[Federal Register: November 9, 2004 (Volume 69, Number 216)]
[Rules and Regulations]
[Page 65023-65025]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr09no04-20]
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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
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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]
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