82 FR 28333 - Authority To Accept Unsolicited Proposals for Research Partnerships

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

Federal Register Volume 82, Issue 118 (June 21, 2017)

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.

[Federal Register Volume 82, Number 118 (Wednesday, June 21, 2017)]
[Notices]
[Pages 28333-28336]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-12948]


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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-6038-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: Proposals may be submitted at any time and will be evaluated as 
they are received. Available funds will be awarded as proposals are 
received, evaluated, and approved, until funds are exhausted.

ADDRESSES: You may submit comments, identified by docket number and 
title, by email, at: Research[email protected], or by mail, at: 
Attention: Housing and Urban Development, Office of University 
Partnerships, 451 7th Street SW., Room 8226, Washington, DC 20410.

[[Page 28334]]


FOR FURTHER INFORMATION CONTACT: Kinnard Wright, Grant Specialist, Room 
8226, 451 Seventh Street SW., Washington, DC 20410, telephone number 
202-402-7495, or Madlyn Wohlman-Rodriguez, Grant Specialist, Room 8226, 
451 Seventh Street SW., Washington, DC 20410, telephone number 202-402-
5939. ATTENTION: Persons with speech or hearing impairments may call 
the Federal Relay Service TTY at 800-877-8339.

SUPPLEMENTARY INFORMATION: The Consolidated Appropriations Act, 2017, 
(Pub. L. 115-31, enacted May 5, 2017) (FY 2017 appropriation) 
authorizes PD&R to enter 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

I. Program Description

    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 can 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 HUD answer key policy and programmatic 
questions in ways that can inform new policy and program development 
efforts.

II. Research Priorities

    The documents that establish a framework for HUD's research 
priorities are the HUD Strategic Plan (https://portal.hud.gov/hudportal/documents/huddoc?id=hudstrategicplan2014-2018.pd), which 
specifies the Department's mission and strategic goals for program 
activities; and the HUD Research Roadmap: 2017 Update (https://www.huduser.gov/portal/pdf/ResearchRoadmap-2017Update.pdf), which is 
the most recent integration of diverse stakeholder viewpoints into 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 Roadmap Update identifies research projects 
that PD&R is considering for the near future under 12 focus areas:

(1) Housing Affordability (Markets)
(2) Housing Affordability (Programs)
(3) Policy Lessons from Moving to Work Expansion
(4) Energy and Resilience
(5) Education
(6) Health
(7) Mobility
(8) Place-based Strategies
(9) Crosscutting--Fair Housing
(10) Crosscutting--Building Technology
(11) Crosscutting--Other
(12) Data Infrastructure

    The authority that Congress provided HUD to enter noncompetitive 
cooperative agreements for research is a central tool for fulfilling 
the Roadmap's vision for research collaboration. Potential research 
partners are encouraged to develop research proposals that inform 
important and emerging policy and program objectives of HUD that are 
not otherwise being addressed and that focus on HUD research 
priorities. A few examples of potentially useful research topics are 
presented in the following list for each of HUD's current strategic 
goals.
    A. Strengthening Housing Markets: Homeownership and Housing 
Finance. HUD is interested in research in diverse areas of 
homeownership and housing finance:
    1. Improving outcomes for struggling homeowners and communities in 
the areas of foreclosures, mortgage modification protocols, and real-
estate owned properties;
    2. 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;
    3. Updating federal support structures for single-family and 
multifamily housing finance in a reformed housing finance system; and
    4. Strengthening models of public-private partnership to increase 
availability of mortgage capital and ensure sustained homeownership and 
wealth accumulation by low-income and disadvantaged homebuyers.
    B. 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):
    1. Improving program operations and responses to changing market 
conditions;
    2. Identifying rent subsidy approaches that could meet housing 
needs more efficiently and support self-sufficiency, such as by 
leveraging opportunities for rent reform experiments when extending 
Moving To Work flexibilities to additional housing agencies;
    3. Better understanding how HUD's programs and tenant outcomes are 
affected by tenant and landlord behavior, supports, and the framing of 
choices; and
    4. Strengthening models of public-private partnership to increase 
production and preservation of decent, safe, and affordable housing in 
neighborhoods of opportunity.
    C. Housing as a platform for improving quality of life. HUD is 
interested in how housing matters for human outcomes, and specifically 
how HUD-provided housing assistance, and HUD collaborations with public 
and private partners, can best improve quality of life of assisted 
residents and produce spillover benefits for other systems and 
communities:
    1. Improving educational outcomes of children and adults, and early 
learning, child development, and parenting;
    2. Improving health and wellness outcomes and integration with 
health systems;
    3. Increasing economic security and self-sufficiency, including 
work participation and asset development by able-bodied residents; and
    4. 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.
    D. Resilient and inclusive communities. HUD is interested in 
collaborative, innovative, evidence-based approaches to deal with long-
standing and emerging community development challenges in suburban, 
rural and tribal areas:
    1. Leveraging cost-effective housing technology in HUD-funded 
housing or other housing to reduce energy costs, improve disaster 
resilience, and improve tenant outcomes;
    2. Cost-effective approaches to address the public health burden of 
lead paint, lead dust in soil, and asthma triggers in housing and 
communities;
    3. Strengthening fair housing outcomes in local markets, including 
through public-private partnerships;
    4. Strengthening community resilience in the face of climate 
change, disasters, pestilence and energy shocks; and
    5. Promoting reduction of regulatory barriers to affordable housing 
and integrated mixed-income communities.

[[Page 28335]]

III. HUD Research 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. PD&R is interested in 
seeing these assets leveraged in ways that may, or may not, be 
specifically referenced in the Roadmap Update 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. In considering potential research partnerships, PD&R urges 
organizations to consider ways to take advantage of key research 
assets, HUD's data infrastructure, that the Roadmap Update identifies 
as part of HUD's comparative advantage.
    A. 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, regarding the Moving to Opportunity 
demonstration, researchers continue to answer relevant policy questions 
using the existing data. Examples of demonstrations that are underway 
include 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/research/home.html.
    B. 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.
    C. HUD administrative data linkages. PD&R has partnered with the 
National Center for Health Statistics (NCHS) to longitudinally link 
HUD's administrative records for rental assistance participants with 
the National Health Interview Survey, the National Health and Nutrition 
Examination Survey, and associated NCHS linked files for Medicare, 
Medicaid, and mortality data. These data resources are available 
through the NCHS research data centers (https://www.cdc.gov/nchs/data-linkage/hud.htm).
    HUD and the Census Bureau have entered an interagency agreement for 
the Center for Administrative Records Research and Applications (CARRA) 
to link data from demonstrations and administrative systems with survey 
data and other administrative records. PD&R encourages research 
partnerships that effectively use data assets through public use data 
or restricted access arrangements with CARRA or NCHS research data 
centers. Further information is available at: https://www.huduser.gov/portal/pdrdatas_landing.html.

IV. Protection of Human Research Subjects

    HUD will require successful applicants to comply with requirements 
of the federal Common Rule (24 CFR part 60) 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 subject's research begins.
    A. 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.
    B. 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.
    C. 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/publications/pdf/data_license.pdf 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].
    D. Upon receipt, the application will be forwarded to the 
appropriate PD&R office for review and approval. A HUD data license is 
not required to use the HUD-NCHS linked datasets, but a HUD research 
partnership can support waivers of NCHS fees for the research data 
center if a research proposal is accepted by NCHS.

V. Description of Awards

    A. Available Funds. HUD is making approximately $1 million 
available for Research Partnerships. Additional funds may become 
available for award because 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. Cooperative Agreement.

VI. 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.

VII. Proposal and Submission Information

    A. Proposal Submission. All proposals should be submitted

[[Page 28336]]

electronically to Research [email protected] or mail to 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 II 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 
description of the research project, including the methodology being 
used, and its alignment with the PD&R research priorities identified. 
Specific components should include:
    a. Clearly and thoroughly describe your proposed study and its 
design, and identify the major objectives;
    b. The study should be presented as a logical sequence of steps or 
phases with individual tasks described for each phase;
    c. 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;
    d. Describe the methodological and 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;
    e. Discuss your plans for data management, analysis, and archiving;
    f. You should identify any important ``decision points'' in your 
study plan;
    g. You should describe/list deliverables and associated timeframes; 
and
    h. 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 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 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 15, 2017.
Matthew E. Ammon,
General Deputy Assistant Secretary for Policy Development and Research.
[FR Doc. 2017-12948 Filed 6-20-17; 8:45 am]
BILLING CODE 4210-67-P