[Federal Register Volume 66, Number 111 (Friday, June 8, 2001)]
[Notices]
[Pages 30979-30985]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-14493]


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DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration


Discretionary Cooperative Agreements To Assist in the Development 
of Crash Outcome Data Evaluation System

AGENCY: National Highway Traffic Safety Administration, DOT.

ACTION: Notice of availability--discretionary cooperative agreements to 
assist in the development and use of Crash Outcome Data Evaluation 
System.

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SUMMARY: The National Highway Traffic Safety Administration (NHTSA) 
announces a discretionary cooperative agreement program to assist 
states in the development and use of Crash Outcome Data Evaluation 
System (CODES) and solicits applications for projects under this 
program from states that have not previously been funded to develop 
CODES. Under this program, states will link their existing statewide 
traffic records with medical outcome and charge data. The linked data 
will be used to support highway safety decision-making at the local, 
regional, and state levels to reduce deaths, non-fatal injuries, and 
health care costs resulting from motor vehicle crashes.

DATES: Applications must be received at the office designated below by 
3:00 PM on or before August 7, 2001.

ADDRESSES: Applications must be submitted to DOT/National Highway 
Traffic Safety Administration, Office of Contracts and Procurement 
(NAD-30), ATTN: Mr. Joe Comella, 400 7th Street SW., Room 5301, 
Washington, DC 20590.
    All applications submitted must include a reference to NHTSA 
Cooperative Agreement Program No. DTNH22-H-01-07241. Interested 
applicants should contact Mr. Comella to obtain the application packet. 
Included in the application packet are reports about data linkage and 
applications for linked data developed by the CODES project.

FOR FURTHER INFORMATION CONTACT: General administrative questions may 
be directed to Joe Comella, Office of Contracts and Procurement. All 
questions and requests for copies may

[[Page 30980]]

be directed by e-mail at <a href="/cdn-cgi/l/email-protection#58323b37353d3434391836302c2b39763c372c763f372e"><span class="__cf_email__" data-cfemail="8de7eee2e0e8e1e1eccde3e5f9feeca3e9e2f9a3eae2fb">[email protected]</span></a> or, by telephone, at 
(202) 366-9568. Programmatic questions relating to this cooperative 
agreement program should be directed to Barbara Rhea, CODES Contracting 
Officer's Technical Representative (COTR), at NHTSA, Room 6125, (NRD-
33) 400 7th Street SW., Washington, DC 20590, or by e-mail at 
<a href="/cdn-cgi/l/email-protection#395b4b515c587957514d4a58175d564d175e564f"><span class="__cf_email__" data-cfemail="c1a3b3a9a4a081afa9b5b2a0efa5aeb5efa6aeb7">[email protected]</span></a>, or by telephone at (202) 366-2714.

SUPPLEMENTARY INFORMATION:

Statement of Work

Background

    Crash data alone are unable to convey the magnitude of the medical 
and financial consequences of the injuries resulting from motor vehicle 
crashes or the success of highway safety decision-making to prevent 
them. Outcome information describing what happens to all persons 
involved in motor vehicle crashes, regardless of injury, are needed.
    Person-specific outcome information is collected at the crash scene 
and en route by EMS personnel, at the emergency department, in the 
hospital, and after discharge. When these data are computerized and 
merged statewide, they generate a source of population-based data that 
is available for use by state and local traffic safety and public 
health professionals. Linking these records to statewide crash data 
collected by police at the scene is the key to developing relationships 
among specific vehicles, crashes, and occupant behavior characteristics 
and their medical and financial outcomes.
    The feasibility of linking crash and medical outcome (EMS, 
emergency department, hospital discharge, death certificate, claims, 
etc.) data was demonstrated by the CODES project. This project evolved 
from the Intermodal Surface Transportation Efficiency Act of 1991, 
which mandated that NHTSA prepare a Report to Congress about the 
benefits of safety belt and motorcycle helmet use. NHTSA provided 
funding to the States of Hawaii, Maine, Missouri, New York, 
Pennsylvania, Utah, and Wisconsin to link their state data and use the 
linked data to analyze the effectiveness of safety belts and motorcycle 
helmets. The Report was delivered to Congress in February 1996. In 
1996, three CODES states (New York, Pennsylvania, and Wisconsin) and 
three states which linked crash and medical data without CODES funding 
(Alaska, Connecticut, and New Mexico) were awarded NHTSA research funds 
to develop state-specific applications for linked data. In 1997, NHTSA 
awarded grants for CODES linkage to Connecticut, New Hampshire, 
Maryland, North Dakota, South Dakota, Oklahoma, and Nevada. Iowa, 
Kentucky, Massachusetts, Nebraska, and South Carolina were funded to 
implement the CODES linkage in 1998. Arizona, Delaware, Minnesota and 
Tennessee were funded in 1999. Georgia and Rhode Island were funded in 
2000. The CODES project also demonstrated that linked data have many 
uses for decision-making related to highway safety and injury control. 
In addition to demonstrating the effectiveness of safety belts and 
motorcycle helmets in preventing death, injury, and costs, the linked 
data were used to identify populations at risk for increased injury 
severity or high health care costs, the impact of different occupant 
behaviors on outcome, the safety needs at the community level, the 
allocation of resources for emergency medical services, the injury 
patterns by type of roadway and geographic location, and the benefits 
of collaboration on data quality. When crash, vehicle, and behavior 
characteristics were linked to outcome information, decision-makers 
could identify those prevention programs that had the most impact on 
preventing or reducing the medical and financial costs associated with 
motor vehicle crashes.
    Data linkage fulfills expanded data needs without the additional 
expense and delay of new data collection. The linkage process itself 
provides feedback about data quality and content problems, which leads 
to improvement in the state data. Thus, it is in NHTSA's interest to 
encourage states to qualify for CODES funding. NHTSA benefits from the 
improved quality of the state data, while the states benefit from 
state-specific medical and financial outcome information about motor 
vehicle crashes.

Objective

    The objective of this Cooperative Agreement program is to provide 
resources to the applicant to:
    1. Coordinate the development and institutionalization of the 
capability to link state crash and medical outcome data to identify the 
medical and financial consequences of motor vehicle crashes.
    2. Utilize this information in crash analysis, problem 
identification, and program evaluation to improve decision-making at 
the local, state, and national levels related to preventing or reducing 
deaths, injuries, and direct medical costs associated with motor 
vehicle crashes.
    3. Provide NHTSA with population-based linked crash and injury data 
to analyze specific highway safety issues of interest to NHTSA in 
collaboration with the CODES states.
    4. Develop data linkage capabilities as a means of improving the 
quality of state data that support NHTSA's national data. State data 
systems are stronger and more likely to survive when developed and 
supported by state funds. So, this cooperative agreement is not 
intended to fund basic development of state data systems, but rather to 
create linkages among existing state data. States with insufficient 
state data to perform the CODES linkages are encouraged to expedite the 
improvement of their state data with state resources to become eligible 
for CODES funding.

General Project Requirements

    The grantees of this cooperative agreement will be required to:
    1. Link statewide population-based crash to injury data for any two 
calendar years available since 1997, to produce a linked data file 
that, if not statewide, reflects a contiguous geographical area that 
contains at least three (3) million residents in which the residents 
obtain all levels of emergency medical care without the need to be 
transferred elsewhere, except in rare occurrences, when involved in 
motor vehicle crashes. The linked data must be representative and 
generalizable for highway traffic safety purposes in the state or 
within an area in the state. All applicants must be able to clearly 
document what data are available and what data are missing and the 
significance of the missing data for highway traffic safety planning 
efforts.
    a. Develop a state/state-wide CODES that includes outcome 
information for all persons, injured and uninjured, involved in police 
reported motor vehicle crashes.
    (1) The CODES should consist of crash data linked to hospital and 
either EMS or emergency department data, preferably both. States 
without EMS or emergency department data are eligible if this type of 
outpatient information can be obtained from insurance claims data for 
everyone involved in a crash that is treated at an outpatient center.
    (2) Additional state/area-wide data (driver licensing, vehicle 
registration, citation/conviction records, insurance claims, HMO/
managed care, outpatient records, etc.) should be linked as necessary 
to meet state/area-wide objectives.
    b. Set up processes for collaboration among the technical experts 
who manage the data files being linked.
    c. Assign an agency to be responsible for:

[[Page 30981]]

    (1) Obtaining a computer and linkage software to be dedicated to 
CODES activities (the computer and software resources may not be 
permanently tied to an existing computer network in such a way as to 
preclude their movement in the future, as directed by the CODES Board 
of Directors, to another organization more interested in continuing the 
linkage and application for the linked data);
    (2) Implementing probabilistic linkage methodology to facilitate 
tracking the crash victim from the scene to final disposition/recovery 
using existing computerized state/area-wide population-based databases;
    (3) Validating the linkage results by evaluating the rate of false 
positives and false negatives among the linked and unlinked records;
    (4) Analyzing the linked data; and
    (5) Cross-training sufficient staff to ensure continuation of the 
linkage capability in spite of changes in organizational priorities or 
personnel during or after the project period.
    d. Document the file preparation, linkage and validation processes 
so that the linkage can be repeated efficiently during subsequent years 
after Federal funding ends and provide evidence of this documentation.
    e. Provide NHTSA a version of the linked data file with supporting 
documentation that conforms to State laws and regulations governing 
patient/provider confidentiality, yet satisfies minimum NHTSA data 
needs.
    2. Use the linked data to influence highway traffic safety and 
injury control decision-making by implementing at least one application 
of linked data that is expected to have a positive impact on reducing 
death, injury, and direct medical costs.
    3. Use the linked data to prepare management reports using a format 
standardized by NHTSA for a national CODES report.
    4. Develop the computer programs needed to translate the linked 
data into information useful for highway traffic safety and injury 
control at the local, regional, or state/area-wide level.
    a. Develop, for access within the State, a public-use version of 
the linked data, copies of which will be distributed upon request.
    b. Develop the resources necessary to produce and distribute 
routine reports, respond to data requests, and provide access to the 
linked data for analytical, management, planning, and other purposes 
after Federal funding ends.
    c. Use the Internet and other electronic mechanisms to efficiently 
distribute and share information generated from the linked data.
    5. Promote collaboration between the owners and users of the state/
area-wide data to facilitate data linkage and applications for linked 
data.
    a. Establish a state/area-wide CODES collaborative network.
    (1) Convene a Board of Directors consisting of the data owners and 
major users of the state/area-wide data. The CODES Board of Directors 
will be responsible for managing and institutionalizing the linked 
data, establishing the data release policies for the linked data, 
supporting the activities of the grantee, ensuring that data linkage 
and application activities are appropriately coordinated within the 
state/area, and resolving common issues related to data accessibility, 
availability, completeness, quality, confidentiality, transfer, 
ownership, fee for service, management, etc. The CODES Board of 
Directors shall meet bi-monthly.
    (2) Convene a CODES Advisory Group consisting of the CODES Board of 
Directors and other stakeholders interested in the use of linked data 
to support highway safety, injury control, EMS, etc. The CODES Advisory 
Group will be informed of the results of the data linkage, application 
of the data for decision-making, the quality of the state/area-wide 
data for linkage and the quality of the linked data for analysis. The 
CODES Advisory Group shall meet twice a year.
    b. Promote coordination of the various stakeholders through use of 
the Internet, teleconferencing, joint meetings, and other mechanisms to 
ensure frequent communication among all parties to minimize the expense 
of travel.
    6. Work collaboratively with NHTSA to implement the Cooperative 
Agreement.
    a. Attend Initial Briefing Meeting. Each grantee shall attend a 
briefing meeting (date and time to be scheduled within 30 days after 
the award) in Washington, DC with NHTSA staff. The purpose of the 
meeting will be to review the goals and objectives of the project, 
discuss implementation of the linkage software, review the tasks to be 
specified in the action plan for the data linkage and applications of 
the linked data for highway safety or injury control decision-making 
and discuss the agendas for the Board of Directors and Advisory Group.
    b. Submit Detailed Action Plan and Schedule. Within 30 days after 
the briefing meeting, the grantee shall deliver a detailed action plan 
and schedule, covering the remaining funding period, for accomplishing 
the data linkage and incorporating information generated from linked 
data into the processes for highway safety or injury control decision-
making. The action plan shall be subject to the technical direction and 
approval of NHTSA.
    c. Attend Technical Workshops. All grantees together shall attend 
two technology transfer workshops during project performance at 
locations convenient to the majority of CODES grantees. The first 
meeting, to be scheduled during the ninth or tenth month of funding, 
will be organized to share data linkage experiences, discuss 
standardized formats for management reports, review the proposed state-
specific highway safety applications of linked data, and resolve common 
problems. The second meeting will be scheduled approximately 12 months 
after the first technical assistance meeting, at the end of the funding 
period, for the purpose of sharing results and making recommendations 
for future CODES projects.
    d. Attend National Meeting. At the direction of the COTR, Grantee 
shall attend one National Meeting to report on progress or results from 
their CODES project.
    e. Progress Report. Grantee shall submit quarterly progress 
reports. During the period of performance, the grantee will provide 
letter-type written reports to the COTR. These reports will compare 
what was proposed in the Action Plan with actual accomplishments during 
the past quarter; what commitments have been generated; what follow up 
and state-level support is expected; what problems have been 
experienced and what may be needed to overcome the problems; and what 
is specifically planned to be accomplished during the next quarter. 
These reports will be submitted seven days after the end of each 
quarter.
    f. Develop a plan to institutionalize the data linkage and 
applications for linked data after Federal funding ends. By the end of 
the 15th month of funding, each grantee shall submit a long-range plan 
and schedule to institutionalize data linkage and the use of linked 
data for highway safety and injury control decision-making within the 
state.
    g. Project Report. The grantee shall deliver to NHTSA, at the end 
of the project, a final report describing the results of the data 
linkage process, and the applications of the linked data generated 
during the project.

NHTSA Involvement

    NHTSA will be involved in all activities undertaken as part of the 
Cooperative Agreement program and will:

[[Page 30982]]

    1. Provide a Contracting Officer's Technical Representative (COTR) 
to participate in the planning and management of the Cooperative 
Agreement and coordinate activities between the grantee and NHTSA.
    2. Provide, at no cost to the grantee, training and technical 
assistance by a CODES expert for up to two weeks on-site and off-site 
during the project to assist the grantee in preparing the files for 
linkage, implementing probabilistic linkage techniques, validating the 
linkage results, developing applications for the linked data, and 
organizing the CODES Board of Directors and Advisory Group.
    3. Develop a format in which the linked data and supporting 
documentation will be delivered to NHTSA.
    4. Conduct Initial Briefing at NHTSA Headquarters in Washington, DC 
(Date and time to be scheduled within 30 days after the award.) The 
purpose of the meeting will be to review the goals and objectives of 
the project, discuss implementation of the linkage software, identify 
the tasks to be specified in the action plan for the data linkage and 
applications of the linked data for highway safety or injury control 
decision-making, and discuss agendas for the Board of Directors and 
Advisory Group.
    5. Conduct two Technical Assistance meetings for the purpose of 
technology transfer. The first meeting, to be scheduled during the 
ninth or tenth month of funding, will be organized to share data 
linkage experiences, develop a standardized format for management 
reports, review the proposed state-specific highway traffic safety 
applications of linked data, and resolve common problems. The second 
meeting will be scheduled at the end of the funding period for the 
purpose of sharing results and making recommendations for future CODES 
projects. Locations for the Workshops will be determined based on the 
location of the Grantees. However, for the purpose of cost estimation, 
assume the workshops will be held in Washington, DC.
    6. Collaboratively work with the state when using the state's 
linked data to analyze and report on specific highway safety issues.
    7. When appropriate, NHTSA will publish state-specific reports on 
CODES applications.

Period of Support

    The project study effort described in this announcement will be 
supported through the award of up to three (3) Cooperative Agreements, 
depending upon the merit of the applications received and the 
availability of funding. It is anticipated that individual award 
amounts will range from $250,000-$300,000. Project efforts involving 
linkage of the state/area-wide data and applications for the linked 
data must be completed within twenty-one months after funding.

Eligibility Requirements

    The grantee must be a state agency involved with highway traffic 
safety, such as a State Highway Safety Office, Department of 
Transportation or other State agency with demonstrated activities in 
the highway traffic safety areas, to ensure active involvement by 
highway traffic safety stakeholders. States that have previously been 
funded to develop CODES are not eligible. Only one application should 
be submitted for a state or area within a state. Because this 
Cooperative Agreement program requires extensive collaboration among 
the data owners in order to achieve the program objectives, it is 
envisioned that the grantee agency may need to actively involve the 
data owners in the development of the formal application and may need 
to sub-contract activities with at least one of them to implement a 
successful CODES.
    While the general eligibility requirements are broad, applicants 
are advised that this Cooperative Agreement program is not designed to 
support basic developmental efforts. Although no single organization 
within any state or area within the state has all of the required data 
capabilities, the application should demonstrate strong collaborative 
agreements with the data owners and access to at least the state/area-
wide crash, hospital, and either EMS or emergency department data, or 
both, by the time of the award. States/areas that collect at least the 
date of birth and zip code of residence on their crash data and have 
state/area-wide health and/or vehicle insurance claims information may 
be eligible, in spite of the lack of EMS or emergency department 
information, if the claims data include everyone involved in motor 
vehicle crashes. In addition, it is important that the applicant 
indicate the level of commitment, with state or area within the state 
funding and/or shared resources, by the data owners to meet program 
objectives, particularly institutionalization of the data linkage and 
applications for linked data.

Application Procedure

    Each applicant must submit one original and two (2) copies of the 
application package to: DOT/National Highway Traffic Safety 
Administration, Office of Contracts and Procurement (NAD-30), ATTN: Joe 
Comella, 400 7th Street, SW., Room 5301, Washington, DC 20590. 
Applications must be typed on one side of the page only.
    An additional two (2) copies will facilitate the review process, 
but are not required. Applications must include a reference to NHTSA 
Cooperative Agreement Program Number DTNH22-01-H-07241. Only complete 
application packages received on or before 3 p.m. on (60 days) will be 
considered.

Application Contents

    1. The application package must be submitted with OMB Standard Form 
424 (REV. 7-97, including 424A and 424B), Application for Federal 
Assistance, with the required information filled in and assurances 
signed (SF 424B). While the Form 424A deals with budget information and 
Section B identifies Budget Categories, the available space does not 
permit a level of detail, which is sufficient to provide for a 
meaningful evaluation of the proposed total costs. A supplemental sheet 
shall be provided which presents a detailed breakdown of the proposed 
costs (direct labor, including labor category, level of effort, and 
rate; direct materials including itemized equipment; travel and 
transportation, including projected trips and number of people 
traveling; subcontractors/subgrants, with similar detail, if known; and 
overhead), as well as any costs the applicant proposes to contribute or 
obtain from other sources in support of the project. Applicants shall 
assume that awards will be made during September 2001 and should 
prepare their applications accordingly.
    2. The application shall include a program narrative statement of 
not more than 20 pages, which addresses the following as a minimum:
    a. A brief description of the state/area in terms of its highway 
safety and injury control decision-making processes for planning, 
performance monitoring and other functions aimed at reducing death, 
injury, and costs of injuries resulting from motor vehicle crashes. 
This description should indicate how linked data would make a 
difference to the decision-making processes.
    b. A brief description of the existing crash and medical outcome 
data files Applicants will link state/area-wide population-based crash 
data to EMS (and/or emergency department or insurance claims) and 
hospital discharge data to obtain medical and financial outcomes for 
persons injured in motor vehicle crashes for any two calendar years of 
data available since 1997. Linkages to census, other traffic

[[Page 30983]]

records (vehicle registration, driver licensing, roadway, conviction/
citation, etc.), insurance claims, etc., are encouraged to meet 
priorities for highway safety and injury control decision-making. The 
following information should be included describing the state/area-wide 
data:
    (1) The total crashes, total persons involved in crashes, total 
victims with injuries caused by a motor vehicle crash as identified or 
estimated and a descriptive profile of the total injuries by severity 
level, if available, state/area-wide.
    (1) Information about the current status of the data files to be 
linked, recorded using the format below:

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                         Month and year when
                      Reporting  threshold   Rate of compliance     Data years to be      most recent data     Percent of records       Can remaining
     Data files                (A)                with (A)         linked (19XX-19XX)     year will become        computerized           records be
                                                                                              available                             computerized?  (Y/N)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Crash
EMS
ED
Hospital
Other
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (2) The data elements chosen to identify persons and crashes and, 
for each, the missing data rate.
    (3) The data elements indicating type of injury, severity of 
injury, total charges, a payer source and, for each, the missing data 
rate.
    c. A brief description of the proposed sequence for linking the 
data files.
    d. A brief description of how staff from the various data owners 
will be cross-trained in the CODES linkage to compensate for potential 
future changes in organizational priorities and personnel.
    e. A brief description of the process to be used to ensure adequate 
documentation of the data files and linkage process.
    f. A brief description of how the linked data will be converted 
into information useful for the highway safety and injury control 
decision-making processes for the purpose of reducing death, injury, 
and costs resulting from motor vehicle crashes.
    Describe:
    (1) The different types of decision-making processes, currently 
being utilized in the state/area, that identify highway traffic safety 
and injury control objectives and prioritize prevention programs that 
have the most impact on reducing death, injury and direct medical costs 
associated with motor vehicle crashes; and
    (2) Why linked data are needed to make these decision-making 
processes more effective and how the data will be incorporated.
    g. A brief description of each member of the CODES Board of 
Directors and the proposed arrangements describing the management and 
use of the linked data.
    2. The application shall include an appendix. A large appendix is 
strongly discouraged. Materials not listed below should be included 
only if it is necessary to support information about data linkage, 
applications for linked data or institutionalization discussed in the 
application. Do not send copies of brochures, documents, etc., 
developed as the result of a collaborative effort in the state/area. 
The appendix should include the following:
    a. Letters of support from each proposed member of the CODES Board 
of Directors. A letter of support should reflect the signer's level of 
commitment to the CODES project and thus should not be a form letter.
    The letter of support should document:
    (1) Why linked data are important to the agency.
    (2) The priority assigned by the agency to obtain linked data 
compared to other responsibilities.
    (3) The agency's level of commitment in terms of the number of 
staff and the dollars or shared resources, which will be available to 
support and institutionalize CODES.
    (4) The agency's willingness to collaborate with other data owners 
to support shared ownership of the linked data.
    (5) The agency's permission to collaborate with NHTSA during the 
project and to release the linked data (or description of policies 
which would restrict transfer) to NHTSA at the end of the project.
    b. A brief description or letters of support should be included for 
the other stakeholders to be represented on the CODES Advisory Group. 
The letters of support should indicate the stakeholder's need for the 
linked data, and willingness to facilitate the linkage of state/area-
wide data or use of linked data for decision-making.
    c. A list of activities in chronological order and a time line to 
show the expected schedule of accomplishments and their target dates.
    d. Descriptions of the proposed project personnel as follows:
    (1) Project Director: Include a resume along with a description of 
the director's leadership capabilities to make the various stakeholders 
work together.
    (2) Key personnel proposed for the data linkage and applications of 
linked data, and other personnel considered critical to the successful 
accomplishment of this project: include a brief description of 
qualifications, employment status (permanent, temporary) in the 
organization, and respective organizational responsibilities. The 
proposed level of effort in performing the various activities should 
also be identified.
    e. A brief description of the applicant's organizational experience 
in performing similar or related efforts, and the priority that will be 
assigned to this project compared to the organization's other 
responsibilities.
    f. A brief description of any potential delays in implementing the 
project because of requirements for legislative approval before CODES 
funds can be expended.
    g. Data Use Agreement. A description of the existing State laws and 
regulations governing patient/provider confidentiality in the data 
files being linked that would restrict use of the data for linkage and/
or for transfer of the CODES linked data to NHTSA and conditions under 
which the linked data file may be used by NHTSA.

Application Review Process and Evaluation Factors

    Initially, all application packages will be reviewed to confirm 
that the applicant is an eligible recipient and to ensure that the 
application contains all of the items specified in the Application 
Content section of this announcement. Each complete application from an 
eligible recipient will then be evaluated by an Evaluation committee. 
The applications will be evaluated using the following criteria which 
are listed in descending order of importance:
    1. Understanding the intent of the program (30%). The applicant's

[[Page 30984]]

recognition of the importance of CODES to obtain medical and financial 
outcome data which are necessary for a comprehensive evaluation of the 
impact of highway safety and injury control countermeasures. The 
applicant's understanding of the importance of developing CODES as a 
meaningful and appropriate strategy for improving traffic records 
capabilities and ensuring the continuation of CODES after completion of 
this project.
    2. Technical approach for project completion (30%). The 
reasonableness and feasibility of the applicant's approach for 
successfully achieving the objectives of the project within the 
required time frame. The appropriateness and feasibility of the 
applicant's proposed plans for data linkage and applications for the 
linked data. Evidence that the applicant has the necessary 
authorization and support from data owners to access medical and non-
medical state/area-wide data, particularly total charges and 
information about type and severity of injury, which are not routinely 
available for highway safety analyses and the necessary authorization 
to data.
    3. Project personnel (20%). The adequacy of the proposed personnel 
to successfully perform the project study, including qualifications and 
experience (both general and project related), the various disciplines 
represented, and the relative level of effort proposed for the 
professional, technical and support staff.
    4. Organizational capabilities (20%). The adequacy of 
organizational resources and experience to successfully manage and 
perform the project, particularly to support the collaborative network 
and respond to the increasing demand for access to the linked data. The 
proposed coordination with and use of other organizational support and 
resources, including other sources of financial support. Depending upon 
the results of the evaluation process, NHTSA may choose to alter the 
number of awards. In addition, NHTSA may suggest revisions to 
applications as a condition of further consideration to ensure the most 
efficient and effective performance consistent with the objectives of 
the project. An organizational representative of the National 
Association of Governors' Highway Safety Representatives will be 
assisting in NHTSA's technical evaluation process.

Special Award Selection Factors

    After evaluating all applications received, in the event that 
insufficient funds are available to award to all meritorious 
applicants, NHTSA may consider the following special award factors in 
the award decision:
    1. Priority may be given to those applicants that have statewide 
data available for linkage.
    2. Priority may be given to applicants who have the highest 
probability of maintaining the collaborative network of data owners and 
users, of institutionalizing the linkage of the crash and medical 
outcome data on a routine basis, and of continuing to respond to data 
requests after the project is completed.
    3. Priority may be given to an applicant on the basis that the 
application fits a profile of providing NHTSA with a broad range of 
population densities (rural through metropolitan) with different 
highway safety needs.

Terms and Conditions of the Award

    1. Prior to award, each grantee must comply with the certification 
requirements of 49 CFR part 20, Department of Transportation New 
Restrictions on Lobbying, and 49 CFR part 29, Department of 
Transportation Government-wide Debarment and Suspension (Non-
procurement) and Government-wide Requirements for Drug Free Workplace 
(Grants). In addition, grantees must certify that data release 
agreements have been signed by the owners of the data files being 
linked to transfer the CODES linked database to NHTSA, according to 
NHTSA specifications.
    2. Reporting Requirements and Deliverables:
    a. Detailed Action Plan and Schedule. Within 30 days after the 
briefing meeting, the grantee shall deliver a detailed action plan and 
schedule for accomplishing the data linkage and applications of linked 
data for decision-making, showing any revisions to the approach 
proposed in the grantee's application. This detailed action plan will 
be subject to the technical direction and approval of NHTSA and will 
describe the following:
    (1) The personnel who will perform the tasks.
    (2) The time period for obtaining the different files required for 
linkage.
    (3) The milestones for completing the various phases of the 
probabilistic linkage and validation processes.
    (4) The milestones for proposed meeting schedules and actions by 
the Board of Directors and Advisory Group.
    (5) Date(s) for providing the linked data to NHTSA.
    (6) The milestones for implementing the applications.
    b. Quarterly Progress Report. During the performance, the grantee 
will provide letter-type written reports to the NHTSA COTR. These 
reports will compare what was proposed in the Plan of Action with 
actual accomplishments during the past quarter; what commitments have 
been generated; what follow-up and state-level support is expected; 
what problems have been experienced and what may be needed to overcome 
the problems; and what is specifically planned to be accomplished 
during the next quarter. These reports will be submitted seven days 
after the end of each quarter.
    c. Board of Directors and Advisory Group Meetings. Copies of the 
agenda and minutes for each Board of Directors and Advisory Group 
Meeting will be attached to the Progress Report submitted to NHTSA 
immediately following the meeting.
    d. Institutionalization Plan. The grantee shall deliver to NHTSA, 
by the end of the 15th month of funding, a long-range plans and 
schedule to institutionalize data linkage and the use of linked data 
for highway safety and injury control decision-making within the state.
    e. Project Report. The grantee shall deliver to NHTSA, at the end 
of the project, a final report that describes the results of the data 
linkage process, and the applications of the linked data. The report 
shall follow the content outline mandated by NHTSA and include the 
following:
    (1) A description of the state/area wide linked crash and injury 
data;
    (2) A description of the file preparation;
    (3) A description of the linkage, validation processes and results;
    (4) A description of the extent of the documentation and how the 
documentation will facilitate linkage in subsequent years;
    (5) A discussion of the limitations of the linked data and 
subsequent applications of these data;
    (6) A description of the applications of linked data implemented 
for decision-making and results of the decision-making;
    (7) A description of how the data linkage and use of linked data 
for decision-making has been institutionalized for decision-making;
    (8) A description of the documentation created to facilitate 
repeating of the linkage process and an estimate of how much time is 
needed to repeat the linkage in subsequent years;
    (9) A copy of the public-use formats that were successful for 
incorporating linked data into the decision-making processes for 
highway safety and injury control; and

[[Page 30985]]

    (10) A copy of the management reports prepared using the 
standardized format for the national CODES report.
    f. CODES Linked Database. The grantee shall deliver to NHTSA after 
linkage, at the date specified in the Action Plan, the CODES linked 
databases. NHTSA will use the data to help facilitate the development 
of data linkage capabilities at the state/area-wide level and to 
encourage use of the linked data for decision-making.
    The deliverables will include:
    (1) The database in an electronic media and format acceptable to 
NHTSA, including all persons, regardless of injury severity (none, 
fatal, non-fatal), involved in a reported motor vehicle crash for any 
two calendar years of available data since 1997, and including medical 
and financial outcome information for those who are linked.
    (2) A copy of the file structure for the linked data file.
    (3) Documentation of the definitions and file structure for each of 
the data elements contained in the linked data files.
    (4) An analysis of the quality of the linked data and a description 
of any data bias, which may exist, based on an analysis of the false 
positive and false negative linked records.
    3. During the effective performance period of Cooperative 
Agreements awarded as a result of this announcement, the agreement as 
applicable to the grantee shall be subject to the National Highway 
Traffic Safety Administration's General Provisions for Assistance 
Agreements.

H. Keith Brewer,
Acting Associate Administrator for Research and Development, National 
Highway Traffic Safety Administration.
[FR Doc. 01-14493 Filed 6-7-01; 8:45 am]
BILLING CODE 4910-12-U


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