Joint Community
Development program, Community Development Work Study program, and the
Doctoral Dissertation Grant program. In addition, the Office is
responsible for a variety of new outreach initiatives to involve these
institutions in local community development and revitalization
partnerships.
B. Allocation and Form of Award
The competition in this NOFA is for $7.125 million to fund the
second year of the Community Outreach Partnership Centers (COPC)
Program authorized as indicated above. HUD has made $7.5 million
available for the program for FY 1995. $210,000 has been taken off the
top to correct a mathematical error in the funding of one of last
year's grantees and $165,000 has been taken off the top to fund the
clearinghouse in FY 1995. Thus, $7.125 million is available under this
NOFA.
Each grant made under the COPC program will be for a maximum two
year period of performance. The maximum size of any grant will be
$750,000, while the minimum will be $250,000. HUD has the authority to
reduce the grant amount. Several applications were disqualified last
year because they exceeded the maximum amount. Each applicant must
submit an application within this range. Institutions of higher
education which received COPC grants in FY 1994 are not eligible to
receive another COPC grant under this funding round.
C. Description of Competition
The Congress has mandated that the Department carry out ``a 5-year
demonstration to determine the feasibility of facilitating partnerships
between institutions of higher education and communities to solve urban
problems through research, outreach and the exchange of information.''
The COPC Act stipulates that grants are to go to public and private
institutions of higher education to establish and operate Community
Outreach Partnership Centers (COPC). These COPCs shall: ``(A) Conduct
competent and qualified research and investigation on theoretical or
practical problems in large and small cities; and (B) Facilitate
partnerships and outreach activities between institutions of higher
education, local communities, and local governments to address urban
problems.''
The specific problems that grants under the COPC program must focus
on are ``problems associated with housing, economic development,
neighborhood revitalization, infrastructure, health care, job training,
education, crime prevention, planning, community organizing, and other
areas deemed appropriate by the Secretary.''
Furthermore, the COPC Act states: ``The Secretary shall give
preference to institutions of higher education that undertake research
and outreach activities by bringing together knowledge and expertise in
the various disciplines that relate to urban problems.''
Local COPC programs must combine research with outreach, work with
communities and local governments and address the multi-dimensional
problems that beset urban areas. The Department is mindful that, for
some institutions, such a comprehensive approach may be beyond the
current capacity of the institution. Because HUD is interested in
funding as wide a range of eligible institutions as possible, it is
making a change in the focus of the program. This year applications do
not have to be comprehensive in their approach to local problems.
However, while single purpose applications (e.g., assisting the
homeless, small business development) will not be eligible, a less than
comprehensive scope, addressing three or more urban problems will be
acceptable (see Selection Factor #1 for the comprehensive list of urban
problems that the program can cover).
To be most effective during the term of the demonstration, the
assisted research must have a clear near-term potential for solving
specific, significant urban problems. The selected institutions must
have the capacity to apply their research results and to work with
communities and local institutions, including neighborhood groups, in
applying these results to specific real-life urban problems.
D. Eligible Applicants
Applicants for this competition must be public or private nonprofit
institutions of higher education granting four year degrees and
accredited by a national or regional accrediting agency recognized by
the Department of Education. Consortia of institutions are eligible to
apply. The Department is interested in expanding the outreach capacity
of not only colleges and universities but also junior, technical, and
community colleges. While some four-year colleges will want to apply
directly for a COPC, others may not feel they have the credentials or
the capacity to operate a COPC. Two-year colleges by themselves are not
eligible, but they can apply with a school offering a four-year
program. But both four-year and two-year colleges by themselves have
strengths they could bring to a COPC. Thus, a selection factor has been
added to encourage the creation of such consortia. If the application
is submitted on behalf of a consortium of institutions, one institution
must be designated as the legal applicant. Each institution may be part
of only one consortium or submit only one application, although the
application can include various schools within the institution.
While the program focuses on ``urban'' problems, applicants do not
have to be located in or assist urban areas.
E. Program Requirements
Grantees must meet the following program requirements:
1. Responsibilities. In accordance with section 851(h) of the HCD
Act of 1992, each COPC shall:
``(a) Employ the research and outreach resources of its sponsoring
institution of higher education to solve specific urban problems
identified by communities served by the Center;
(b) Establish outreach activities in areas identified in the grant
application as the communities to be served;
(c) Establish a community advisory committee comprised of
representatives of local institutions and residents of the communities
to be served to assist in identifying local needs and advise on the
development and implementation of strategies to address those issues;
(d) Coordinate outreach activities in communities to be served by
the Center;
(e) Facilitate public service projects in the communities served by
the Center;
(f) Act as a clearinghouse for dissemination of information;
(g) Develop instructional programs, convene conferences, and
provide training for local community leaders, when appropriate; and
(h) Exchange information with other Centers.''
The clearinghouse function in (f) above refers to a local or
regional clearinghouse for dissemination of information and is separate
and distinct from the functions in (h) above, which relate to the
provision of information to the National Clearinghouse which, as
mentioned in section I.A. above will serve all funded COPCs.
2. Match. Grantees must meet the following match requirements:
(a) Research Activities. 50 percent of the total project costs of
establishing and operating research activities.
(b) Outreach Activities. 25 percent of the total project costs of
establishing and operating outreach activities.
This non-Federal share may include cash or the value of non-cash
contributions, equipment and other allowable in-kind contributions as
detailed in Attachment E of OMB Circular No. A-110, Grants and
Agreements with Institutions of Higher Education, Hospitals, and other
Nonprofit organizations.
Because there was confusion last year about the calculation of the
match, an example is provided.
Assume that the total project cost for a COPC was $1 million, with
$250,000 for research and $750,000 for outreach. Note that this project
meets the requirement that no more than 25 percent of the total project
costs be for research. The total amount of the match required to be
provided would be $312,500. The research match would be $125,000
($250,000 X 50 percent) and the outreach match would be $187,500
($750,000 X 25 percent). The Federal grant requested would be $687,500
($1 million minus the match of $312,500). In calculating the match,
administrative costs should be applied to the appropriate attributable
outreach or research component.
3. Administrative. The grant will be governed by the provision of
OMB Circulars A-110 (Grants and Agreements with Institutions of Higher
Education, Hospitals and other Nonprofit Organizations), A-122 (Cost
Principles for Nonprofit Organizations), and A-133 (Audits of
Institutions of Higher Education and other Nonprofit Institutions), as
implemented at 24 CFR part 45.
F. Eligible Activities
Eligible activities include:
1. Research activities which have practical application for solving
specific problems in designated communities and neighborhoods. Such
activities may not total more than one-quarter of the total project
costs contained in any grant made under this NOFA (including the
required 50 percent match).
2. Outreach, technical assistance and information exchange
activities which are designed to address specific problems in
designated communities and neighborhoods. Such activities must total no
less than three-quarters of the total project costs contained in any
grant made under this NOFA (including the required 25 percent match).
Examples of outreach activities include, but are not limited to:
(a) Job training and other training projects, such as workshops,
seminars and one-on-one and on-the-job training;
(b) Design of community strategies to resolve urban problems of
communities and neighborhoods;
(c) Innovative use of funds to provide direct technical expertise
and assistance to local community groups and residents to help them
resolve local problems such as homelessness and housing discrimination;
(d) Assistance in business start-up activities for low-and
moderate-income individuals and organizations, including business
start-up training and technical expertise and assistance, mentor
programs, assistance in developing small loan funds, business
incubators, etc; and
(e) Assistance to communities to improve consolidated housing and
community development plans and remove impediments to design and
implementation of such plans.
3. Funds for faculty development including paying for course time
or summer support to enable faculty members to work on the COPC.
4. Funds for stipends for students (which can not cover tuition and
fees) when they are working on the COPC.
5. Activities to carry out the ``Responsibilities'' listed under
Section I.E.1.
G. Ineligible Activities
Ineligible activities are:
1. Research activities which have no clear and immediate practical
application for solving urban problems or do not address specific
problems in designated communities and neighborhoods.
2. Any type of construction, rehabilitation, or other physical
development costs.
3. Costs used for day-to-day administration of regular programs of
institutions of higher education, local governments or neighborhood
groups.
II. Selection Criteria/Rating Factors
A. Rating Factors
As a result of a year of experience under the program, the
Department has decided to streamline and revise the selection criteria.
Changes are noted in the discussion of specific factors. HUD will use
the following criteria to rate and rank applications received in
response to this NOFA. The factors and maximum points for each factor
are provided below. The maximum number of points is 100.
Rating of the ``applicant'' or the ``applicant's organization and
staff'', unless otherwise specified, will include any sub-contractors,
consultants and sub-recipients which are firmly committed to the
project.
(1) (10 points) The demonstrated research and outreach resources
available to the applicant for carrying out the purposes of the COPC
Act. In rating this factor, HUD will consider the extent to which the
applicant's organization and staff have recent, relevant and successful
experience in:
(a) Undertaking research activities in specific communities which
have clear near-term potential for practical application to significant
urban problems associated with housing, economic development,
neighborhood revitalization, infrastructure, health care, job training,
education, crime prevention, planning and community organizing, and
(b) Undertaking outreach activities in specific communities to
solve or ameliorate the impact of significant urban problems. Under
this factor, HUD will also evaluate the capability of the applicant to
provide leadership in solving community problems and in making national
contributions to solving long-term and immediate urban problems. In the
FY 1994 competition, research and outreach resources and local and
national prominence were three separate selection factors.
(2) (10 points) The demonstrated commitment of the applicant to
supporting research and outreach programs by providing matching
contributions for the Federal assistance received. In rating this
factor, HUD will provide an increasing number of points for increasing
amounts of contributions beyond the statutory 50 percent for research
and 25 percent for outreach. Maximum points will be awarded for
applications that secure 50 percent more than the amount of match
required. Points will also be awarded based on the tangibility of the
match, with cash and services being rated higher than indirect
contributions.
(3) (10 points) The extent of need in the communities to be served
by the applicant. HUD will consider the extent to which the proposal
clearly delineates a need or needs in the specific communities or
neighborhoods (including colonias, where appropriate), that can be
resolved through the activities of a COPC. The applicant must
demonstrate how these needs were determined and how the COPC will help
resolve these needs.
(4) (10 points) The demonstrated ability of the applicant to
disseminate results of research and successful strategies developed
through outreach activities to other COPC and communities served
through this demonstration program. In rating this factor, HUD will
evaluate the past experience of the applicant's staff and the scope and
the quality of the applicant's proposal to disseminate information on
its own and other COPC research results and strategies to: (a) local
communities in its area and (b) other communities and COPC through the
National Clearinghouse.
(5) (35 points) The projects and activities that the applicant
proposes to carry out under the grant. This factor has two sub-factors:
(a) effectiveness of the research strategy (10 points), and (b)
effectiveness of the outreach strategy (25 points).
(a) In rating the effectiveness of the research strategy, HUD will
consider the extent to which the applicant's proposal outlines a clear
research agenda related to local needs that can be successfully carried
out within the period of this grant; and
(b) Demonstrates how the research to be undertaken will fit into
the outreach strategy and activities. In rating the effectiveness of
the outreach factor, HUD will consider the extent to which:
(i) The application identifies a clear outreach agenda related to
locally-identified needs that can be successfully carried out within
the period of this grant;
(ii) The outreach agenda includes design of a community strategy to
resolve community and neighborhood problems; and
(iii) The outreach program provides for on-site or a frequent
presence in the communities and neighborhoods to be assisted through
outreach activities.
(6) (10 points) The extent of neighborhood and neighborhood based
organization participation in the planning and implementation of the
COPC. In rating this factor, HUD will consider whether:
(a) One or more effective community advisory committees comprised
of representatives of local institutions and a balance of racial/
ethnic, gender and income mix of residents of the communities (and,
where appropriate, colonias) to be served has been or will be formed to
participate in identifying local needs to be addressed by the COPC and
to form a partnership with the COPC to develop and implement strategies
to address those needs;
(b) There is a plan for involving the community advisory
committee(s) in the execution of the research and outreach agenda; and
(c) The outreach agenda includes training projects for local
community leaders, when appropriate.
(7) (5 points) The application is submitted by a consortium
composed of a variety of different kinds of post-secondary
institutions. Maximum points will be awarded to consortia composed of
universities, colleges and junior, technical or community colleges.
(8) (10 points) The overall concept and organization of the
application. In rating this factor, HUD will consider:
(a) The interrelatedness of the components of the application, such
as the relationship of the research capacity to dissemination and
outreach activities; and
(b) The likelihood that the project can be initiated and completed
within the two year grant period, as measured by such elements as
sufficient staff, realistic schedules, the quality of supervision and
project management, and the likelihood that other related commitments
essential to the project will be in place.
B. Selection Process
Applications for funding under this NOFA will be evaluated
competitively and points will be awarded as specified in the Rating
Factors section described above. Applications will be reviewed by a
combination of external peers and internal reviewers. After assigning
points based upon the factors all applications will be listed in rank
order. Applications will then be funded in rank order until all
available funds have been expended. However, in order to be funded, an
applicant must receive a minimum score of 70. HUD reserves the right to
fund all or portions of the proposed activities identified in each
application, based upon the eligibility of the proposed activities.
If two or more applications have the same number of points, the
application with the most points for rating factor (6) shall be
selected. If there is still a tie, the application with the most points
for rating factor (7) shall be selected.
If the amount of funds remaining after funding as many of the
highest ranking applications as possible is insufficient for the next
highest ranking application, HUD shall determine (based upon the
proposed activities) if it is feasible to fund part of the application
and offer a smaller grant to the applicant. If HUD determines that
given the proposed activities a smaller grant amount would make the
activities infeasible, or if the applicant turns down the reduced grant
amount, HUD shall make the same determination for the next highest
ranking application until all applications with scores of at least 70
points or available funds have been exhausted.
If HUD receives an insufficient number of applications to exhaust
all funds, or if funds remain after HUD approves all approvable
applications, HUD may negotiate increased amounts of grant awards up to
an additional $250,000. Increased grants will be offered in rank order
to applicants with scores of at least 70 points.
C. Geographic Distribution
HUD reserves the right to make selections out of rank order to
provide for a geographic distribution of funded COPCs. The geographic
balance that HUD will use, if it decides to implement this option, will
be based on a combination of two adjacent standard HUD regions (e.g.,
Southwest and Southeast Regions, Great Plains and Midwest Regions,
etc.). If the rank order does not yield at least one fundable COPC
within each two region combination, then HUD may select the highest
ranking application from such a combination, as long as the minimum
score of 70 is achieved.
It is HUD's intent to fund at least one COPC that serves the
colonias, as defined by Section 916(d) of the Cranston-Gonzalez
National Affordable Housing Act, as long as the applicant receives a
minimum score of 70.
III. Application Process
A. Obtaining Applications
To obtain a copy of the application kit, contact: HUD USER, ATTN:
COPC, P.O. Box 6091, Rockville, Maryland 20850. Requests for
application kits must be in writing, but requests may be faxed to: 301-
251-5747 (this is not a toll-free number). Requests for application
kits must include the applicant's name, mailing address (including zip
code), telephone number (including area code) and must refer to
``Document FR-3825.'' HUD strongly recommends the use of the fax
transmission option to promote accuracy and expedite HUD response time.
B. Application Deadline
To be considered for funding, the application package must be
physically received by the Office of University Partnerships, Office of
Policy Development and Research, Department of Housing and Urban
Development, in care of the Division of Budget, Contracts, and Program
Control, Room 8230, 451 Seventh Street, SW., Washington, DC 20410 by
4:30 p.m. Eastern Standard Time on February 15, 1995. The application
deadline is firm as to date, hour and place. In the interest of
fairness to all competing applicants, the Department will treat as
ineligible for consideration any application that is received after the
deadline. Applicants should take this practice into account and make
early submission of their materials to avoid any risk of loss of
eligibility brought about by unanticipated delays or other delivery-
related problems.
IV. Checklist of Application Submission Requirements
A. Application Content
The application kit contains instructions which must be followed in
submitting an application. The following is a checklist of the
application contents that will be specified in the Request for Grant
Applications (the technical term for the application kit):
(1) Transmittal letter signed by the Chief Executive Officer of the
institution;
(2) OMB Standard Form 424 (Application for Federal Assistance),
Form 424B (Non-Construction Assurances) and Budget Summary;
(3) Executive summary of the proposed COPC;
(4) Statement of Work (no more than 15 pages) which must
incorporate all eligible activities proposed in the application and
detail how the proposed work will be accomplished. Following a task-by-
task format, the Statement of Work must:
(a) Delineate the tasks and sub-tasks involved in each of the areas
for which the COPC is responsible, including research activities,
outreach/technical assistance activities, community advisory committee
activities, local/regional clearinghouse activities, and other
activities necessary to carry out the responsibilities delineated under
Program Requirement #1, Responsibilities, outlined above.
(b) Indicate the sequence in which the tasks are to be performed,
noting areas of work which must be performed simultaneously.
(c) State the intermediate and end products to be developed by task
and sub-task.
(d) Provide a framework for, and be consistent with, the Project
Management Work Plan requirements.
(5) Narrative summary of Project Management Work Plan.
(6) Narrative statement addressing each of the rating factors in
Section II of this NOFA.
B. Certifications and Exhibits
Applications must also include the following:
(1) Drug-Free Workplace Certification.
(2) Form SF-LLL, Disclosure of Lobbying Activities, if applicable.
(3) Form HUD-2280, Applicant/Recipient Disclosure/Update Report.
V. Corrections to Deficient Applications
After the submission deadline date, HUD will screen each
application to determine whether it is complete. If an application
lacks certain technical items or contains a technical error, such as an
incorrect signatory, HUD will notify the applicant in writing that it
has 14 calendar days from the date of HUD's written notification to
cure the technical deficiency. If the applicant fails to submit the
missing material within the 14-day cure period, HUD will disqualify the
application.
This 14-day cure period applies only to non-substantive
deficiencies or errors. Any deficiency capable of cure will involve
only items not necessary for HUD to assess the merits of an application
against the factors specified in this NOFA.
VI. Other Matters
Environmental Review
In accordance with 40 CFR 1508.4 of the regulations of the Council
on Environmental Quality and 24 CFR 50.20(b) of the HUD regulations,
the policies and procedures in this document relate only to the
provision of research, training and technical assistance which do not
result in physical change and therefore are categorically excluded from
the requirements of the National Environmental Policy Act.
Federalism Impact
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that the policies
and procedures contained in this notice will not have substantial
direct effects on States or their political subdivisions, or the
relationship between the federal government and the states, or on the
distribution of power and responsibilities among the various levels of
government. As a result, the notice is not subject to review under the
Order. Specifically, the notice solicits participation in an effort to
provide assistance to institutions of higher education for establishing
and carrying out research and outreach activities addressing the
problems of urban areas. The COPCs established under this notice will
work with local communities to help resolve urban problems. The notice
does not impinge upon the relationships between the Federal government
and State or local governments.
Impact on the Family
The General Counsel, as the Designated Official under Executive
Order 12606, The Family, has determined that this notice will likely
have a beneficial impact on family formation, maintenance, and general
well-being. The assistance to be provided by the funding under this
NOFA is expected to help local residents to become self-sufficient by
improving living conditions and standards. Accordingly, since the
impact on the family is beneficial, no further review is considered
necessary.
Documentation and Public Access Requirements: HUD Reform Act
HUD will ensure that documentation and other information regarding
each application submitted pursuant to this NOFA are sufficient to
indicate the basis upon which assistance was provided or denied. This
material, including any letters of support, will be made available for
public inspection for a five-year period beginning not less than 30
days after the award of the assistance. Material will be made available
in accordance with the Freedom of Information Act (5 U.S.C. 552) and
HUD's implementing regulations at 24 CFR part 15. In addition, HUD will
include the recipients of assistance pursuant to this NOFA in its
quarterly Federal Register notice of all recipients of HUD assistance
awarded on a competitive basis. (See 24 CFR 12.14(a) and 12.16(b), and
the notice published in the Federal Register on January 16, 1992 (57 FR
1942), for further information on these requirements.)
Prohibition Against Advance Information on Funding Decisions
HUD's regulation implementing section 103 of the HUD Reform Act is
codified at 24 CFR part 4, and applies to this funding competition. The
requirements of the rule continue to apply until the announcement of
the selection of successful applicants.
HUD employees involved in the review of applications and in the
making of funding decisions are restrained by part 4 from providing
advance information to any person (other than an authorized employee of
HUD) concerning funding decisions, or from otherwise giving any
applicant an unfair competitive advantage. Persons who apply for
assistance in this competition should confine their inquiries to the
subject areas permitted under 24 CFR part 4.
Applicants who have questions should contact the HUD Office of
Ethics (202) 708-3815. (This is not a toll-free number.) The Office of
Ethics can provide information of a general nature to HUD employees, as
well. However, a HUD employee who has specific program questions, such
as whether particular subject matter can be discussed with persons
outside the Department, should contact his or her Field counsel, or
Headquarters counsel for the program to which the question pertains.
Prohibition Against Lobbying of HUD Personnel
Section 13 of the Department of Housing and Urban Development Act
(42 U.S.C. 3537b) contains two provisions dealing with efforts to
influence HUD's decisions with respect to financial assistance. The
first imposes disclosure requirements on those who are typically
involved in these efforts--those who pay others to influence the award
of assistance or the taking of a management action by the Department
and those who are paid to provide the influence. The second restricts
the payment of fees to those who are paid to influence the award of HUD
assistance, if the fees are tied to the number of housing units
received or are based on the amount of assistance received, or if they
are contingent upon the receipt of assistance.
The rule implementing section is codified at 24 CFR part 86. If
readers are involved in any efforts to influence the Department in
these ways, they are urged to read part 86, particularly the examples
contained in Appendix A of the regulation.
Any questions about the rule should be directed to the Office of
Ethics, Room 2158, Department of Housing and Urban Development, 451
Seventh Street, SW., Washington, DC 20410-3000. Telephone: (202) 708-
3815 TDD: (202) 708-1112. These are not toll-free numbers. Forms
necessary for compliance with the rule may be obtained from the local
HUD office.
Prohibition Against Lobbying Activities
The use of funds awarded under this NOFA is subject to the
disclosure requirements and prohibitions of Section 319 of the
Department of Interior and Related Agencies Appropriations Act for
Fiscal Year 1990 (31 U.S.C. 1352) and the implementing regulations at
24 CFR part 87. These authorities prohibit recipients of federal
contracts, grants, or loans from using appropriated funds for lobbying
the Executive or Legislative Branches of the Federal Government in
connection with a specific contract, grant, or loan. The prohibition
also covers the awarding of contracts, grants, cooperative agreements,
or loans unless the recipient has made an acceptable certification
regarding lobbying. Under 24 CFR part 87, applicants, recipients, and
subrecipients of assistance exceeding $100,000 must certify that no
federal funds have been or will be spent on lobbying activities in
connection with the assistance.
Protection of Human Subjects
45 CFR, part 46, Subtitle A on the protection of human subjects
does not apply to the COPC program because the research activities to
be conducted under the program are only incidentally regulated by the
Department solely as part of it's broader responsibility to regulate
certain types of activities whether research or non-research in nature.
Authority: 42 U.S.C. 5307 note.
Dated: December 5, 1994.
Michael A. Stegman,
Assistant Secretary for Policy Development and Research.
[FR Doc. 94-31419 Filed 12-21-94; 8:45 am]
BILLING CODE 4210-62-P
