22 natural experiments final.pdf

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-5414-N-22]

Notice of Funding Availability (NOFA) for Fiscal Year (FY) 2010 Transformation

Initiative: Natural Experiments Grant Program

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

ACTION: Notice of Funding Availability (NOFA) for Fiscal Year (FY) 2010 Transformation

Initiative: Natural Experiments Grant Program.

SUMMARY: This NOFA announces the availability of funding for approximately $600,000 for the Transformation Initiative: Natural Experiments Grant Program. This NOFA is governed by the information and instructions found in HUD’s Fiscal Year 2010 Notice of Funding

Availability (NOFA) Policy Requirements and General Section that HUD posted to www.Grants.gov on June 7, 2010 (FR 5415-N-01).

APPLICATION DEADLINE DATE: The application deadline date is February 21, 2011.

Applications must be received by Grants.gov by the deadline date. Applicants need to be aware that following receipt, applications go through a validation process in which the application may be accepted or rejected. Please allow time for this process to ensure that you meet the timely receipt requirements. Please see the FY2010 General Section for instructions for timely receipt, including actions to take if the application is rejected. Applicants should carefully read the APPLICATION and the SUBMISSION INFORMATION in the 2010 General

Section, posted on June 7, 2010 (FR 5415-N-01) for electronic application submission and receipt requirements. This section contains information for using the most current Adobe

Reader, timely receipt policies, and other application information.

FOR FURTHER INFORMATION CONTACT: Questions regarding specific program requirements should be directed to the agency contact identified in Section VII of this program

NOFA. Questions regarding the General Section should be directed to the Office of

Departmental Grants Management and Oversight at (202) 708-0667 (this is not a toll-free number) or the NOFA Information Center at (800) HUD-8929 (toll-free). Persons with hearing or speech impairments may access these numbers via TTY by calling the Federal Information

Relay Service at (800) 877-8339. The NOFA Information Center is open between the hours of

10:00 a.m. and 6:30 p.m. eastern time, Monday through Friday, except federal holidays.

OVERVIEW INFORMATION

A. Federal Agency Name: Department of Housing and Urban Development, Office of Policy

Development and Research, Economic Development and Public Finance (EDPF).

B. Funding Opportunity Title: Transformation Initiative: Natural Experiments Grant

Program.

C. Announcement Type: Initial announcement.

http://www.grants.gov/

D. Funding Opportunity Number: FR-5415-N-22; OMB Approval Number is 2528-0266.

E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA Number for this program is 14.524.

F. Dates: The application deadline date is February 21, 2011. Applications must be received by Grants.gov by the deadline date. Applicants need to be aware that following receipt, applications go through a validation process in which the application may be accepted or rejected. Applicants also must be aware of the requirement to register with Grants.gov.

Registration requires a Dun and Bradstreet Universal Data Numbering System (DUNS) number, active registration in the Central Contractor Registration (CCR), registration with Grants.gov, and authorization by the applicant organization eBusiness Point of Contact identified in the CCR registration to authorize the Authorized Organization Representative (AOR) to submit the application on behalf of the applicant. Failure to have a complete registration will result in your application being rejected by the Grants.gov system. Please allow time for the registration process and the Grants.gov system to ensure that you meet the timely receipt requirements.

Please see the 2010 General Section for instructions for timely receipt, including actions to take if the application is rejected. Applicants should carefully read the APPLICATION and the

SUBMISSION INFORMATION in the 2010 General Section, posted June 7, 2010 (FR 5415-N-

01). This section contains information for using the most current Adobe Reader, timely receipt policies, and other application information.

G. Additional Overview Content Information

1. Purpose of the Program. The purpose of this effort is to provide funding to support scientific research that makes use of natural experiments to evaluate the impacts of local, state, and federal policies.

2. Award Information. In FY 2010, approximately $600,000 was made available for this program by the Department of Housing and Urban Development Appropriations Act, 2010 (Pub.

L. 111-117 approved December 16, 2009). This program is approved under HUD’s research authority via the Transformation Initiative Fund. The maximum grant performance period is 24 months. An applicant can request $100,000 to $250,000 per award, depending on the scope of the proposed research. Awards under this NOFA will be made in the form of a Cooperative

Agreement. A Cooperative Agreement means that HUD will have substantial involvement during the performance of the research project.

3. Eligible Applicants. Nonprofit organizations, for profit organizations located in the U.S

(HUD will not pay fee or profit for the work conducted under this NOFA), foundations, think tanks, consortia, institutions of higher education accredited by a national or regional accrediting agency recognized by the U.S. Department of Education, and other entities that will sponsor a researcher, expert or analyst.

FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

HUD invites investigators to submit proposals for funding to support scientific research that makes use of natural experiments to evaluate the impacts of local, state, and federal policies.

HUD is particularly interested in funding evaluations that can help policymakers determine how to spend taxpayer dollars effectively and efficiently, though other types of projects will also be considered.

A. Background

HUD’s objective in issuing this NOFA is to promote new and innovative ways of forming evidence-based public policy relevant to the agency’s mission of creating strong, sustainable, inclusive communities and quality affordable homes for all.

One way of evaluating public policy is to exploit so-called “natural experiments,” which, as defined by Kennedy (2003, page 414), are situations wherein “some feature (often unintended) produces exogenous variation in what would otherwise be an endogenous variable, allowing… researcher[s] to estimate the impact of a treatment.” Put differently, natural experiments make use of policy discontinuities through time and/or across geographic space that create comparable groups uncontaminated by self-selection. Because there is a “control” group, it is possible to identify the impacts, if any, of the policy in question. Some examples of research involving natural experiments include Black’s (1999) evaluation of public education in the

Boston region and Chay and Greenstone’s (2005) evaluation of the Clean Air Act. Natural experiments are a promising way of determining whether policies produce their intended effects and, also, whether the assumptions that go into public policy are valid.

B. Goals of Research

The research funded by these HUD grants should be state-of-the-art and result in substantive contributions to the existing scholarship that is based in scientific theory and provide evidence on the effectiveness of public policies. It should also yield methodological advances to evaluating public policy. Preference will be given to proposals aimed at developing general solutions that may be applied to additional problems. Projects may focus on any local, state, or federal policy relevant to HUD’s mission to create strong, sustainable, inclusive communities and quality affordable homes for all. HUD is particularly interested in funding evaluations that can help this Administration and subsequent administrations determine how to spend taxpayer dollars effectively and efficiently, though other types of projects will also be considered.

Kennedy P (2003) A Guide to Econometrics, 5 th

ed. Cambridge, MA: the MIT Press.

Black SE (1999) Do Better Schools Matter? Parental Valuation of Elementary Education. Quarterly Journal of Economics, 114: 577 – 599.

Chay K, Greenstone M. (2005) Does Air Quality Matter? Evidence from the Housing Market. Journal of

Political Economy, 113: 376 – 424.

C. Topics

The following list of potential topics is intended to demonstrate the range of policy-relevant issues that may be the subject of research. Omission of a topic does not indicate that

HUD would have no interest in funding research on it. Possible topics include:

Household demand/willingness to pay for nonmarket goods, including public goods and services and environmental amenities.

Effectiveness / impacts of local and state land use policies.

Implications of alternative development patterns for energy consumption, public finance, public health, social interaction and other outcomes.

Economic value of health/life.

Satisfaction with public housing and/or housing choice programs.

Effects on children and youth of housing and community interventions.

D. Authority

HUD’s authority for making funding available under this NOFA is the U.S. Department of Housing and Urban Development Appropriations Act, 2010 (Pub. L. 111-117 approved

December 16, 2009). This program is approved by HUD’s research authority via the

Transformation Initiative Fund. It is being implemented through this NOFA, which, among other things, establishes the policies governing its operation.

II. Award Information

In FY 2010, approximately $600,000 was made available for the Office of Policy

Development and Research (PD&R) Natural Experiment Grant program. An award can range from $100,000 to $250,000, depending on the scope and merit of the proposed research.

Awards under this NOFA will be made in the form of a Cooperative Agreements. A

Cooperative Agreement means that HUD will have substantial involvement during the performance of the research project.

III. Eligibility Information

A. Eligible Applicants.

Nonprofit organizations, for profit organizations located in the U.S (HUD will not pay fee or profit for the work conducted under this NOFA), foundations, think tanks, consortia, institutions of higher education accredited by a national or regional accrediting agency recognized by the

U.S. Department of Education, and other entities that will sponsor a researcher, expert or analyst.

B. Cost Sharing or Matching. None Required.

C. Other

1. Eligible Activities. Grant funds awarded under this NOFA must be used to support direct and indirect costs incurred in the timely completion of the research product. Eligible costs include but are not limited to: the researcher’s salary; graduate assistants to work on the project;

projected/release time for researchers who demonstrate the need for a period of intensive research focus as a means of enhancing their research career; computer software; purchase of data; travel expenses to collect data or to make presentations at meetings; transcription services, and compensation for interviews. The funds may not be used specifically for dissertation support, internationally oriented research, or demonstration projects. HUD has other programs aimed at funding such activities.

2. Threshold Requirements Applicable to All Applicants. All applicants and senior level researchers 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 not be eligible to receive an award:

a. The researcher must meet the eligibility requirement as defined in Section III. A.

b. All submitted proposals must involve a natural experiment (it is up to the applicant to demonstrate convincingly that their project involves a natural experiment);

c. If selected for an award, the official applicant shall enter into a Cooperative Agreement with

HUD that provides for payment by HUD to the organization, from the organization to the approved researcher as a subrecipient, and that further provides all required certifications and assurances.

d. The applicant may not request more funding than the grant maximum allocated as outlined in

Section II.

e. Applications must receive a minimum score of 75 points to be considered for funding.

f. The organization (the official applicant on behalf of the researcher) must have a DUNS number and an active registration at the Central Contractor Registration (CCR) to receive HUD grant funds (See the General Section); and

g. To meet timely receipt requirements electronic applications must be received by Grants.gov no later than 11:59:59 p.m. Eastern Time on the application deadline date.

3. Other Requirements. All applicants must comply with the nondiscrimination and other requirements as defined in the General Section (and the requirements listed below.

a. Compliance with Civil Rights Laws.

(1) With the exception of federally recognized Indian tribes and their instrumentalities, (a) applicants and their sub recipients must comply with all applicable fair housing and civil rights requirements in 24 CFR 5.105(a), including, but not limited to, the Fair Housing Act; Title VI of the Civil Rights Act of 1964; Section 504 of the Rehabilitation Act of 1973; Title II of the

American Disabilities Act; Section 109 of the Housing and Community Development Act of

1974; (b) if the applicant’s state or local government has passed a law or laws proscribing discrimination in housing based on sexual orientation or gender identity, or a law or laws proscribing discrimination based on lawful source of income, the applicant and any proposed subrecipients must comply with those laws;

(2) If the applicant is conducting programs or activities with funds received under a HUD program NOFA in a state or local jurisdiction that has passed a law or laws proscribing discrimination in housing based upon sexual orientation or gender identity; or, a law or laws proscribing discrimination in housing based on lawful source of income, the applicant and its subrecipients must comply with those laws of the states or localities in which the programs or activities are conducted;

(3) If you are a federally recognized Indian tribe, you must comply with the nondiscrimination provisions enumerated at 24 CFR 1000.12, as applicable.

b. Affirmatively Furthering Fair Housing Requirements. Under Section 808(e)(5) of the Fair

Housing Act (42 U.S.C. 3608(e)(5), HUD has a statutory duty to affirmatively further fair housing. HUD requires the same of its funding recipients. Applicants under this NOFA are not required to submit an affirmatively furthering fair housing plan for their proposed research activities. However, applicants are encouraged to review the Consolidated Plans and Analyses of Impediments to Fair Housing Choice (for example, HUD’s regulations at 24 CFR 91.225 (a)) in the jurisdiction in which their research activities will take place in order to take into account impediments to fair housing choice in their proposed research.

c. Executive Order 13166, “Improving Access to Services for Persons with Limited English

Proficiency (LEP).” Executive Order 13166 seeks to improve access to federally assisted programs and activities for individuals who, as a result of national origin, are limited in their

English proficiency. Applicants obtaining federal financial assistance from HUD shall take reasonable steps to ensure meaningful access to their programs and activities to LEP individuals.

As an aid to recipients, HUD published Final Guidance to Federal Financial Assistance

Recipients: Tile, VI Prohibition Against National Origin Discrimination Affecting Limited

English Proficient Persons (LEP Guidance) in the Federal Register on January 22, 2007 (72 FR

2732). For assistance and information regarding LEP obligations, go to http://www.justice.gov/crt/lep/guidance/HUD_guidance_Jan07.pdf . For more information on

LEP, please visit http://www.hud.gov/offices/fheo/promotingfh/lep.cfm.

d. Accessible Technology. Section 508 of the Rehabilitation Act (Section 508) requires HUD and other federal departments and agencies to ensure, when developing, procuring, maintaining, or using electronic and information technology (EIT), that the EIT allow, regardless of the type of medium, persons with disabilities to access and use information and data on a comparable basis as is made available to and used by persons without disabilities. Section 508’s coverage includes, but is not limited to, computers (hardware, software, word processing, email, and

Internet sites), facsimile machines, copiers, and telephones. Among other things, Section 508 requires that, unless an undue burden would result to the federal department or agency, EIT must allow individuals with disabilities who are federal employees or members of the public seeking information or services to have access to and use of information and data on a comparable basis as made available to employees and members of the public who are not disabled. Where an undue burden exists to the federal department or agency, alternative means may be used to allow a disabled individual use of the information and data. Section 508 does not require that information services be provided at any location other than one at which the information services are generally provided. HUD encourages its funding recipients to adopt the goals and objectives of Section 508 by ensuring, whenever EIT is used, procured, or developed, that persons with disabilities have access to and use of the information and data made available through the EIT on a basis comparable as is made available to and used by persons without disabilities. This does not affect recipients’ required compliance with Section 504 of the Rehabilitation Act and, where applicable, the Americans with Disabilities Act. Applicants and recipients seeking further information on accessible technology should go to http://www.section508.gov/.

http://www.justice.gov/crt/lep/guidance/HUD_guidance_Jan07.pdf http://www.hud.gov/offices/fheo/promotingfh/lep.cfm http://www.section508.gov/

e. Conducting Business in Accordance with Core Values and Ethical Standards/Code of

Conduct. Applicants subject to 24 CFR parts 84 or 85 (most nonprofit organizations and state, local, and Indian tribal governments or government agencies or instrumentalities that receive federal awards of financial assistance) are required to develop and maintain a written code of conduct (see 24 CFR 84.42 and 85.36(b)(3)). Consistent with regulations governing specific programs, the code of conduct must prohibit real and apparent conflicts of interest that may arise among officers, employees, or agents; prohibit the solicitation and acceptance of gifts or gratuities by officers, employees, or agents for their personal benefit in excess of minimal value;

and outline administrative and disciplinary actions available to remedy violations of such standards. Before entering into an agreement with HUD, an applicant awarded assistance under a HUD program NOFA issued in FY 2010 will be required to submit a copy of its code of conduct and describe the methods it will use to ensure that all officers, employees, and agents of its organization are aware of its code of conduct policy. The code of conduct must be dated and signed by the Executive Director, or Chair of the governing body of the organization. The date of the document cannot be earlier than the date the program NOFA for FY 2010 was posted on

Grants.gov.

IV. Application and Submission and Timely Receipt Information

A. Instructions to Download Application Package. Applications can be downloaded from the web at: http://www.grants.gov/applicants/apply_for_grants.jsp. All applications must be submitted electronically. The information required to submit an application is contained in the program section of this NOFA and the General Section. See the General Section for specific procedures concerning the electronic application submission and timely receipt requirements.

Grants.gov provides customer support information on its website at http://www.grants.gov/contactus/contactus.jsp. Applicants having difficulty accessing the application and instructions or having technical problems can receive customer support from

Grants.gov by calling (800) 518-GRANTS (this is a toll-free number), or by sending an email to support@grants.gov. The Grants.gov Help Desk can be reached 24 hours per day, 7 days per week, except federal holidays. HUD recommends calling the Help Desk rather than emailing, because determining the basis for the problem may take some conversation with the Grants.gov

Support Customer Service Representative. See the General Section for information regarding the registration process or ask for registration information from the Grants.gov Support Desk.

Applicants may request general information from the NOFA Information Center at (800)

HUD-8929 or (800) HUD-8339 (TTY) between the hours of 10 a.m. and 6:30 p.m. eastern time, Monday through Friday, except on federal holidays. When requesting information, please refer to the name of the program you are interested in.

B. Application Content and Forms for Submission. The general process for downloading, completing, submitting, and tracking grant application packages is described at http://www07.grants.gov/applicants/apply_for_grants.jsp.

1. Application Content.

Applications must consist of the following elements: a table of contents; an executive summary; a narrative for the rating factors; a budget; budget narrative; and additional forms.

(a) SF _424 Application_for_Federal_Assistance. Please remember the following:

http://www.grants.gov/applicants/apply_for_grants.jsp http://www.grants.gov/contactus/contactus.jsp mailto:support@grants.gov http://www07.grants.gov/applicants/apply_for_grants.jsp

(i) The name of the official applicant for this program. Please make sure that the name of the applicant in box 8a is the applicant’s legal name and that the DUNS number and address are listed on this form (not the researcher’s information). When entering the zip code, be sure to enter the 9 digit zip code.

(ii) Include the name, title, address, telephone number, facsimile number, and e-mail address of the designated contact person. This is the contact at the organization who will receive all pertinent information from HUD regarding this application; therefore, please ensure the accuracy of the information; this person must have knowledge of the content of the application submitted under this program.

(iii)The total grant amount requested for the total performance period of the grant.

(iv) The organization’s Employer Identification/Tax ID.

(v) The DUNS Number associated to the applicant’s legal name identified in Box 8a of the

SF_424 form.

(vi) The Catalog of Federal Domestic Assistance Number for the program is 14.524.

(vii) 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 and approved by the University’s eBusiness Point of Contact to submit applications on behalf of the institution. If the AOR has not been granted approval to submit the application, the application will be rejected by the Grants.gov system. The AOR must be able to make a legally binding agreement.

(1) Table of Contents.

(2) Executive Summary (1,000 words or less). The Executive Summary should, at a minimum, include a summary of the proposed research project that addresses the following information:

a. Overview of the proposed research (including title).

b. The specific objective of the research that will be conducted.

c. Problems/issues being addressed.

d. Methodology being employed to conduct the research, including the means by which a demographically representative subject group will be composed.

e. Specific nature of the natural experiment involved.

f. Intellectual merit of conducting the research.

g. The broader impact of conducting the research.

h. How the researcher meets the eligibility criteria for the program.

i. Researcher’s address, telephone number, facsimile number, and e-mail address.

(3) Narrative statement addressing the rating factors. HUD will use the narrative response to the “Rating Factors” to evaluate, rate, and rank applications. This step in the process has five rating factors that need to be addressed: (i) capacity of the applicant and relevant experience to do scientific research; (ii) need for proposed research; (iii) soundness of approach; (iv) realism and value to the government, including a statement of how the project may help policymakers determine how to spend taxpayer dollars effectively and efficiently, if at all; and (v) broader impacts. The narrative statement is the main source of information when rating and ranking applications. Therefore, it is very important that the researcher becomes fully familiar with the rating factors for the program. The narrative should be numbered in accordance with each factor and sub-factor. Make sure to address each factor and sub-factor and provide sufficient information about every element. Do not include Social Security Numbers in the application.

The application narrative, bibliographies, and any supporting references must not exceed 20 pages in length (excluding forms, assurances, budget narrative, table of contents, and executive summary), and must be submitted and formatted to fit an 8 ½ by 11-inch paper, double-spaced, with one-inch margins (for the top, bottom, left, and right sides of the document) in standard

Times New Roman 12-point font. Each page must be numbered with the name of the researcher and applicant visible on each page. The double-spacing requirement applies to the narrative section of the application (excluding references and bibliographies). Submitting pages in excess of the page limit will not disqualify an application; however, 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. Please do not attach response s to each factor separately. Please follow the instructions on the use of zipped files, file extensions, and file names in the

General Section. File names should not contain spaces, dashes or special characters.

Failure to follow the file name requirements can result in the application being rejected by the Grants.gov system.

(4) Budget. (This section must be resubmitted). The budget submission must include the following:

(a) HUD_424_CB Grant_Application_Detailed_Budget. This budget form shows the total budget by year (12 month period) and by line item for the program activities to be carried out with the proposed HUD grant. Make sure that the amount shown on the SF_424, HUD_424_CB and budget narrative are consistent and the budget totals are correct. Remember to check addition in totaling the categories on the HUD_424_CB form so that all items are included in the total. The budget form must be fully completed. If there is inconsistency between any required forms and/or budget narrative, the HUD_424_CB will be used. If this correction puts an application over the grant maximum, the researcher will not be able to correct the amount requested and the application will be disqualified. If an application is selected for award, the researcher may be required to provide greater specificity to the budget during grant agreement negotiations.

(b) Budget Narrative. A narrative must be submitted that explains how the researcher arrived at the cost estimate for each line item. The proposed cost 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. The researcher must pay close attention to accurately estimating costs, determining the necessity for and reasonableness of costs proposed; and correctly computing all budget items and totals.

(c) Indirect costs. Indirect costs, if applicable, are allowable based on an established approved indirect cost rate. Applicants must have on file, and submit to HUD if selected for award, a copy of their approved indirect cost rate agreement. Applicants that are selected for funding but do not have an approved indirect cost rate agreement established by the cognizant federal agency, will be required to establish a rate. In such cases, HUD will issue an award with a provisional rate and assist applicants with the process of establishing a final rate.

(5) Appendix. The appendix section of an application must not exceed five pages in length

(excluding forms, budget narrative, resumes, back up material, letters of reference, and assurances). Each page must be numbered and include the researcher’s name and the name of the organization (official applicant).

(6) Forms. All forms listed below must be placed in the appendix section of the application.

The following forms are needed for submission:

a. SF_424_Supplement Survey_on_Ensuring_Equal_Opportunities_for_Applicants

(Faith_Based_EEO_Survey (SF_424_SUPP).

b. SF_LLL_Disclosure_of_Lobbying_Activities, if applicable.

c. HUD_2880_Applicant/Recipient_Disclosure/Update_Report (HUD_Applicant_Recipient

Disclosure_Report), if applicable.

d. HUD_2993 Acknowledgement_of_Applicant_Receipt. Applicants/researchers/faculty members are not required to include this form for electronic applications, as they can track their application on line by going to www.grants.gov and clicking on “Track My Application”.

Applicants that have requested a waiver and are approved for the submission of a paper application can use this form to obtain a receipt approved. Please include the full name and complete address in your application.

e. HUD_96010_Program _Outcome_Logic_Model; and

f. 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. Applicants are advised to download the application package and complete the SF_424, which 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 do not use your own fax sheet. HUD will not read any faxes that are sent without the HUD_96011 fax transmittal cover page. Note:

In order for the application to be transmitted you must complete this form even if you are not faxing any documents. In the section of the form titled “Name of Document

Transmitting,” enter the words “Nothing Faxed with this Application.” Complete the remaining highlighted fields and enter the number “1” in the section of the form titled

“How many pages (including cover) are being faxed?” It is important that you read the

General Section for other specifics.

(7) Certifications and Assurances. Please read the General Section for detailed information on all Certifications and Assurances.

When submitting attachment files, please pay close attention to the requirements for naming the attachment files. Attachment file names cannot have spaces, dashes, special characters or be longer than 50 characters in length. Failure to follow these directions will result in a “VIRUSDETECT” error message and your application being rejected by the Grants.gov system.

C. Submission Date and Timely Receipt Requirements.

The abstracts for the first step in this process must be received by Grants.gov no later than

11:59:59 p.m. eastern time on the application deadline date of February 21, 2011. Once received applications go through a validation process. Applicants must allow time for the validation process. Please see the 2010 General Section for instructions for timely receipt, including actions to take if the application is rejected. Applicants can then track their applications by clicking on the “Track My Application” link and logging on using their Password and ID. HUD urges applicants to submit applications early.

D. Intergovernmental Review.

This program is excluded from the Intergovernmental Review process.

E. Funding Restrictions.

1. Funding will only be provided to researchers who meet the standards for eligible applicants outlined in Section III. A.

http://www.grants.gov/

2. Grant funds awarded under this NOFA may not be used to pay for computer hardware and/or meals.

3. Honorariums cannot be charged against grants under this program.

4. Fee or profit will not be paid for work done under this NOFA.

5. Applicants must comply with the Delinquent Federal Debt Requirement as defined in the

General Section.

F. Other Submission Requirements.

1. Application and Timely Receipt Instructions

Applications under this NOFA for both steps in the process must be received electronically through the Federal website Grants.gov unless a waiver of this requirement is granted in accordance with the instructions below. Applicants are required to submit applications electronically via the website http://www.grants.gov/applicants/apply_for_grants.jsp. See the General Section for additional information on the electronic process requirements and how to request a waiver from the requirement if necessary. Applicants requesting a waiver must submit their requests in writing no later than 15 days prior to the application deadline date. The letter must be addressed to Dr.

Raphael W. Bostic, Assistant Secretary for Policy Development and Research and be submitted via e-mail or fax to:

Michael T. Morse

Office of Program Monitoring and Research

E-mail: Michael.T.Morse@hud.gov

FAX: (202) 619-8360

Paper applications will not be accepted from applicants that have not been granted a waiver. If an applicant is granted a waiver, the approval notice will provide instructions for submission.

All applications in paper format must have received a waiver to the electronic application requirement and the application must be received by HUD no later than 3:59:59 p.m. close of business on the application deadline date. Applicants that receive a waiver to submit a paper application are not exempt from the requirement to have a DUNS number and active registration in CCR.

The application deadline for receipt of HUD applications via Grants.gov is 11:59:59 p.m.

eastern time on the application deadline date. Applications must be received by Grants.gov by the deadline in order to meet the program deadline. Received means that the application has been successfully uploaded to the Grants.gov server and the applicant has received confirmation of successful submission to Grants.gov. Applicants should be aware that hitting the “sign and submit” button to transmit the application does not mean the application has been successfully uploaded to Grants.gov. The upload is complete only when the application is dated and time stamped by the Grants.gov system. An application that has been rejected by Grants.gov is not deemed to have been received by Grants.gov. (Please see of the General Section for a detailed explanation of Timely Receipt Requirements and Proof of Timely Receipt.) As in the past, HUD encourages applicants to submit their applications early and with sufficient time to address any issues that might affect the applicant’s ability to have an application successfully uploaded and received by Grants.gov.

http://www.grants.gov/applicants/apply_for_grants.jsp

V. Application Review Information:

A. Criteria

1. Rating Factor 1: Capacity to do the Research (20 Points). In reviewing this factor, HUD will determine the extent to which the researcher(s) clearly addresses the following:

a. Describe the research skills and expertise possessed 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 five (5) years will be considered recent.

b. Describe the knowledge, past employment and experience possessed to undertake the proposed research hypothesis. Knowledge and experience will be judged in terms of is the relevance to the proposed research (e.g., course work, teaching, research projects completed in the past, and presentations). Knowledge and experience developed within the last seven (7) years in the area of the proposed research will be considered relevant.

c. Graduate and post-graduate background, publications, books, referred journals articles, chapters, contributed to books, articles in issued proceeding, and any other articles, text and poster presentations made during the last seven (7) years, and grants and awards received during the last seven (7) years.

d. Provide a detailed list that outlines the preliminary steps that were taken (e.g., literature review, research hypothesis, questions to be answered) to identify the proposed topic/hypothesis.

e. Include two letters of reference. (Please place letters in the appendix; these will not be included in the page count.)

2. Rating Factor 2: Need for the Research (20 Points). This factor addresses the extent to which there is a need and a demand for funding the proposed research. HUD encourages researchers to undertake research that will assist the Department in implementing its policy priorities and that help the Department achieve the goals as stated in its FY 2010- FY 2015

Strategic Plan. In reviewing this factor, HUD will determine the extent to which the researcher clearly addresses the following:

a. Describe the need for funding the proposed research (i.e., based on questions derived from identified gaps in the literature, and/or knowledge from professional practice).

b. Describe the significance of the work, including its relationship to past research and proposed use in the future. Reviewers will look at the clarity and how compelling a case the researcher makes for this project in the context of the existing literature and knowledge base for the topic proposed.

c. Discuss the results or findings the proposed research is expected to produce, including the broader impact expected, practical implications, and explain why the information will be generally accepted by researchers and practitioners in your field and other related disciplines.

d. Explain the direct relationship between the proposed research and HUD's Strategic Goals. If an applicant proposes a topic not covered by HUD’s Strategic Goals, the applicant must explain the relevance of that topic to HUD’s FY 2010 - FY 2015 Strategic Plan and how the proposed research will assist HUD in meeting its strategic goals and success measures contained in the strategic plan. For a full list and explanation of the annual goals and objectives, please refer to the General Section.

3. Rating Factor 3: Soundness of Approach (30 Points). This factor addresses the relationship between the need proposed in Factor 2, the quality and effectiveness of the proposed research, and methodology and actions regarding HUD’s policy priorities. This factor will be evaluated based on the extent to which the proposed work plan demonstrates the following:

a. (20 Points) Quality of Research.

(1) State the proposed research question/hypothesis and how it relates to the need described in Factor 2;

(2) Describe in detail the proposed research design as it relates to the question/hypothesis stated above;

(3) Explain how the proposed methodology will be used to complete the proposed research;

(4) Explain why the research design and methodology proposed are most appropriate and will produce data and information that will successfully answer the proposed research hypothesis;

(5) Identify potential obstacles in completing the research, including challenges of collecting reliable data and discuss how they will be handled. If the research product is dependent on any data sources that are not readily attainable and require obtaining permission to access them, please outline the alternatives that will be utilized to complete the research should access to the data sources not be obtained; and

(6) Describe the quality assurance mechanisms that will be integrated into the proposed research design to ensure the validity and quality of the results.

b. (8 Points) Specific Activities. The research schedule must identify all the major tasks/benchmarks involved in completing the proposed research project. The tasks/benchmarks must be presented in a logical sequence of steps and phases, with individual tasks described for each, as well as plans for data management and analysis.

(1) Indicate the sequence in which these tasks/benchmarks 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 preferred);

(3)Describe the plan that will be used to manage and analyze the data; and

(4) Identify any key individuals assisting in the proposed activities.

Individuals who propose 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, HUD is encouraging applicants to undertake programs and projects consistent with the HUD FY 2010 - FY 2015

Strategic Plan. HUD’s Policy Priorities have been established to encourage applicant to take additional actions to help achieve HUD’s strategic goal. As outlined in the General Section, this year each NOFA will specify which Policy Priorities are applicable to receive points under the specific program, as well as the total number of possible points that may be awarded. Under this program NOFA applicants can only receive two (2) points and must respond to one of the following two policy priorities: 1) Capacity Building and Knowledge Sharing, or 2) Expand

Cross-Cutting Policy Knowledge. Each policy priority listed has a value of up to two (2) points associated with the priority. It is up to the applicant to determine which of the policy priorities outlined below (and only the priorities listed below) they will address in order to receive the available two (2) points.

(1) Capacity Building and Knowledge Sharing- Applicants requesting the policy priority points must demonstrate the proposed direct impact their research can have in their field. To receive the full two (2) points under this policy priority, an applicant must respond to at least one or more of the activities listed below and explain how success will be measured during the grant performance period:

a. Activities

Implementation of a research dissemination plan.

Integration of the research findings with other researchers and/or practitioners in the related field of study.

Presentation of research findings at an academic and/or professional conference.

b. Measures of success:

Development of at least one new activity by partner organizations as a result of the outcomes of the research to enhance current program. Examples may include needs assessments, data analysis and utilization of technology, performance management and evaluation specific to the programmatic purpose of the grant.

Presentation of research findings at two or more academic and/or professional conferences in the related field of study.

(2) Expand Cross-Cutting Policy Knowledge- To receive the full two points under this policy priority, an applicant must respond to at least one or more of the activities listed below and explain how success will be measured during the grant performance period:

a. Activities:

Identify partnerships/relationships that will be established with other entities to capture and track the data collected as a result of the research conducted.

Meet with representatives from State and local government to share research findings.

Conduct presentations of research to policymakers and/or decision makers to enhance knowledge of housing issues.

b. Measure of Success:

Development of at least two partnerships/relationships to capture and track data collected as a result of the research conducted.

Development of a publishable document that will serve as a guide to implement a reliable cross cutting program as related to housing issues and possible modifications to existing policies.

Presentation of research findings at one or more conferences/gathering to State and local government representatives.

Applicants that just list a priority, select priorities other than those listed above, and/or fail to address the minimum required items outlined will receive no points under this subfactor. Please refer to the General Section for additional information about HUD’s policy priorities.

4. Rating Factor 4: Broader Impact (20 Points). This factor addresses the broader impact that the proposed research will have. In reviewing this factor HUD will assess the following:

a. Describe how the proposed research will advance discovery and understanding while promoting, teaching, training, and learning;

b. Explain how the proposed research activity broadens the participation of underrepresented groups (e.g., gender, ethnicity, disability, geographic, etc.);

c. Explain the extent to which the research will enhance the infrastructure for further study and education, such as facilities, instrumentation, networks, and partnerships; and

d. Outline the mentoring activities that will be provided to junior researchers.

5. Rating Factor 5: Achieving Results and Program Evaluation (10 Points). This factor reflects HUD’s goal to embrace high standards of management and accountability. It measures the researcher’s commitment to assess their performance to complete their proposed research within the grant performance period. Researchers are required to develop an effective, quantifiable, and 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 through 4. Therefore, it should be consistent with the information contained in the narrative statements.

In evaluating this factor, HUD will assess the extent to which the researcher demonstrates how results of completing the research will be measured as outlined in the proposed work plan.

To meet this factor requirement, researchers must submit a completed HUD_96010_Program-

Outcome_Logic_Model. Researchers must select from the list of activities and outcomes to determine their specific methods and measures that will be used to assess progress and evaluate program effectiveness. If an item is not found on the list of activities or outcomes, applicants can select “other” and then insert the activity and/or outcome and unit of measurement. Researchers can use the “other” option for up to three activities and three outcomes. See the instructions tab in the Logic Model for further details. HUD will not accept activities or outcomes selected as

“other” that do not contain an identified statement of the activities/outcomes or units of measurement. Utilizing this form will help the researcher to ensure that performance measures are being met and achievable realistic goals are being established

a. Logic Model instructions (using a Microsoft Excel form) are provided on the Logic model form that can be downloaded from http://www07.grants.gov/applicants/apply_for_grants.jsp. Researchers who do not have access to

Microsoft Excel 2003 or 2007, should contact the NOFA Information Center at (800) HUD-

8929. Individuals with hearing or speech impairments may access this number via the toll-free

Federal Information Relay Service at (800) 877-8339.

NOTE: A narrative response is not required for this factor as all applicants must use the

Logic Model form to respond to this factor. However, if a narrative is included, these pages will be included in the page count. HUD has developed a new approach to completing this form.

Applicants should also review the Logic Model training, which can be found online at http://www.hud.gov/webcasts/index.cfm.

b. HUD will review the outputs and outcomes in relation to the needs identified.

“Outcomes” are ultimate goals. A researcher must clearly identify the outcomes to be measured and achieved. Examples of outcomes are the completion of the research, 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 researcher must establish outputs that lead to the ultimate achievement of the outcomes. “Outputs” are the direct benchmarks and indicators that will allow a student to measure performance. Performance indicators should be objective, quantifiable, and measure http://www07.grants.gov/applicants/apply_for_grants.jsp http://www.hud.gov/webcasts/index.cfm actual achievements. At a minimum, the researcher must address the following activities in the evaluation plan:

(1) Identify benchmarks that will be used to track the progress of the research study; and

(2) Indicate the sequence in which tasks will be performed. Researchers must also reference policy priorities, as stated in their response to Factor 3, and relate them to the completion of the research project.

HUD will evaluate the Logic Model in accordance with the matrix provided in Attachment 1 of the General Section.

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 eligibility and if the application abstract meets the criteria outline above.