2007 Doctoral Dissertion Research NOFA

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Federal Register / Vol. 72, No. 48 / Tuesday, March 13, 2007 / Notices
The Early Doctoral Student Research
Grant Program and Doctoral
Dissertation Research Grant Program
Overview Information
A. Federal Agency Name: Department
of Housing and Urban Development,
Office of Policy Development and
Research, Office of University
Partnerships.
B. Funding Opportunity Title: The
Early Doctoral Student Research Grant
(EDSRG) Program and the Doctoral
Dissertation Research Grant (DDRG)
Program.
C. Announcement Type: Initial
announcement.
D. Funding Opportunity Number: FR–
5100–N–27; OMB Approval Numbers
are:
1. Early Doctoral Student Research
Grant Program is 2528–0216.
2. Doctoral Dissertation Research
Grant Program is 2528–0213.
E. Catalog of Federal Domestic
Assistance (CFDA) Number(s): The
CFDA Numbers for the programs in this
NOFA are as follows:
1. Early Doctoral Student Research
Grant Program is 14.517
2. Doctoral Dissertation Research
Grant Program is 14.516
F. Dates: The application deadline
date is May 2, 2007. Applications must
be received and validated by Grants.gov
by the deadline date. Please be sure to
read the General Section for electronic
submission and receipt requirements.

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G. Optional, Additional Overview
Content Information
1. Purpose of the University Partnership
Dissertation Programs
a. Early Doctoral Student Research
Grant (EDSRG) Program. To enable
doctoral students enrolled at
institutions of higher education
accredited by a national or regional
accrediting agency recognized by the
U.S. Department of Education to
cultivate their research skills through
the preparation of research manuscripts
that focus on policy-relevant housing
and urban development issues.
b. Doctoral Dissertation Research
Grant (DDRG) Program. To enable
doctoral candidates enrolled at
institutions of higher education
accredited by a national or regional
accrediting agency recognized by the
U.S. Department of Education to
complete their research and
dissertations on policy-relevant housing
and urban development issues.
2. Award Information. In Fiscal Year
(FY) 2007, approximately $405,000 has
been made available for the following
Office of University Partnerships (OUP)
dissertation programs.

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a. Early Doctoral Student Research
Grant Program. Approximately $105,000
is available for funding. The maximum
grant performance period is 12 months.
The maximum amount that can be
requested by a doctoral student is
$15,000.
b. Doctoral Dissertation Research
Grant Program. Approximately $300,000
is available for funding. The maximum
grant performance period is 24 months.
The maximum amount that can be
requested by a doctoral student is
$25,000.
If funding remains after all eligible
EDSRG doctoral students have been
selected for award, the remaining funds
will be made available to fund eligible
DDRG doctoral students. If funding
remains after all eligible DDRG doctoral
students have been selected for award,
the remaining funds will be made
available to fund eligible EDSRG
doctoral students.
3. Eligible Applicants. Eligible
applicants are institutions of higher
education accredited by a national or
regional accrediting agency recognized
by the U.S. Department of Education
that sponsor doctoral students who meet
the following program requirements:
a. Early Doctoral Student Research
Grant Program. Doctoral students
sponsored for funding under this
program must meet the following
requirements:
(1) Be a U.S. citizen or lawful
permanent resident (recipient of an
Alien Registration Recipient Card-Form
I–551, commonly referred to as a Green
Card) currently enrolled as a full-time
student in an accredited doctoral
program;
(2) Have a major or concentration
within a field related to housing and
urban development;
(3) Have not taken the preliminary/
comprehensive examinations;
(4) Completed at least two semesters
or three terms of a doctoral studies
program (depending on the course
structure of the institution); and
(5) Have an assigned faculty advisor
to supervise the research manuscript.
b. Doctoral Dissertation Research
Grant Program. Doctoral students
sponsored for funding under this
program must meet the following
requirements:
(1) Be a U.S. citizen or lawful
permanent resident (recipient of an
Alien Registration Recipient Card-Form
I–551, commonly referred to as a Green
Card) currently enrolled an accredited
doctoral program;
(2) Have an approved dissertation
proposal;
(3) By the application deadline date,
the student’s dissertation proposal will

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be accepted by the full dissertation
committee;
(4) The student will have an assigned
dissertation advisor; and
(5) By September 1, 2007, the student
will have satisfactorily completed all
other written and oral doctoral degree
requirements, including all
examinations and defense of the
proposal, except the dissertation.
Full Text Of Announcement
I. Funding Opportunity Description
A. Early Doctoral Student Research
Grant (EDSRG) Program
The purpose of the EDSRG program is
to enable doctoral students enrolled at
an institution of higher education
accredited by a national or regional
accrediting agency recognized by the
U.S. Department of Education to
cultivate their research skills through
the preparation of research manuscripts
that focus on policy-relevant housing
and urban development issues. The
FY2007 EDSRG program seeks to fund
research studies that may impact federal
problem solving and policymaking and
that are relevant to HUD’s policy
priorities and annual goals and
objectives. (See the General Section for
discussion of these priorities and annual
goals and objectives.)
B. Doctoral Dissertation Research Grant
(DDRG) Program
The purpose of the DDRG program is
to enable doctoral candidates enrolled at
institutions of higher education
accredited by a national or regional
accrediting agency recognized by the
U.S. Department of Education to
complete their research and
dissertations on policy-relevant housing
and urban development issues. The
FY2007 DDRG program seeks to fund
research studies that may impact federal
problem solving and policymaking and
that are relevant to HUD’s policy
priorities and annual goals and
objectives. (See the General Section for
discussion of these priorities and annual
goals and objectives.)
C. Topics
Examples of topics addressing these
issues (applicable to both the EDSRG
and DDRG programs) include but are
not limited to:
1. Increase Homeownership
Opportunities
a. Increase Minority Homeownership.
b. Simplify the Home Buying Process
(RESPA reform) and Reduce Settlement
Costs.
c. Set Appropriate Housing Goals for
the GSEs.

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E. Modifications

d. Counter Predatory Lending.
e. Help Low-Income Homeowners
Avoid Default and Foreclosure.
f. Evaluate Housing Counseling.
2. Promote Decent Affordable Housing
a. Reduce Regulatory Barriers to the
Development of Affordable Housing, as
well as All Forms of Multifamily
Housing.
b. Develop Creative Strategies for
Expanding the Availability of
Affordable Housing.
c. Strengthen the Delivery of HUDFunded Rental Assistance and
Assistance Provided Through the LowIncome Housing Tax Credit.
d. Promote Self-Sufficiency Among
Residents of Public and Assisted
Housing.
e. Meet the Housing-Related Needs of
the Elderly.
f. Meet the Housing-Related Needs of
Persons with Disabilities.
g. Improve Housing Quality and
Affordability through Technology and
Design.
3. Strengthen Communities
a. End Chronic Homelessness.
b. Prevent Homelessness.
c. Strengthen Cities.
d. Meet the Housing and Community
and Economic Development Needs of
Residents of High-Needs Areas,
including areas affected by Hurricane
Katrina, Appalachia, the Mississippi
Delta, and Indian Country.
4. Ensure Equal Opportunity in Housing
a. Reduce Housing Discrimination.
b. Improve Housing Accessibility for
Persons with Disabilities.
5. Embrace High Standards of Ethics,
Management, And Accountability
a. Reduce Fraud, Waste, and Abuse in
HUD-Funded Programs.
b. Improve the Effectiveness of HUD
Programs Through Program Evaluations
and Performance Measurement.

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6. Promote Participation of Faith-Based
and Community Organizations
a. Strengthen the Capacity of FaithBased and Community Organizations.
D. Authority
HUD’s authority for making funding
available under this NOFA is the
Revised Continuing Appropriations
Resolution, 2007 (Pub. L. 110–5;
approved February 15, 2007). These
programs are undertaken under HUD’s
research authority under Title V of the
Housing and Urban Development Act of
1970. They are being implemented
through this NOFA and the policies
governing their operation are contained
herein.

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Listed below are major modifications
from the Fiscal Year (FY) 2005 programfunding announcement:
1. A support letter from the doctoral
student’s assigned faculty advisor is no
longer required.
2. A support letter from the doctoral
student’s institution is no longer
required to be submitted with the
application, but must be on file at the
time of application submission. This is
a threshold requirement. HUD will
require students chosen to proceed to
the next step in the selection process to
submit the support letter from the
institution seven (7) calendar days after
initial contact from the OUP. OUP will
provide specific instructions on how the
letter must be submitted at that time.
OUP must receive the support letter
within the allotted timeframe or the
application will not be funded.
3. All applicants submitting electronic
applications must attach their narrative
response to Rating Factors 1–4 as one
attachment.
4. The appendix section of an
application must not exceed five (5)
pages in length (excluding forms, budget
narrative, and assurances). An applicant
SHOULD NOT submit resumes,
commitment letters, memoranda of
understanding and/or agreements, or
other back-up material. Each page must
include the applicant’s name and be
numbered. HUD will not consider the
information on any excess page.
II. Award Information
In Fiscal Year (FY) 2007,
approximately $405,000 has been made
available for the Office of University
Partnerships (OUP) dissertation
programs as follows:
A. Early Doctoral Student Research
Grant Program. Approximately $105,000
will be made available for funding
under this program. The maximum
grant performance period is 12 months.
The maximum amount that can be
requested by a doctoral student is
$15,000.
B. Doctoral Dissertation Research
Grant Program. Approximately $300,000
will be made available for funding
under this program. The maximum
grant performance period is 24 months.
The maximum amount that can be
requested by a doctoral student is
$25,000. If funding remains after all
eligible EDSRG doctoral students have
been selected for award, the remaining
funds will be made available to fund
eligible DDRG doctoral students. If
funding remains after all eligible DDRG
doctoral students have been selected for
award, the remaining funds will be

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made available to fund eligible EDSRG
doctoral students.
III. Eligibility Information
A. Eligible Applicants. Eligible
applicants are institutions of higher
education accredited by a national or
regional accrediting agency recognized
by the U.S. Department of Education
that sponsor doctoral students who meet
the following program requirements:
1. Early Doctoral Student Research
Grant Program. Doctoral students
applying for funding under this program
must meet the following requirements:
a. Be a U.S. citizen or lawful
permanent resident (recipient of an
Alien Registration Recipient Card—
Form I–551, commonly referred to as a
Green Card) currently enrolled as a fulltime student in an accredited doctoral
program;
b. Have not taken the preliminary/
comprehensive examinations;
c. Have completed at least two
semesters or three terms of a doctoral
studies program (depending on the
course structure of the institution);
d. Have an assigned faculty advisor to
supervise the research manuscript.
2. Doctoral Dissertation Research
Grant Program. Doctoral students
applying for funding under this program
must meet the following requirements:
a. Be a U.S. citizen or lawful
permanent resident (recipient of an
Alien Registration Recipient Card—
Form I–551, commonly referred to as a
Green Card) currently enrolled in an
accredited doctoral program;
b. Have an approved dissertation
proposal;
c. By the application deadline date,
the student’s dissertation proposal has
been accepted by the full dissertation
committee and the student has been
assigned a dissertation advisor; and
d. By September 1, 2007, the student
will have satisfactorily completed all
other written and oral doctoral degree
requirements, including all
examinations and defense of the
proposal, except the dissertation.
B. Cost Sharing or Matching
None Required
C. Other
1. Eligible Activities. Grant funds
awarded under this NOFA must be used
to support direct costs incurred in the
timely completion of the research
product. Eligible costs include stipends,
computer software, purchase of data,
travel expenses to collect data,
transcription services, and
compensation for interviews.
2. Threshold Requirements
Applicable to All Applicants. All

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applicants and doctoral students must
comply with the threshold requirements
as defined in the General Section and
the requirements listed below.
Applications that do not meet these
requirements will be considered
ineligible for funding and will be
disqualified.
a. The doctoral student must meet the
eligibility requirement for the program
for which they are requesting funding as
defined in Section III.A;
b. University sponsorship. The
university shall enter into a Grant
Agreement with HUD that provides for
payment of the grant by HUD to the
university and from the university to the
approved doctoral student, and that
further provides all required
certifications and assurances. The
University shall agree to provide, as the
Principal Investigator under the Grant
Agreement, a faculty advisor or
chairperson of the doctoral student’s
dissertation committee who shall
supervise the student’s work under the
Grant Agreement;
c. The student’s institution must
provide a letter agreeing to support the
student. The letter must outline the
specific type of support the institution
will provide as part of this grant. This
support may not replace support or
assistance the institution would
otherwise provide to students. A
support letter from the doctoral
student’s institution is no longer
required at the time of application
submission, but must be on file at the
time of application submission.
Students chosen to proceed to the next
step in the selection process will be
required to submit the support letter
from the institution seven (7) calendar
days after initial contact from the OUP
office. OUP will provide specific
instructions on how the letter must be
submitted at that time. If OUP does not
receive the support letter within the
allotted timeframe, the application will
not be funded and the funding will be
made available to the next eligible
applicant.
d. The applicant has requested no
more funding than the grant maximum
allocated for the program for which they
are requesting funding as outlined in
Section II;
e. Only one application package can
be submitted per doctoral student.
Students who have received funding in
the past are not eligible to receive
funding under the same program;
f. Applications must receive a
minimum score of 75 points to be
considered for funding;
g. The University (the official
applicant on behalf of the student) must

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have a DUNS number to receive HUD
grant funds (See the General); and
h. Electronic applications must be
received and validated by Grants.gov no
later than 11:59:59 p.m. eastern time on
the application dateline date.
IV. Application and Submission
Information
A. Addresses to Request Application
Package
Applicants may download the
instructions to the application found on
the Grants.gov Web site at http://
www.grants.gov/applicants/
apply_for_grants.jsp. If you have
difficulty accessing the information you
may call the Grants.gov Support Desk
toll free 800–518–GRANTS or e-mail
your questions to Support@Grants.gov.
Applicants must be registered to submit
an application via Grants.gov. See the
General Section for information
regarding the registration process or ask
for registration information from the
Grants.gov Support Desk.
B. Content and Form of Application
Submission
1. Forms. The following forms are
required for submission, except where
otherwise noted.
a. SF–424, Application for Federal
Assistance;
b. SF–424 Supplement, Survey on
Ensuring Equal Opportunities for
Applicants (‘‘Faith Based EEO Survey
(SF–424 SUPP)’’ on Grants.gov);
c. HUD–424–CB, Grant Application
Detailed Budget (‘‘HUD Detailed Budget
Form’’ on Grants.gov);
d. SF–LLL, Disclosure of Lobbying
Activities;
e. HUD–27300, Questionnaire for
HUD’s Removal of Regulatory Barriers
(‘‘HUD Communities Initiative Form’’
on Grants.gov), if applicable;
f. HUD–2880, Applicant/Recipient
Disclosure/Update Report (‘‘HUD
Applicant Recipient Disclosure Report’’
on Grants.gov);
g. HUD–96010, Program Outcome
Logic Model;
h. HUD–2994–A, You Are Our Client!
Grant Applicant Survey (Optional)
i. HUD–2993, Acknowledgement of
Applicant Receipt. Complete this form
only if you have received a waiver to the
electronic application submission
requirement. Applicants submitting
electronically are not required to
include this form; and
j. HUD–96011, Third Party
Documentation Facsimile Transmittal
(‘‘Facsimile Transmittal Form’’ on
Grants.gov). This form must be used as
the cover page to transmit third party
documents and other information.

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Applicants are advised to download the
application package, complete the SF–
424 first and it will pre-populate the
Transmittal Cover page. The Transmittal
Cover page will contain a unique
identifier embedded in the page that
will help HUD associate your faxed
materials to your application. Please
download the cover page and then make
multiple copies to provide to any of the
entities responsible for submitting faxed
materials to HUD on your behalf. Please
do not use your own fax cover sheet.
HUD will not read any faxes that are
sent without the HUD–96011 fax
transmittal cover page.
2. Certifications and Assurances.
Please read the General Section for
detailed information on all
Certifications and Assurances. All
applications submitted through
Grants.gov constitute an
acknowledgement and agreement to all
required certifications and assurances.
Please include in your application
each item listed below. Applicants
submitting paper copy applications
should submit the applications in the
following order:
a. SF–424, Application for Federal
Assistance. Please remember the
following:
(1) The name of the applicant for
these programs is the University. Please
make sure that the University’s address
is listed on this form (not the student’s
information);
(2) Include the name, title, address,
telephone number, facsimile number,
and e-mail address of the designated
contact person. This is the University
contact that will receive all information
pertinent to this grant including
notification for the support letter from
the University if required; therefore
please ensure the accuracy of the
information;
(3) The total grant amount requested
for the total performance period of the
grant;
(4) The University’s Employer
Identification/Tax ID;
(5) The DUNS Number;
(6) The Catalog of Federal Domestic
Assistance Number for the program
from which you are requesting funding;
(a) Early Doctoral Student Research
Grant Program is 14.517
(b) Doctoral Dissertation Research
Grant Program is 14.516.
(7) The signature of the Authorized
Organization Representative (AOR) who
by virtue of submitting an application
via Grants.gov has been authenticated
by the credential provider to submit
applications on behalf of the Institution
and approved by the eBusiness Point of
Contact to submit an application via
Grants.gov. The AOR must be able to

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make a legally binding agreement with
HUD. See the General Section for
further information.
b. Table of Contents.
c. Application Checklist. Doctoral
students should use the checklist to
ensure that they have all the required
components of the application. Students
submitting an electronic application do
not have to submit the checklist.
Students who receive a waiver of the
electronic application submission
requirement must include a copy of the
checklist in their application. The
checklist can be located in Appendix A.
d. Executive Summary (700 words or
less). The Executive Summary should,
at a minimum, include a summary of
the proposed research project that
addresses the following information:
(1) Specific purpose of the
manuscript/dissertation;
(2) Methodology being used; and
(3) How the student meets the
eligibility criteria for the program from
which she/he is requesting funding.
In addition, include the following
information:
(1) Student’s address, telephone
number, facsimile number, and e-mail
address at the university; and
(2) The faculty advisor’s name, title,
department, address, telephone number,
facsimile number, and e-mail address.
This person will serve as the Principal
Investigator for this grant.
e. Narrative statement addressing the
Rating Factors. HUD will use the
narrative response to the ‘‘Rating
Factors’’ to evaluate, rate, and rank
applications. The narrative statement is
the main source of information.
Therefore, it is very important that the
student becomes fully familiar with the
rating factors for the program from
which he/she is requesting funding. The
narrative should be numbered in
accordance with each factor and
subfactor. Please do not repeat material
in response to the four factors; instead,
focus on how well the proposal
responds to each of the factors. Make
sure to address each factor and subfactor
and provide sufficient information
about every element. The application
narrative, bibliographies, and any
supporting references must not exceed
15 pages in length (excluding forms,
assurances, budget narrative, Table of
Contents, and Executive Summary) and
must be submitted on 81⁄2 by 11-inch
paper, double-spaced on one side of the
paper, with one inch margins (from the
top, bottom, left, and right side of the
document) and printed in standard
Times New Roman 12-point font. Each
page must be numbered and the name
of the student and university must be on
each page. The double-spacing

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requirement applies to the narrative
section of the application (excluding
references, and bibliographies ). Note
that although submitting pages in excess
of the page limit will not disqualify the
application, HUD will not consider the
information on any excess page. This
exclusion may result in a lower score or
failure to meet a threshold requirement.
All applicants submitting electronic
applications must attach their narrative
response to Rating Factors 1–4 as one
attachment. Please do not attach your
response to each factor separately.
Please follow the instructions on file
extension and file names in the General
Section.
f. University Support Letter. This
letter must provide a statement from the
appropriate official at the university that
describes in detail the type of support
the University will be providing. Please
remember that this support may not
replace support or assistance that the
institution would otherwise provide the
student. Doctoral students are not
required to submit this letter with their
application but it must be on file at the
time of application submission.
Students chosen to proceed to the next
step in the selection process will be
required to submit the support letter
from the institution seven calendar days
after initial contact from the OUP. OUP
will provide specific instructions on
how the letter must be submitted at that
time. If OUP does not receive the
support letter within the allotted
timeframe, the application will not be
funded and the funding will be made
available to the next eligible applicant.
g. Budget. The budget submission
must include the following:
(1) HUD–424–CB, ‘‘Grant Application
Detailed Budget.’’ This budget form
shows the total budget by year and by
line item for the program activities to be
carried out with the proposed HUD
grant. Each year of the program should
be presented separately. Make sure that
the amount shown on the SF–424, the
HUD–424–CB and on all other required
program forms is consistent and the
budget totals are correct. Remember to
check addition in totaling the categories
on the Form HUD–424–CB so that all
items are included in the total. The
budget form must be fully completed. If
there is any inconsistency between any
required forms, the HUD–424–CB will
be used. If this correction puts an
application over the grant maximum,
the doctoral student will not be able to
correct the amount requested and the
application will be disqualified. If an
application is selected for award, the
applicant may be required to provide
greater specificity to the budget during
grant agreement negotiations.

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(2) Budget Narrative. A narrative must
be submitted that explains how the
doctoral student arrived at the cost
estimates. The proposed cost estimates
should be reasonable for the work to be
performed and consistent with rates
established for the level of expertise
required to perform the work proposed.
h. Appendix. Doctoral students
receiving a waiver of the electronic
submission requirements and
submitting a paper copy of the
application must place all required
forms in this section. The appendix
section of an application must not
exceed five (5) pages in length
(excluding forms, budget narrative and
assurances). Each page must include the
applicant’s name and be numbered. An
applicant SHOULD NOT submit support
letters, resumes, or other back-up
materials. If this information is
included, it will not be considered
during the review process. The
additional items will also slow the
transmission of your application.
C. Submission Dates and Times
A complete application package must
be received and validated electronically
by the Grants.gov portal no later than
11:59:59 p.m. eastern time on or before
the application deadline date. In an
effort to address any issues with
transmission of your application,
applicants are strongly encouraged to
submit their applications at least 48 to
72 hours prior to the application
deadline. This will allow an applicant
enough time to make the necessary
adjustments to meet the deadline in the
event Grants.gov rejects the application.
Please see the General Section for
further instructions. Electronic faxes
using the Facsimile Transmittal Cover
Sheet (Form HUD–96011) contained in
the electronic application must be
received no later than 11:59:59 p.m.
eastern time on the application deadline
date.
D. Intergovernmental Review
These programs are excluded from an
Intergovernmental Review.
E. Funding Restrictions
1. Funding may only be provided to
doctoral students who meet the
standards for eligible applicants
outlined in Section III. A. under the
program for which they are requesting
funding.
2. Grant funds awarded for programs
under this NOFA may not be used to
pay for tuition, computer hardware, or
meals.
3. Early Doctoral Student Research
Grant (EDSRG) Program. Three
thousand dollars of the grant funds will

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be held until the doctoral student’s
research manuscript has been
completed and accepted for
presentation at a conference or
publication in a refereed journal by the
end of the grant period, or a committee
of three faculty members (including the
faculty sponsor, as the principal
investigator of the grant) has determined
and certified to HUD that the
manuscript is of high quality and
worthy of submission to conferences or
journals, and two copies of the research
product are submitted to HUD in its
final version.
4. Doctoral Dissertation Research
Grant (DDRG) Program. Six thousand
dollars of the grant funds will be held
until the doctoral student’s dissertation
has been completed, approved by the
committee, and two final copies are
submitted to HUD in its final version.
5. Institutions that have had
previously awarded grants under these
programs terminated for nonperformance and have outstanding
funds owed to HUD resulting from the
termination, will be excluded from
competition until the outstanding funds
are repaid. (Applicants must comply
with the Delinquent Federal Debt
Requirement as defined in the General
Section).

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F. Other Submission Requirements
1. Application Submission and
Receipt Procedure. Please read the
General Section carefully and
completely for the electronic
submission and receipt procedures for
all applications because failure to
comply may disqualify a doctoral
student’s application.
2. Waiver of Electronic Submission
Requirements. Applicants should
submit their waiver requests in writing
using e-mail or fax. Waiver requests
must be submitted no later than 15 days
prior to the application deadline date
and should be submitted to: Susan
Brunson, Office of University
Partnerships, Email:
Susan_S._Brunson@hud.gov, FAX: (202)
708–0309.
Paper applications will not be
accepted from applicants that have not
been granted a waiver. If an applicant is
granted a waiver, the Office of
University Partnerships will provide
instructions for submission. All
applicants submitting applications in
paper format must have received a
waiver to the electronic application
submission requirement and the
application must be received by HUD on
or before the application deadline date.

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V. Application Review Information
A. Criteria
1. Rating Factor 1. Capacity to do the
Research (25 Points). In reviewing this
factor, HUD will determine the extent to
which the doctoral student clearly
addresses the following:
a. Describe the skills and expertise
you possess to conduct research.
Research skills and expertise will be
judged in terms of how recent they are.
Research skills and expertise developed
within the last two (2) years will be
considered recent.
b. Describe the knowledge and
experience you posses to undertake the
proposed research hypotheses.
Knowledge and experience will be
judged in terms of how relevant it is to
the research proposed (e.g., course
work, teaching, research projects, and
presentations). Knowledge and
experience developed within the last
five (5) years in the area of the proposed
research will be considered relevant.
c. Provide a detailed list that outlines
the preliminary steps that were taken
(e.g., literature review, research
hypotheses, questions to be answered)
to identify the proposed manuscript/
dissertation topic/hypotheses.
2. Rating Factor 2. Need for the
Research (15 Points). This factor
addresses the extent to which there is a
need for funding the proposed research.
HUD encourages doctoral students to
undertake research that will assist the
Department in implementing its policy
priorities and which help the
Department achieve its goals and
objectives in FY 2007. In reviewing this
factor, HUD will determine the extent to
which the doctoral student clearly
addresses the following:
a. Describe the need for funding your
proposed research manuscript/
dissertation.
b. Express the impact your proposed
research manuscript/dissertation may
have in producing information that will
be generally accepted in the relevant
research community.
c. Explain the direct relationship
between your proposed manuscript/
dissertation and at least one of HUD’s
annual goals and objectives (i.e., the
research that will be produced could
have an effect on HUD’s strategic goals
and programs and policies to achieve
these goals). For a full list and
explanation of the annual goal and
objectives, please refer to the General
Section.
3. Rating Factor 3. Soundness of
Approach (50 Points). This factor
addresses the quality and effectiveness
of the proposed research and
methodology and the actions regarding

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HUD’s policy priorities. This factor will
be evaluated based on the extent to
which the proposed work plan will
demonstrate the following:
a. (25 Points) Quality of Research.
(1) Describe in detail the proposed
research design and methodology that
will be used to complete the proposed
manuscript/dissertation. (2). Describe
how the research design and
methodology proposed will produce
data and information that will
successfully answer the research
hypothesis.
b. (20 Points) Specific Activities. The
work plan must identify all the major
tasks involved in completing the
proposed research;
(1) Indicate the sequence in which
these tasks will be performed;
(2) The sequence and duration of this
effort should be presented in quarterly
(3 month) intervals for the entire life of
the grant (use of a milestone chart to
present this information is
recommended); and
(3) Identify any key individuals
assisting in the proposed activities.
Efforts on the part of the doctoral
student who proposes extremely
complex and time-consuming data
collection efforts (e.g., major
longitudinal studies or a very large
number of site visits within the grant
period) will be determined less feasible
for completion within the allotted grant
performance period. For example, if the
proposed methodology is based on
information that may not be publicly
available until after the end of the grant
period (e.g., Census information), or a
data collection plan that will take longer
than the allotted grant performance
period, zero points will be awarded for
this factor.
c. (2 Points) HUD Policy Priorities. As
described in the General Section, to earn
points under this subfactor, HUD
requires applicants to undertake specific
activities that will assist the Department
in implementing its policy priorities
and that help the Department achieve its
goals and objectives in FY2008, when
the majority of grant recipients will be
reporting programmatic results and
achievement. In addressing this
subfactor, HUD will evaluate the extent
to which a program will further and
support HUD priorities. The quality of
the responses provided to one or more
of HUD’s priorities will determine the
score an applicant can receive.
Applicants must describe how each
policy priority is addressed. Applicants
that just list a priority will receive no
points.
The total number of points an
applicant can receive under this
subfactor is two (2). Each policy priority

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addressed has a point value of one (1)
point, with the exception of the policy
priority related to removal of regulatory
barriers to affordable housing, which
has a value of up to two (2) points. To
receive these two (2) points, an
applicant must: (1) Complete either Part
A or Part B (not both), (2) include
appropriate documentation, (3) identify
a point of contact, (4) indicate how this
priority will be addressed and (5)
submit the completed questionnaire,
(HUD–27300) ‘‘HUD’s Initiative on
Removal of Regulatory Barriers ‘‘ found
in the General Section along with
required documentation. It is up to the
applicant to determine which of the
policy priorities they elect to address to
receive the available two (2) points.
d. (3 Points) Dissemination Strategies.
In reviewing this subfactor, HUD will
assess the doctoral student’s ability to
disseminate results of the research.
Describe your plan to disseminate the
research.
4. Rating Factor 4. Achieving Results
and Program Evaluation (10 Points) This
factor reflects HUD’s goal to embrace
high standards of management and
accountability. It measures the student’s
commitment to assess their performance
to complete their proposed research
within the grant performance period.
Students are required to develop an
effective, quantifiable, outcome oriented
evaluation plan for measuring
performance and determining the
outputs to achieve their proposed
outcome(s). The Logic Model is a
summary of the narrative statements
presented in Factors 1–3. Therefore, the
information submitted on the logic
model should be consistent with the
information contained in the narrative
statements.
‘‘Outcomes’’ are ultimate goals. A
student must clearly identify the
outcomes to be measured and achieved.
Examples of outcomes are the
completion of the research manuscript/
dissertation, the cultivation of research
skills to the student, the plan to
disseminate the research, and the
benefits of the research study to HUD’s
policy priorities and annual goals and
objectives.
In addition, a student must establish
interim benchmarks and outputs that
lead to the ultimate achievement of the
outcomes. ‘‘Outputs’’ are the direct
benchmarks and indicators that will
allow a student to measure their
performance. Performance indicators
should be objectively quantifiable and
measure actual achievements. At a
minimum, an applicant must address
the following activities in the evaluation
plan:

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(1) Identify benchmarks that will be
used to track the progress of your study;
(2) Indicate the sequence in which
tasks will be performed; and
(3) Identify potential obstacles in
meeting the objectives, and discuss how
the obstacles will be handled;
This information must be included
under this section on a HUD–96010,
Program Logic Model form. HUD has
developed a new approach to
completing this form. Please carefully
read the General Section for
instructions, training is available. (Form
HUD–96010 will be excluded from the
page count.) If an applicant utilizes
‘‘other’’ from the Logic Model
categories, then the applicant should
describe briefly this ‘‘other’’ category
within the Rating Factor 4 narrative. If
a narrative is provided, those pages will
be included in the page count.
B. Review and Selection Process
1. Application Selection Process. Two
types of reviews will be conducted:
a. A threshold review to determine an
applicant’s basic eligibility; and
b. A technical review for all
applications that pass the threshold
review to rate and rank the application
based on the ‘‘Rating Factors’’ listed in
Section V.A above. Only those
applications that pass the threshold
review will receive a technical review
and be rated and ranked.
2. Rating Panels. To review and rate
applications, HUD may establish panels
which may include experts or
consultants not currently employed by
HUD. These individuals may be
included to obtain certain expertise.
3. Ranking. In order to be funded, an
application must receive a minimum
score of 75 points out of a possible 100
for Factors 1 through 4. The RC/EZ/EC–
II communities two bonus points
described in the General Section do not
apply to this NOFA. HUD will fund
applications under each program in
rank order, until all available program
funds are awarded. If two or more
applications have the same number of
points, the application with the higher
points for Factor 3, shall be selected. If
there is still a tie, the application with
the higher points for Factor 2, shall be
selected. HUD reserves the right to
reduce the amount of funding requested
in order to fund as many highly ranked
applications as possible. Additionally, if
funds remain after funding the highest
ranked applications, HUD may fund
part of the next highest-ranking
application. If an applicant turns down
the award offer, HUD will make the
same determination for the next highestranking application.

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4. Correction to Deficient
Applications. See the General Section.
C. Anticipated Announcement and
Award Dates
Announcements of awards are
anticipated on or before September 30,
2008.
VI. Award Administration Information
A. Award Notices
After all selections have been made,
HUD will notify all winning applicants
in writing. HUD may require winning
applicants to participate in additional
negotiations before receiving an official
award.
B. Administrative and National Policy
Requirements
Refer to the General Section.
1. Debriefing. The General Section
provides the procedures for requesting a
debriefing. All requests for debriefings
must be made in writing and submitted
within 30 days of receipt of comments
to Susan Brunson, Office of University
Partnerships, Department of Housing
and Urban Development, 451 Seventh
Street, SW., Room 8106, Washington,
DC 20410–6000. Applicants may also
write to Ms. Brunson via e-mail at
Susan_S._Brunson@hud.gov.
2. Environmental Requirements. The
provision of assistance under these
programs is categorically excluded from
environmental review under the
National Environmental Policy Act of
1969 (42 U.S.C. 4321) and not subject to
compliance actions for related
environmental authorities under 24 CFR
50.19(b)(1) and (b)(9).
3. Administrative. Grants awarded
under this NOFA will be governed by
the provisions of 24 CFR part 84 (Grants
and Agreements with Institutions of
Higher Education, Hospitals and Other
Non-Profit Organizations), A–21 (Cost
Principles for Educational Institutions)
and A–133 (Audits of States, Local
Governments, and Non-Profit
Organizations). Applicants can access
the OMB circulars at the White House
Web site at: www.whitehouse.gov/omb/
circulars/index.html.
C. Reporting Requirements
All doctoral students that receive
grant funds under this program NOFA
are required to submit a report, halfway
through the grant period, on the
progress to date that has been made
toward completion of the research
product and the likelihood that it will
be completed on time.
At the end of the grant performance
period doctoral students must submit
two copies of the approved manuscript/
dissertation to HUD in its final version.

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Titles of the manuscript/dissertation
must not be changed from the title
awarded unless prior approval has been
received from HUD.
VII. Agency Contacts
Doctoral students may contact Susan
Brunson, Office of University
Partnerships at (202) 708–3061,
extension 3852 or Sherone Ivey at (202)
708–3061, extension 4200. Persons with
speech or hearing impairments may call
the Federal Information Relay Service
TTY at 800–877–8339. Except for the
‘‘800’’ number, these telephone numbers
are not toll-free. Students may also
reach Ms. Brunson via e-mail at
Susan_S._Brunson@hud.gov and/or
Sherone Ivey at
Sherone_E._Ivey@hud.gov.
VIII. Other Information
Paperwork Reduction Act

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The information collection
requirements contained in this
document have been approved by the
Office of Management and Budget
(OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501–3520) and
assigned OMB control number 2528–
0216 (for the Early Doctoral Student
Research Grant Program) and 2528–0213
(for the Doctoral Dissertation Research
Grant Program). In accordance with the
Paperwork Reduction Act, HUD may not
conduct or sponsor, and a person is not
required to respond to, a collection of
information unless the collection
displays a currently valid OMB control
number. Public reporting burden for the
collection of information is estimated to
average 44 hours per annum per
respondent for the application and grant
administration. This includes the time
for collecting, reviewing, and reporting
the data for the application, semi-annual

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reports, and final report. The
information will be used for grantee
selection and monitoring the
administration of funds. Response to
this request for information is required
in order to receive the benefits to be
derived.
Appendix A—Application Checklist
EDSRG and DDRG
This checklist identifies application
submission requirements. Doctoral students
are requested to use this checklist when
preparing an application to ensure
submission of all required elements. Students
submitting an electronic application do not
have to submit the checklist. Students that
receive a waiver of the electronic application
submission requirement must include a copy
of the checklist in their application.
Check off to ensure these items have been
included in the application:
lllSF–424 ‘‘Application for Federal
Assistance
lllTable of Contents
lll_Application Checklist (if applicable)
lllExecutive Summary (700 words or
less)
Indicate the page number where each of
the Rating Factors are located:
lllNarrative Statement Addressing the
Rating Factors. The application narrative
must not exceed 15 pages in length
(excluding required forms, assurances,
table of contents, executive summary,
budget narrative, commitment letters,
memorandum of understanding, and
agreements) double-spaced on one side
of the paper, with one-inch margins
(from top, bottom, left and right) printed
in standard Times New Roman 12 point
font). Applicants that submit
applications via Grants.gov should
review the General Section for
information about file names and
extensions. File names should not
contain spaces or special characters.
lllFactor I
lllFactor II

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lllFactor III
lllFactor IV
Check off to ensure these items have been
included in the application: Appendix. The
appendix section of an application must not
exceed five (5) pages in length (excluding
forms, budget narrative, and assurances).
lllBudget
lllGrant Application Detailed Budget,
(HUD–CB) (‘‘HUD Detailed Budget
Form’’ on Grants.gov
lllBudget Narrative (No form provided
and must be submitted for the total grant
period)

Appendix B—All Required Forms
The following forms are required for
submission. All required forms are contained
in the electronic application package.
lllApplication for Federal Assistance
(SF–424)
lllSurvey on Ensuring Equal Opportunity
for Applicants (SF–424 Supplement)
(‘‘Faith Based EEO Survey (SF–424
SUPP)’’ on Grants.gov)
lllGrant Application Detailed Budget
(HUD–424–CB) (‘‘HUD Detailed Budget
Form’’ on Grants.gov)
lllDisclosure of Lobbying Activities (SF–
LLL); if applicable
lllQuestionnaire for HUD’s Removal of
Regulatory Barriers (HUD–27300) (‘‘HUD
Communities Initiative Form’’ on
Grants.gov), if applicable
lllApplicant/Recipient Disclosure/
Update Report (HUD–2880) (‘‘HUD
Applicant Recipient Disclosure Report’’
on Grants.gov)
lllClient Comments and Suggestions
(HUD–2994), if applicable
lllYou Are Our Client! Grant Applicant
Survey (HUD–2994–A)
lllProgram Outcome Logic Model (HUD–
96010)
lllHUD–96011, Third Party
Documentation Facsimile Transmittal
(‘‘Facsimile Transmittal Form’’ on
Grants.gov)

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