[Federal Register Volume 60, Number 98 (Monday, May 22, 1995)]
[Notices]
[Pages 27106-27109]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-12463]



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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary


Local Agency Data on Use of Multiple Services

AGENCY: Office of the Assistant Secretary for Planning and Evaluation.

ACTION: Request for applications to build and analyze a research data 
base from local agency data on client use of multiple health and human 
services.

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SUMMARY: The Department seeks applications to build and analyze a 
research data base on multiple health and human services. The primary 
goal of the proposed grant is to assist a local multi-service agency in 
(1) creating, from existing separate data files, a longitudinal data 
set tracking client use of several health and human service programs 
over time and (2) analyzing that data set. It is anticipated that one 
grant of $50,000 for 12 months will be awarded. The Department's award 
must be matched by the grantee with $50,000 from non-Federal sources.

CLOSING DATE: The closing date for submitting an application is July 
21, 1995.

FOR FURTHER INFORMATION CONTACT:
Application instructions and forms should be requested from and 
submitted to: Grants Officer, Office of the Assistant Secretary for 
Planning and Evaluation, Department of Health and Human Services, 200 
Independence Avenue, S.W., Room 405F, Hubert H. Humphrey Building, 
Washington, D.C., 20201, Phone (202) 690-8794. Requests for forms and 
technical questions will be accepted and responded to up to 15 
[[Page 27107]] days prior to the closing date of receipt of 
applications. Technical questions should be directed to Matthew 
Stagner, DHHS, ASPE, Telephone, 202-690-5653. Questions may also be 
faxed to 202-690-5514. Written technical questions should be addressed 
to Dr. Stagner at the above address. Application submissions may not be 
faxed.

ELIGIBLE APPLICANTS: The Department seeks applications from local non-
profit health and social services providers. For-profit organizations 
are advised that no funds may be paid as profit to any recipient of a 
grant or sub-grant. Profit is any amount in excess of allowable direct 
and indirect costs of the grantee.

SUPPLEMENTARY INFORMATION:

Part I

Legislative Authority

    This grant is authorized by Section 1110 of the Social Security Act 
(42 U.S.C. 1310) and awards will be made from funds appropriated under 
Public Law 103-112 (DHHS Appropriation Act for FY 1995).

Available Funds

    HHS intends to award one grant from this announcement. $50,000 has 
been set aside for one grant to be awarded in FY 1995. Funds will be 
obligated fully at the time of award. This grant will require a 1 to 1 
match of private or local funding to federal funding. To receive 
$50,000 of federal funds, an organization must demonstrate that it has 
access to $50,000 of private or local funding for this project. Nothing 
in this application should be construed as committing the Assistant 
Secretary to make an award. The selection of the grantee will be 
determined by the Assistant Secretary on the basis of the availability 
of funds and the criteria outlined in this announcement.

Part II. Purpose

    Health and human services policy makers increasingly recognize that 
many clients use multiple types of services, either at a point in time 
or over the course of their lives. The timing of services in a client's 
``service career,'' the ordering of services, and the overlap of 
service receipt have many implications for policy and practice. In 
particular, it is important to understand how use of one services leads 
clients to another service and to understand how programs should work 
together when a client is involved with many programs simultaneously. 
Services of interest to the Department include AFDC, Medicaid, job 
training, child care, food and nutrition programs, foster care, Head 
Start, counseling, and other social services.
    Several issues make it extremely difficult to understand patterns 
of service provision across programs or over time. These include the 
fragmentation of service provision, the varying quantity and quality of 
data available within each service stream, and the difficulty of 
tracking the same client across different service providers.
    The increasing sophistication and comprehensiveness of human 
services computer systems now make it possible to use administrative 
data to improve our understanding of multiple service use. There are at 
least two ways to begin to use such administrative data. First, 
researchers are merging data bases from many service streams at the 
state or county level. After identifying where each client appears in 
each data base, researchers join the data bases, making it possible to 
follow each client's experiences in different service systems. Such 
data bases can show pathways from one service to another and 
``careers'' of multiple service use over time.
    Second, it is possible to use data from local agencies that serve 
as the coordinators of services. In some communities, these agencies 
may be newly formed service ``collaboratives.'' In other communities, 
they may be older umbrella agencies like settlement houses. Though 
obviously limited in its generalizability, developing data on 
comprehensive services from a single local agency overcomes many of the 
problems in building state-wide or county-wide data bases. In 
particular, the single administrative unit decreases the need to obtain 
multiple clearances and to work with multiple computer systems.
    As the cross-cutting policy research agency at HHS, ASPE has a long 
history of interest in multiple service use by health and human 
services clients. ASPE has supported the development of several state-
level data bases for policy research. This grant award seeks to create 
a similar, smaller integrated data base at a single multi-service local 
agency. Applicants must be local comprehensive services agencies that 
provide multiple services to a large, diverse client base. Services of 
interest to the Department include AFDC, Medicaid, job training, child 
care, food and nutrition programs, foster care, Head Start, counseling, 
and other social services. The agency must have a comprehensive 
computer system that contains data on individual's use of services, 
including the timing, length, type, and cost of services.
    It is anticipated that one grant will be awarded as a result of 
this announcement. The Department hopes to contribute to an on-going 
project in which the grantee is building and analyzing a computerized 
data file that tracks a large number of health and human service 
clients through multiple service programs over time. Applicants should 
demonstrate their access to data that describe client participation (by 
individual) in many health and human services programs; their capacity 
to work with this data; the steps they plan to take to combine these 
data into a single file for policy and practice research; and the 
analysis they hope to perform using that data. Key issues include the 
ordering of services, the timing of transitions from one service to 
another, and the use of multiple services simultaneously.
    After building this data base and conducting preliminary analysis, 
the grantee will prepare a final report describing the procedures they 
used to build the data base, findings about multiple service use, 
barriers encountered in developing the data base, and other relevant 
information. A primary audience for this report is other local 
comprehensive services data bases. The report should assist other 
agencies that are attempting to build and analyze such data bases.

Part III. Application Preparation and Evaluation Criteria

    This section contains information on the preparation of 
applications for submission under this announcement, on the forms 
necessary for submission, and on the evaluation criteria under which 
the applications will be reviewed. Potential applicants should read 
this section carefully in conjunction with the information provided 
above. The application must contain the required Federal forms, title 
page, table of contents, and the sections listed below. All pages of 
the narrative should be numbered.
    The application must include the following elements:
    1. Abstract: a one-page summary of the proposed project.
    2. Goals and objectives of the project: an overview that describes 
the project, what will be accomplished, what the applicant, the 
Department, and the field will learn from the successful completion of 
the project.
    3. Corporate capacity and qualifications: Applicants must 
demonstrate access to computerized records within a single agency that 
cover a wide range of social services and a large number of clients. 
Services of interest to the Department include [[Page 27108]] AFDC, 
Medicaid, job training, child care, food and nutrition programs, foster 
care, Head Start, counseling, and other social services.
    Applicants must demonstrate access to computer hardware and 
software for storing and analyzing these computerized records. They 
must also demonstrate that they have staff capable of merging multiple 
data files and conducting analysis on the resulting data set. 
Applicants should also describe the type of agency, its organizational 
structure, and it meets the qualifications outlined in this 
announcement. Finally, applicants must demonstrate access to $50,000 in 
matching funds from private or local sources.
    4. Experience, qualifications, and use of staff: Applicants must 
list primary staff and the activities they will perform on this 
project. Curriculum Vitae or job descriptions for key staff must be 
appended. This section must show that the organization--and the 
particular staff assigned--has a good track record in the use of 
administrative data. If the applicant plans to contract for outside 
staff for this project, the relationship and commitment of these people 
to the applicant organization must be demonstrated.
    5. Initial Workplan: Applicants must describe the activities they 
plan to undertake and outline their rationale for undertaking those 
activities. This plan should describe the data files that will be used, 
the steps that will be taken to create a single data file for analysis, 
and the planned analysis of that data file. The role of key staff in 
each step of the work plan should be presented.
    6. Budget: Applicants must submit a request for federal funds using 
Standard Form 424A. In addition, they must include a detailed breakdown 
of all Federal line items along with a brief narrative description or 
justification for these line items. This section must demonstrate the 
availability of $50,000 in matching funds from local or private 
sources. This detailed breakdown should separate items for which 
Federal funds are requested from items to be provided by other sources, 
with those other sources identified.

Review Process and Funding Information

    A panel of at least three experts will review and score all 
applications that are submitted by the deadline date and that meet the 
screening criteria (all information and documents as required by this 
Announcement.) The panel will review the applications using the 
evaluation criteria listed below to score each application. These 
review results will be the primary element used by the Assistant 
Secretary in making funding decisions. The Department reserves the 
option to discuss applications with other Federal agencies, 
specialists, experts, states, and the general public. Comments from 
these sources, along with those of the reviewers, may be considered in 
making an award decision.

State Single Point of Contact (E.O. No. 12372)
    DHHS has determined that this program is not subject to Executive 
Order 12372, ``Intergovernmental Review of Federal Programs.'' 
Applicants are not required to seek intergovernmental review of their 
applications within the constraints of E.O. 12372.

Deadline for Submission of Applications

    The closing date for submittal of applications under this 
announcement is July 21, 1995. Applications must be postmarked or hand 
delivered to the application receipt point no later than 4:30 p.m. on 
July 21, 1995. Hand-delivered applications will be accepted Monday 
through Friday, excluding Federal holidays during the working hours of 
9:00 a.m. to 4:30 p.m. in the lobby of the Hubert H. Humphrey building 
located at 200 Independence Avenue, SW. in Washington, DC. When hand-
delivering an application, call (202) 690-8794 from the lobby for pick 
up. A staff person will be available to receive applications. Faxed 
applications will not be accepted.
    An application will be considered as meeting the deadline if it is 
either: (1) received at, or hand-delivered to, the mailing address on 
or before July 21, 1995, or (2) postmarked before midnight July 21, 
1995 and received in time to be considered during the competitive 
review process (within two weeks of the deadline date).
    When mailing applications, applicants are strongly advised to 
obtain a legibly dated receipt from a commercial carrier (such as UPS, 
Federal Express, etc.) or from the U.S. Postal Service as proof of 
mailing by the deadline date. If there is a question as to when an 
application was mailed, applicants will be asked to provide proof of 
mailing by the deadline date. When proof is not provided, an 
application will not be considered for funding. Private metered 
postmarks are not acceptable as proof of timely mailing.
    Applications which do not meet the deadline are considered late 
applications and will not be considered or reviewed in the current 
competition. DHHS will send a letter to this effect to each late 
applicant.
    DHHS reserves the right to extend the deadline for all proposals 
due to natural disasters, such as floods, hurricanes, or earthquakes, 
or if there is a widespread disruption of the mail, or if DHHS 
determines a deadline extension to be in the best interest of the 
government. However, DHHS will not waive or extend the deadline for any 
applicant unless the deadline is waived or extended for all applicants.

Application Forms

    See section entitled ``Components of a Complete Application.'' All 
of these documents must accompany the application package.

Length of Application

    Applications should be as brief as possible but should assure 
successful communications of the applicant's proposal to the reviewers. 
In no case shall an application (excluding the resumes, appendix and 
other appropriate attachments) be longer than 15 single spaced pages. 
Applications should be neither unduly elaborate nor contain voluminous 
supporting documentation.

Selection Process and Evaluation Criteria

    Selection of the successful applicant will be based on the criteria 
laid out in this announcement. Reviews will determine the strengths and 
weaknesses of each application in terms of the evaluation criteria 
listed below, will provide comments, and will assign numerical scores. 
The review panel will prepare a summary of all applicant scores and 
strengths/weaknesses and recommendations and will submit it to the 
Assistant Secretary for the final decision on the award.
    The point value following each criterion heading indicates the 
maximum numerical weight that each section will be given in the review 
process. An unacceptable rating on any individual criterion may render 
the application unacceptable. Consequently, applicants should take care 
to ensure that all criteria are fully addressed in the applications.
    Three (3) copies of each application are required. Applicants are 
encouraged to send an additional seven (7) copies of their application 
to ease processing, but applicants will not be penalized if these extra 
copies are not included.
    Applications will be judged according to the criteria set forth 
below: [[Page 27109]] 
A. Goals, Objectives, and Need for Assistance. (10 points)
    Are the goals and objectives of the project presented clearly and 
do they reflect the type of project sought by this announcement?

B. Project Design and Approach. (40 points)

    Is there documented access to multiple data sets describing 
individual experiences in the services of interest (e.g., AFDC, 
Medicaid, job training, child care, foster care, Head Start, 
counseling, and other social services)? How long is the time frame 
covered by each data set? How detailed are the records of service 
receipt (e.g., type of activity, length of activity, cost of activity)? 
How large and diverse is the population covered in each data set? Is 
there a clear and achievable plan for creating a single data set that 
will allow the tracking of individuals through multiple services over 
time? Are there interesting questions about health and human services 
policy and practice that will be explored after the data set is 
created?
C. Organization and Staffing. (40 points)
    Does the organization demonstrate the in-house capacity to conduct 
the project? Does the organization demonstrate access to and experience 
with computerized records for multiple services? Does the organization 
and staff demonstrate a track record of successful use of 
administrative data? Do the staff have documented experience working 
with multiple data sets involving several types of health and human 
services? Are the number and type of staff positions sufficient to 
achieve project objectives?
    How many different types of health and human services does the 
organization provide? For how many of these services is their 
individual-level data on service receipt? Does the organization have 
computer hardware, computer software, and computing staff able to work 
with large data sets? Does the organization demonstrate an ability to 
manage a complex data-merging project, including analysis of such data? 
Does the organization demonstrate connections to key audiences for 
dissemination?
D. Budget and budget narrative (10 points)
    Is the proposed budget reasonable and sufficient to ensure 
implementation of the project? Does the organization demonstrate access 
to $50,000 from non-Federal sources to match the Federal grant?

Disposition of Applications

    1. Approval, disapproval, or deferral. On the basis of the review 
of the application, the Assistant Secretary will either (a) approve the 
application as a whole or in part; (b) disapprove the application; or 
(c) defer action on the application for such reasons as lack of funds 
or a need for further review.
    2. Notification of disposition. The Assistant Secretary will notify 
the applicants of the disposition of their applications. If approved, a 
signed notification of the award will be sent to the business office 
named in the ASPE checklist.

Components of a Complete Application

    A complete application consists of the following items in this 
order:

1. Application for Federal Assistance (Standard Form 424, Revised 4-
88);
2. Budget Information--Non-construction Programs (Standard Form 424A, 
Revised 4-88);
3. Assurances--Non-construction Programs (Standard Form 424B, Revised 
4-88);
4. Table of Contents;
5. Budget Justification for Section B Budget Categories;
6. Proof of Non-profit Status, if appropriate;
7. Copy of the applicant's Approved Indirect Cost Rate Agreement, if 
necessary;
8. Project Narrative Statement, organized in four sections addressing 
the following topics:
    a. Abstract
    b. Goals and objectives of the project
    c. Corporate capacity and qualifications
    d. Experience, qualifications, and use of staff
    e. Initial Workplan
    f. Budget and Budget Narrative
9. Any appendices or attachments;
10. Certification Regarding Drug-Free Workplace;
11. Certification Regarding Debarment, Suspension, or other 
Responsibility Matters;
12. Certification and, if necessary, Disclosure Regarding Lobbying;
13. Supplement to Section II--Key Personnel;
14. Application for Federal Assistance Checklist.

    Dated: May 12, 1995.
David T. Ellwood,
Assistant Secretary for Planning and Evaluation.
[FR Doc. 95-12463 Filed 5-19-95; 8:45 am]
BILLING CODE 4154-04