[Federal Register Volume 60, Number 71 (Thursday, April 13, 1995)]
[Notices]
[Pages 18816-18844]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-8950]



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[[Page 18817]]


DEPARTMENT OF HEALTH AND HUMAN SERVICES

Administration on Aging
[Program Announcement No. AOA-95-1]


Fiscal Year 1995 Program Announcement; Availability of Funds and 
Request for Applications

AGENCY: Administration on Aging, HHS.

ACTION: Announcement of availability of funds and request for 
applications under the Administration on Aging's Discretionary Funds 
Program for research, demonstration, training, development, and related 
capacity-building activities.

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SUMMARY: The Administration on Aging (AoA) announces its Fiscal Year 
(FY) 1995 Discretionary Funds Program (DFP) of knowledge building, 
program innovation and development, information dissemination, 
training, technical assistance, and related capacity-building efforts. 
The FY 1995 DFP is responsive to the major strategic initiatives of the 
Assistant Secretary for Aging and to specific mandates of the Older 
Americans Act. Funding for AoA discretionary grants is authorized by 
Title IV of the Older Americans Act, Public Law 89-73, as amended.
    This program announcement consists of three parts. Part I provides 
background information, discusses the purpose of the AoA Discretionary 
Funds Program, and documents its statutory funding authority. Part II 
describes the programmatic priorities under which AoA is inviting 
applications to be considered for funding. Part III describes, in 
detail, the application process and provides guidance on how to prepare 
and submit an application.
    All of the forms necessary to submit an application are published 
as part of this announcement following Part III. No separate 
application kit is necessary for submitting an application. If you have 
a copy of this entire announcement, you have all the information and 
forms required to prepare and submit an application.
    Grants will be made under this announcement subject to the 
availability of funds for the support of the priority area project 
activities described herein.

DATES: The deadline date for the submission of applications under this 
announcement is June 12, 1995.

FOR FURTHER INFORMATION CONTACT: Department of Health and Human 
Services, Administration on Aging, Office of Program Development and 
Elder Rights, 330 Independence Avenue, S.W., Room 4278, Washington, DC 
20201, telephone (202) 619-0441.

SUPPLEMENTARY INFORMATION:

Part I Background

A. The Challenges of an Aging Society

    According to the National Center for Health Statistics, life 
expectancy at birth for Americans in 1991 rose to a record 75.5 years. 
The Census Bureau predicts that by the year 2020 the average life 
expectancy will be 82 years for women and 74.2 years for men. At the 
turn of the century, only 4 percent of the American population was 65 
and over. By 1990, it was 12 percent. Beginning in approximately 2010, 
the percentage is projected to increase rapidly to 20 percent by 2030 
and then to increase slowly to about 21% by 2050 and 22% by 2060. By 
the year 2030, there will be more people age 65 and older than young 
people under age 15 in the population.
    The baby boom generation, which will begin to reach retirement age 
in little more than a decade, now represents the largest age segment of 
the U.S. population, numbering approximately 75 million. The current 
older population, already noted for its heterogeneity, will be 
significantly more diverse with the aging of the baby boomers in the 
early decades of the 21st century. Minority populations are projected 
to represent 25% of the elderly in 2030, up from 13% in 1990. The great 
increase in the numbers and the diversity of the elderly, combined with 
dramatic changes in lifestyle (such as four-generation households and 
more women serving in both caregiving roles and the work force) are 
important factors to consider in planning for an aging society.
    If the Nation is to be well prepared for, rather than daunted by, 
the burgeoning numbers of older persons in the 21st century, and to be 
equally well equipped to take advantage of the opportunities arising 
from concomitant social and economic changes, then today we must grasp 
the basic implications of an aging society, and act on the basis of 
those realizations. Our Nation has many different policies and agencies 
that impact on what people may or may not do when they retire. Although 
the Department of Health and Human Services and the Social Security 
Administration provide the bulk of public financing for programs and 
benefits that directly or indirectly affect older persons, almost every 
Federal agency is involved in providing services to older persons 
including the Departments of Housing and Urban Development, 
Transportation, Justice, Agriculture, Labor, Defense, Energy, and 
Treasury. By creating the position of Assistant Secretary for Aging, 
the President and the Secretary of Health and Human Services have 
provided a focal point for aging policy, whereby the disparate program 
responsibilities of Federal government agencies can be linked into a 
more coherent vision of what is needed for an aging society.
B. Older Americans Act Responsibilities of the Assistant Secretary for 
Aging and the Administration on Aging

    The Older Americans Act of 1965, as amended, is designed to provide 
assistance in the development of new or improved programs to help older 
persons, through grants to the States and tribal organizations for 
community planning and services and for research, demonstration and 
training projects. Through the Act, the Congress has declared that it 
is the responsibility of the Federal government, the States, and Native 
American tribal organizations to assist older people as they endeavor 
to secure an adequate retirement income, the best possible physical or 
mental health services, suitable housing, long term care services, 
employment opportunities, and participation in a wide range of civic, 
cultural, educational and recreational activities.
    Title II of the Act declares, further, that it is the 
responsibility of the Assistant Secretary for Aging to serve as the 
effective and visible advocate for older individuals within the 
Department of Health and Human Services and with other departments, 
agencies, and instrumentalities of the Federal Government. Under Title 
II, the Assistant Secretary is charged with directly assisting the 
Secretary of Health and Human Services in all matters pertaining to 
problems of the aged and aging and with the responsibility to 
administer the formula and discretionary grant programs authorized by 
Congress under Titles III, IV, VI and VII of the Act.
1. The AoA Discretionary Funds Program
    The Discretionary Funds Program authorized by Title IV of the Older 
Americans Act constitutes the major research, demonstration, training, 
and development effort of the Administration on Aging. The Title IV 
mandate is aimed, generally, at building knowledge, developing 
innovative model programs, and training personnel for service in the 
field of aging, and matching these resources to the changing needs of 
older persons and their families in the coming decades. AoA's research, 
demonstrations, training and other discretionary projects are focused 
on:

[[Page 18818]]

    <bullet> Advancing our knowledge and understanding of current 
program and policy issues, such as community and in-home long term care 
service systems and programs, significant to the well-being of the 
older population;
    <bullet> Improving the effectiveness of Older Americans Act 
programs by testing new models, systems, and approaches for better 
providing and delivering services to older persons; and
    <bullet> Providing training, technical assistance, and information 
that will increase our ability to serve older Americans with skill, 
care, and compassion.
2. Coordination With Other Federal Agencies
    In accordance with Title II of the Older Americans Act, the 
Assistant Secretary for Aging and the Administration on Aging (AoA) 
function as focal points within the Federal government for aging-
related concerns. In that capacity, the Assistant Secretary advises the 
Secretary of Health and Human Services on matters affecting older 
Americans and provides consultation and information to units across the 
Federal government on the characteristics, circumstances, and needs of 
older persons. AoA has a strong commitment to working with other 
Federal agencies on policy and program development in issue areas of 
importance to older Americans. To carry out its national level program 
and advocacy responsibilities, AoA places major emphasis on developing 
collaborative relationships with other Federal agencies aimed at 
coordinating diverse and wide-ranging Federal program resources and 
linking those resources to the similarly diverse needs of older 
persons.
    Dating back two decades, AoA has worked hard to develop and 
implement a network of Federal Interagency Agreements to better serve 
older Americans, combining our resources with those of the Departments 
of Housing and Urban Development, Labor, and Education, the Farmers 
Home Administration, the Social Security Administration, and the 
Corporation for National and Community Service (formerly ACTION), as 
well as with other agencies within the Department of Health and Human 
Services, such as the Health Care Financing Administration, the 
Administration for Children and Families, and the Public Health 
Service, including the National Institute on Aging.
    Federal Interagency Agreements cover a spectrum of program 
efforts--in housing, long term care, elder abuse, etc. They represent a 
strategic coupling of AoA's resources to serve the nation's elderly, 
especially those at risk of losing their independence.
3. Dissemination of Title IV Project Results and Products
    In keeping with the provisions of the Older Americans Act, all 
projects funded under Title IV are required to undertake vigorous steps 
to disseminate the results and products of their projects to 
appropriate audiences involved in promoting the well-being of older 
persons. This should include energetic marketing of products and 
results. Projects are strongly encouraged to utilize appropriate 
promotional media campaigns and other dissemination strategies in order 
to ensure that their outcomes receive the widest possible attention. 
Such campaigns should seek to educate consumers, providers (including 
the Aging Network), the private sector, and policy sector about their 
results and to promote use of their products.
    As described below in Part III, Section I.2, the most effective 
dissemination begins at the moment a project is conceptualized and 
includes the involvement of potential user audiences throughout the 
project, particularly in the design of products. As part of their 
dissemination plan, applicants are also encouraged to consider the 
development, as appropriate, of brief products suitable for widespread 
dissemination to older persons, their families and other caregivers, 
and practitioners who serve older persons. Advice on ways to maximize 
the utilization of a proposed project may be obtained by contacting 
Saadia Greenberg at the AoA Office of Dissemination and Utilization at 
(202) 619-0441. Applicants may also be interested in obtaining a 
publication entitled, Dissemination by Design, which may be requested 
by calling the above number.

C. Focus of the FY 1995 Discretionary Funds Program Announcement

    Through this Title IV Program Announcement, the Assistant Secretary 
for Aging intends to focus Title IV Discretionary Funds support on 
AoA's strategic initiatives for (1) building and strengthening systems 
of home and community based long term care and (2) better understanding 
of minority aging issues as well as the challenges of a much more 
diverse aging society in the 21st century. The second major area of 
emphasis in this Title IV Discretionary Funds Program Announcement 
derives from several congressional mandates keyed to provisions of the 
Older Americans Act. These mandates concentrate discretionary funding 
resources on making a number of aging programs more effective, 
specifically a national legal assistance support system and legal 
hotlines to serve older Americans, pension rights information and 
counseling, and the utilization of older volunteers in 
multigenerational family program settings.

D. Technical Assistance for Prospective Applicants

    Either the central or the regional offices of the Administration on 
Aging are available to provide guidance and technical assistance to 
prospective applicants and to respond to questions of a general nature. 
Questions regarding the programmatic or technical aspects of any of the 
several priority areas should be directed to the central office in 
Washington, D.C. The persons to contact are listed below:

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                City                        AoA Contact Person(s)       
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Washington, D.C....................  Alfred Duncker/Saadia Greenberg,   
                                      Albert Byrd, (202) 619-0441.      
Boston, Massachusetts..............  Thomas Hooker, (617) 565-1158.     
New York, New York.................  Judith Rackmill, (212) 264-2976.   
Philadelphia, Pennsylvania.........  Paul E. Ertel, Jr., (215) 596-6891.
Atlanta, Georgia...................  Franklin Nicholson, (404) 331-5900.
Chicago, Illinois..................  Marion Mengert, (312) 353-3141.    
Dallas, Texas......................  John Diaz, (214) 767-2971.         
Kansas City, Missouri..............  Larry Brewster, (816) 374-6015.    
Denver, Colorado...................  Percy Devine, (303) 844-2951.      
San Francisco, California..........  Frank Cardenas, (415) 556-6003.    
Seattle, Washington................  Chisato Kawabori, (206) 615-2298.  
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E. Statutory Authority

    The statutory authority for awards made under the AoA Discretionary 
Funds Program is contained in Title II and Title IV of the Older 
Americans Act, (42 U.S.C. 3001 et seq.), as amended by the Older 
American Act Amendments of 1992, Public Law 102-375, September 30, 
1992.

F. Public Comments on this Announcement

    AoA invites comments on this Discretionary Funds Program 
Announcement. In addition, because the field of aging is characterized 
by rapidly unfolding events, new data, findings and interpretations, 
and a broad range of issues important to older people, the 

[[Page 18819]]
Administration on Aging is considering the publication of a FY 1996 
Discretionary Funds Program (DFP) Announcement as early as October, 
1995. Among the general areas under consideration for support in the FY 
1996 DFP, Title IV funding levels permitting, are: (1) Gerontological 
education and training; (2) prevention of crime and violence against 
the elderly; (3) home and community based long term care; (4) the 
national and international aspects of contemporary and future minority 
aging issues in an increasingly aging society, and: (5) follow-up to 
the salient issues raised by the 1995 White House Conference on Aging. 
We invite comments on the content and timing of the FY 1996 DFP. Please 
direct your comments to: Administration on Aging, Office of Program 
Development and Elder Rights, 330 Independence Avenue, S.W., 
Washington, D.C. 20201.

Part II--Priority Areas

    Part II of the Discretionary Funds Program (DFP) Announcement sets 
forth the priority areas under which applications will be considered 
for funding by the Administration on Aging. Part II also provides 
general guidelines concerning eligible applicants as well as project 
costs and duration. More specific instructions regarding eligibility, 
the Federal share of project costs, project duration, and deadline 
dates for the submission of applications may be found under the 
individual priority areas.
    Applications must be directly and explicitly responsive to the 
expressed concerns of the particular priority area under which they are 
submitted. AoA reserves the option of screening out and returning any 
application which manifestly bears no relation to the priority area 
under which it has been submitted.

A. Eligible Applicants

    As a general rule, any public or nonprofit agency, organization, or 
institution is eligible to apply under this Discretionary Funds Program 
Announcement. Where there are exceptions to this rule, they are 
specified in the appropriate priority area description. The 
Administration on Aging will not consider grant applications from 
individuals because they are ineligible to receive a grant award under 
the provisions of Title IV of the Older Americans Act. For-profit 
organizations are not eligible applicants, but may participate as 
subgrantees or subcontractors to eligible public or nonprofit agencies.
    Any nonprofit organization applying under this program announcement 
that is not now a DHHS grantee should include, with its application, 
Internal Revenue Service or other legally recognized documentation of 
its nonprofit status. A nonprofit applicant cannot be funded without 
proof of its status.

B. Project Costs and Duration

    Under each priority area, AoA has estimated the number of projects 
to be funded and offered guidelines regarding both the duration of 
those projects and the anticipated Federal share of project costs. 
Because applications are reviewed on a competitive basis within 
priority areas, they are expected to be comparable in terms of cost and 
duration. Therefore, applicants are strongly urged to adhere to those 
guidelines.

C. List of Priority Areas

(1) Neighborhood Senior Care Program
(2) Enhanced Capacity and Management of Home and Community Based Long 
Term Care Service Systems
(3) Research on Minority Elders in a Diverse Aging Society
(4) National Legal Assistance and Elder Rights Projects
(5) Statewide Legal Hotlines for Older Americans
(6) Pension Information and Counseling Program
(7) National Volunteer Senior Aides/Family Friends Projects
(1) Neighborhood Senior Care Program
    Pursuant to Section 429B of the Older American Act, this priority 
area is designed to solicit proposals that demonstrate innovative 
neighborhood senior care programs which encourage professionals to 
provide volunteer services to local residents who are older individuals 
and who might otherwise have to be admitted to nursing homes and 
hospitals.
    The Neighborhood Senior Care Program is intended to foster 
professionally oriented, neighborhood-based volunteer programs for the 
vulnerable elderly by organizing and providing health, social, and 
similar services in coordination with other community agencies and 
organizations. Volunteer services may include peer counseling, chore 
services, assistance with mail and taxes, transportation, 
socialization, and health and social services. Health and social 
services may include skilled nursing care, personal care, social work 
services, homemaker services, health and nutrition education, health 
screening, home health aide services, and specialized therapies.
    Applicants shall:
    (A) Describe the activities for which assistance is sought and the 
methodology for carrying out activities;
    (B) Describe the neighborhood in which services are to be provided 
and a plan for integrating services within the neighborhood;
    (C) Provide assurances that nurses, social workers, community 
volunteers providing volunteer services, and an outreach coordinator 
involved with the project, live in the neighborhood. If this is not 
possible, the applicant shall state the reasons such assurances cannot 
be provided and assure that the nurses, social workers, community 
volunteers and outreach coordinator who are not neighborhood residents 
will be assigned repeatedly to the neighborhood;
    (D) Provide for a neighborhood advisory board, at least two thirds 
of which shall be made up of residents from the community to be served;
    (E) Describe how the proposal will be implemented in cooperation 
with appropriate local service providers, community programs for the 
elderly, and Area and State Agencies on Aging.
    (F) Describe how the program will become self sustaining by the end 
of the Federal funding period.
    (G) Provide for an evaluation of the activities and outcomes of the 
proposed program.
    Applicants are encouraged to consider including in their budget a 
technical assistance component, as needed, whereby they would be 
provided state-of-the-art information on how to best implement an 
effective and innovative neighborhood program, and on how to sustain 
the program after Federal funding is completed.
    The Neighborhood Senior Care Program was modeled in part on the 
Living at Home/Block Nurse Program. Information about the program is 
available by contacting the Living at Home/Block Nurse Program, Ivy 
League Place--Suite 322, 475 Cleveland Avenue North, St. Paul, MN 
55104-5101 (612-649-0315).
    Preference in awarding funds will be given to applicants who are 
experienced in operating community programs and meeting the independent 
living needs of older individuals and who propose new model programs or 
innovative improvements in existing models. Applicants are advised that 
they are competing under a national demonstration program authorized by 
Title IV of the Older American Act. Therefore, applications will be 
screened by AoA to assure that they are not local service projects, but 
rather are responsive to issues of national significance, such as the 
ability of the 

[[Page 18820]]
elderly to remain independent in their own homes and communities, and 
will result in findings, reports, and products with national 
implications such as the effective use of neighborhood resources to 
promote the independence of older persons.
    AoA intends to make approximately 10-13 awards with a Federal share 
of approximately $100,000-$120,000 for a 17 month project period.
(2) Enhanced Capacity and Management of Home and Community Based Long 
Term Care Service Systems
    Under this priority area, AoA intends to award, through a 
Cooperative Agreement, one project grant for the purpose of providing 
expert technical assistance and training to all States aimed at 
strengthening the capacity of State and Area Agencies on Aging in 
managing and improving their home and community based long term care 
service systems. Although the proposed project has general 
applicability to the critical leadership role of the Aging Network in 
fostering the growth of home and community based long term care, it is 
especially timely now in light of the enhanced leadership role of AoA 
in promoting home and community-based services, and other major 
legislative changes which may impact on the program and fiscal 
underpinnings of State long-term care programs.
    The Administration is seeking additional Title IV program resources 
to promote home and community-based services which would be directed 
toward meeting the major strategic initiative of the Assistant 
Secretary for Aging aimed at assisting all States and their communities 
in developing better home and community-based long term care service 
systems for older persons and persons with disabilities. The focus is 
on long-term care because it is a critical issue facing the nation. The 
focus is on home and community-based long term care services because 
they are, for the overwhelming majority of older and disabled persons 
and their families, the much more preferred alternative to 
institutional care. The focus is on States and their communities 
because they have been, are now, and will be the testing and proving 
ground in this nation for building an efficient and cost-effective 
infrastructure of home and community based services that responds to 
the long term care needs of their citizens.
    The proposed Title IV increase is a modest but very much needed 
down payment toward building our country's future system of home and 
community-based care. The States are now in varying stages of 
developing home and community-based long term care service systems. The 
technical assistance, consultation, and training project to be funded 
under this priority area is intended to provide to the States and their 
communities the requisite program information, knowledge base, 
consultation, staff training guides, and other program resources to 
capitalize on the core funding provided by Title IV and to demonstrate 
to critical audiences of policy makers and taxpayers alike that home 
and community-based care is a compelling alternative to institutional 
care.
    The manner in which funds are provided to States and the way in 
which programs are operated is being debated. There are divergent 
viewpoints about the appropriate federal and state role in funding 
long-term care services. Based on which of these approaches is 
implemented, States and local aging entities will need assistance in 
modifying their systems of care to ensure that they remain responsive 
to individual consumers and are run in an efficient, effective and 
accountable manner. Based on the approach, decisions will need to be 
made about consolidation of delivery vehicles in light of different 
consumer preferences or on how to reach consensus on performance 
outcomes with federal, state and local representatives having different 
agendas.
    Because of the rapidly changing environment, it is critical that a 
mechanism be developed for communication among the States, peer 
consultation, technical assistance, training, and joint ventures for 
planning and systems design.
    The successful applicant under this priority area will be 
responsible for providing technical assistance and consultation to all 
States that encompasses key components of the management of effective 
home and community based long term care service systems. The applicant 
must demonstrate the ability to respond rapidly to the specific needs 
of States, and must be mobile and versatile enough to address the 
diversity of issues facing States in the enhancement of their home and 
community-based service delivery systems. In this regard, the applicant 
should serve as an institute without walls, responding wherever 
assistance is needed.
    The applicant must be able to:

(1) Provide opportunities for communication between States, 
consultation among States, and consultation with experts, training and 
technical assistance;
(2) Address critical issues identified by States;
(3) Facilitate joint ventures between States in planning and systems 
design; and
(4) Develop a report on issues identified by States and mechanisms and 
solutions developed by the States.

    The key components of managing an effective systems which the 
applicant must be capable of addressing include:
    <bullet> Developing, designing, implementing or enhancing data 
collection, analysis and reporting systems for programs to provide 
reliable information about the services delivered and the people 
served. Technical assistance and training will be aimed at enhancing 
State capacity to target and track the services provided and to report 
on program performance and effectiveness, proving that home and 
community based care is a cost-effective means of serving those at risk 
of being institutionalized.
    <bullet> Providing training and consultation programs that draw 
upon our already extensive base of experience and knowledge in building 
home and community based long term care systems, such training and 
consultation programs to use proven best practices an models, well 
tested guides and manuals, as well as other useful products, for the 
education and training of State staff, local staff and providers.
    <bullet> Ensuring better coordination of programs and agencies 
within their States and communities through interagency agreements, 
task forces, policy councils and work groups, with an emphasis on 
leveraging and managing other funds (Social Services Block Grant, 
Medicaid, and State General Revenue) which address the home and 
community based long-term care needs of older people and disabled 
individuals of all ages.
    AoA anticipates that the Federal share of project costs for this 
technical assistance project will be approximately $250,000 per year 
for a project period of up to three years.
(3) Research on Minority Elders in a Diverse Aging Society
    Although research to date has made very important contributions to 
bettering the lives of older Americans, too little attention has been 
paid to some key subgroups among the older population. Research on 
racial and ethnic minorities especially has been in short supply. 
Without solid research that advances our understanding of minority 
elders, we are missing that essential knowledge base from which to 
mount policy and program efforts that are both well informed and well 
designed to make fundamental changes, not the least of which is to 
empower 

[[Page 18821]]
minority elders to help themselves. Particularly needed are studies 
applicable to the economic, social, and health status of minority 
elders, research that examines and analyzes their impact on, and role 
in, the increasingly diverse aging society of the 21st century.
    Among the applied and policy research topics encompassed by this 
priority area are the following:
    <bullet> In the context of the future aging of the baby boom 
generation, we need: (1) To develop accurate forecasts of the changing 
size and composition of racial and ethnic minority populations and (2) 
to better understand and respond to the impact of growing proportions 
of racial and ethnic minorities among this diverse aging cohort.
    <bullet> In the context of immigration and aging: (1) What are the 
effects of the new wave of immigration and of current immigration 
policy on an aging society? (2) What are the demographic, economic, 
health, and related implications of the recent surge in the number of 
older immigrants (aged 50 and over) which is expected to continue into 
the next century? and (3) What opportunities and challenges are 
presented by this infusion of greater diversity into the aging society 
of the 21st century?
    <bullet> In the context of family caregiving and support among 
minority older population groups, we need to better understand the 
factors that sustain and strengthen the family's role as a support 
network within and across generations, the changing patterns of family 
support within and across generations, and the consequences these 
changes have for the long term care of older family members. Among the 
questions to be studied are: (1) What will be the effects of the 
independent life styles of current and future generations on 
traditional norms of obligation and duty to older family members? (2) 
What models of long term care services are appropriate for minority 
older persons when the family can no longer manage the care at home? 
and (3) How can aging services programs win greater acceptability in 
minority communities as a suitable complement or, when necessary, 
alternative to family caregiving?
    <bullet> In the context of international transfer of knowledge, we 
will be able to better serve racial and ethnic minority elders if we 
have a better understanding of their cultures of origin. Among the 
questions to be studied: (1) What are the cultural norms, attitudes, 
and practices identified with aging, particularly in those countries 
with special relevance to the U.S., such as Central and South America 
and the Pacific Rim countries? (2) How do the social, economic, and 
health statuses of the elderly in these other nations influence aging 
policies, programs, and services? With what implications for the 
development of a blueprint for responding to the challenges of an aging 
society in the U.S.? and (3) More specifically, in what areas can we 
best apply a fuller understanding of the social services, programs, 
delivery systems and innovations in other countries that would be 
beneficial to U.S. programs serving racial and ethnic minority elderly? 
Crosscultural comparative studies examining issues related to the 
elderly both in the country of origin and in the U.S. are among the 
acceptable approaches to the questions raised above. Federal funds may 
be used for international travel.
    Applications for funding under this priority area may be either 
general in scope or focus on individual racial and ethnic groups, 
including African Americans, Hispanics, Native Americans, and Asian 
Americans and Pacific Islanders. AoA intends to make approximately 6-8 
awards with a Federal share of approximately $100,000 per year for a 
project period of up to two years.
(4) National Legal Assistance and Elder Rights Projects
    The Administration on Aging (AoA) expects to make discretionary 
project awards aimed at continued support of a national system of legal 
assistance support activities to State and Area Agencies on Aging which 
will assist them in developing an elder rights system and providing, 
developing and supporting legal assistance for older people. In the 
1992 amendments to the Older Americans Act, legal assistance was made 
an integral part of the new Title VII, Vulnerable Elder Rights 
Protection program. Therefore, AoA is expanding the role of the 
national system to encompass elder rights systems development.
    AoA now funds national resource centers to develop knowledge and 
apply research findings, provide training and technical assistance, 
disseminate information, and conduct related activities in support of 
the Long-Term Care Ombudsman and Elder Abuse Prevention (Chapters 2 and 
3 of Title VII). Therefore, these two programs are outside the focus of 
this priority area.
    Awards under this priority area are made under the authority of 
Title IV, Section 424 of the Older Americans Act and are aimed at 
building and strengthening the national system of legal assistance in 
support of the vulnerable elder rights protection program activities of 
State and Area Agencies on Aging. Proposed projects should have two 
principal objectives. First, enhance the leadership capacity of State 
and Area Agencies on Aging in accomplishing the mandate of Title VII 
through such efforts as:
    <bullet> Assisting in the development of a State-wide elder rights 
advocacy system, involving a range of agencies involved in elder rights 
activities;
    <bullet> Assisting in the development of a responsive State-wide 
systems of legal assistance, including support for AAA supported legal 
assistance projects;
    <bullet> Assisting Area Agencies on Aging in integrating legal 
assistance programs for older people into existing community based 
service delivery systems;
    <bullet> Assisting State Agencies on Aging to develop methods to 
ensure that legal counsel is available to all Long-Term Care Ombudsmen.
    Second, improve the quality and accessibility of the legal 
assistance provided to older people through such efforts as:
    <bullet> Providing training to State and Area Agencies on Aging, 
legal assistance providers, elder rights advocates, and other staff 
providing assistance to older people;
    <bullet> Providing training to staff responsible for benefits, 
insurance, and pension counselling to vulnerable older people; and
    <bullet> Providing substantive assistance, including case 
consultation and advice on systems development and implementation, to 
those agencies and staff that provide legal assistance to older people.
    Title IV, Section 424 of the Older Americans Act specifies four 
component activities of a national legal assistance support system. 
Each activity is a valuable resource in developing systems of legal 
assistance for older people, and in improving the quality and 
accessibility of such services, as part of the overall system of 
services for older people. AoA expects that the projects funded under 
this priority area will encompass at least these four components:
    (1) Case consultations. Appropriate case consultation will be made 
available to those legal assistance programs funded under Title III of 
the Older Americans Act. Building on the results of case consultations, 
grantees should provide such follow-up activities as: Documenting the 
resolution of those cases and issues which have precedent-setting 
implications; and making that documentation and analysis available to 
providers of legal assistance to older 

[[Page 18822]]
people and State Agencies on Aging nationwide;
    (2) Training. AoA expects the applicant to propose a strategy for 
meeting the training and technical assistance needs of legal assistance 
providers, benefits counselors, elder rights advocates, and other 
appropriate persons, as identified by State Agencies on Aging. That 
strategy should describe the training and technical assistance to be 
provided; the intended target audience; the materials and curricula 
which will be utilized and made available to State agencies for the 
replication of such training; and any follow-up activities to assist 
those who have been trained;
    (3) Provision of substantive legal advice and assistance. AoA 
expects the applicant to provide substantive information in areas where 
legal assistance can assist older people to maintain their 
independence. The applicant should analyze the substantive issue area, 
explain its importance to older people, and identify a suitable 
reporting format (policy paper, newsletter, etc.) and dissemination 
plan. The substantive areas could include, but are not limited to, such 
important areas as: income; health care; long-term care; nutrition; 
housing; utilities; protective services; abuse and neglect; 
guardianship; age discrimination; pension and health benefits; 
insurance; consumer protection; surrogate decisionmaking; public 
benefits; and dispute resolution.
    (4) Assistance in the design, implementation, and administration of 
legal assistance delivery and elder rights advocacy systems to local 
providers of legal assistance for older individuals. The applicant 
should show how it will assist State and Area Agencies on Aging to work 
toward the development of a system for providing legal assistance and 
elder rights protection to older persons throughout the State. Areas 
for assistance could include the identification of alternative 
approaches to meeting legal needs and the design of and assistance in 
implementing strategies for supporting Area Agencies on Aging in their 
work with local providers. The applicant is expected to show how 
regular ongoing assistance and consultation in systems issues will be 
provided in such areas as: targeting; access; evaluation; selection of 
providers; priority setting; use of pro bono resources; use of 
volunteers; issues advocacy; and relationships with other parts of the 
services system.
    For each of the activities it proposes to undertake, the applicant 
should:
    <bullet> Present the current state of knowledge and experience and 
document what it perceives to be serious gaps in information and 
practice;
    <bullet> Specify the nature and scope of efforts needed to close 
those gaps, and how those efforts will advance the rights of older 
people;
    <bullet> Indicate its plan for achieving national coverage of the 
assistance to be provided; and
    <bullet> Provide detailed descriptions of specific products or 
outcomes proposed for development or modification.
    As provided by Title IV, Section 424(c), eligibility is limited to 
national nonprofit legal assistance organizations experienced in 
providing support, on a nationwide basis, to legal assistance programs. 
AoA expects to fund approximately 5-7 projects under this priority 
area. The Federal share of project costs is expected to range from 
$75,000 to $150,000 per year depending upon the scope of the component 
elements of the national legal assistance support system proposed by an 
approved applicant. Projects may not exceed three years.
(5) Statewide Legal Hotlines for Older Americans
    Consistent with Section 424(a)(2) of the Older Americans Act, which 
provides for the support of ``demonstration projects to expand or 
improve the delivery of legal assistance to older individuals with 
social or economic needs,'' AoA is inviting applications from public 
and/or non-profit organizations currently engaged in the provision of 
legal services to the elderly, to continue existing Statewide Legal 
Hotlines for older persons or to develop and establish new Hotlines.
    With AoA assistance, Statewide Legal Hotlines have been established 
in Arizona, northern California, the District of Columbia, Florida, 
Michigan, Maine, New Mexico, Ohio, Pennsylvania, Puerto Rico and Texas. 
An evaluation of their operations showed that Legal Hotlines and 
corresponding referral services resolved 81% of callers' legal 
questions and 50% of their legal problems. The continuation of existing 
Hotlines and expansion into other States would make legal assistance 
available to many more older people. In that regard, Legal Hotlines are 
a valuable resource for implementation of the vulnerable elder rights 
protection programs set forth in Title VII of the Older Americans Act.
    To maximize discretionary program resources and to promote a level 
playing field of competition, distinctions are made by AoA under this 
priority area between (A) applicant organizations with existing Legal 
Hotlines and (B) those organizations which aspire to develop new Legal 
Hotlines.

Sub-Priority Area 5A: Program Improvement Grants for Existing Legal 
Hotlines

    In order for existing Legal Hotlines to compete for program 
improvement grants, they must indicate in their application a 
willingness and intent to focus future efforts of the Hotline on those 
crucial and urgent concerns facing the at-risk elderly including, but 
not limited to, income, health care, long-term care, nutrition, 
housing, utilities, protective services, abuse and neglect, 
guardianship, age discrimination, pension and health benefits, 
insurance, consumer protection, surrogate decisionmaking, public 
benefits and dispute resolution.
    To better evaluate the progress and the potential for improvement 
of existing Legal Hotlines competing under this sub-priority area, the 
application should contain the following information for each of the 
past three years:
    <bullet> Number of households/persons served in comparison to the 
number of older persons in the State and the number of low income older 
persons in the State;
    <bullet> Number of cases handled; number of calls handled;
    <bullet> Average number of 1) calls and 2) cases that a Hotline 
attorney handles in an hour;
    <bullet> Total cost per year of operating the Hotline over the past 
three years;
    <bullet> Average cost per call; average call per case;
    <bullet> If available, evaluative data on the Hotline's 
performance, the source of which is either the elderly clients 
themselves, or an independent third party, or both.
    AoA expects to make 2-4 program improvement awards to existing 
Legal Hotlines, with a Federal share of approximately $75,000-90,000 
per year for an expected project period of approximately 3 years.

Sub-Priority Area 5B: Program Development Grants for New Legal 
Hotlines

    Applications submitted under this priority area to operate new 
Legal Hotlines should be modeled after previously funded AoA Legal 
Hotlines. It is the applicant's responsibility to review and adapt the 
program experience of the District of Columbia, Puerto Rico and States 
with existing Hotlines to the resources, needs, and realities of their 
State. Applicants should recognize and reflect in their project plan 
that considerable time is 

[[Page 18823]]
needed to cement the range of endorsements and agreements, and to 
develop other resources, essential to both the developmental and the 
operational phases of the Legal Hotlines project. The applicant is 
expected to submit a fully developed Legal Hotlines program 
application, including solid commitments from the appropriate 
participating organizations and individuals.
    Based upon the experience to date, certain elements are essential 
to the successful establishment and effective operation of a Statewide 
Legal Hotline to serve older persons.
    The applicant must address, at a minimum, these elements:

I. Staffing
    A. A full time managing attorney;
    B. The equivalent of two additional full-time attorneys to take 
calls and respond directly to older persons in need of assistance; and
    C. Staff persons to answer the phones when the attorneys are busy.
II. Telephones
    A. Two incoming toll-free lines, and one outgoing WATTS line.
    B. Experience has shown that the total telephone budget will be a 
minimum of $20,000-$25,000 per year after the Legal Hotline is 
operational.
III. Computer Equipment
    A. An allocation of approximately $20,000 for computer equipment.
    B. Legal Hotline software (included in the above mentioned $20,000) 
can be researched through the American Association of Retired Persons/
Legal Counsel for the Elderly (AARP/LCE).
IV. Reduced Attorneys Fees
    A commitment to recruit a statewide panel of attorneys in private 
practice willing to accept significantly reduced hourly rates as well 
as fee caps on common services such as $45-$50 for a simple will.
V. Training Program
    Develop and provide a training program for the Legal Hotlines 
attorneys and modify reference materials used in other Legal Hotlines 
to conform with your State law.

    In approving applications for funding, the Assistant Secretary for 
Aging will pay particular attention to those which focus on providing 
services (1) to ethnic and/or racial minority older persons and (2) to 
those elderly in greatest economic and social need.
    Applications meeting the following criteria will receive 
preference:

A. Applications from States which rank in the top third of all States 
in either (1) population age 60 and above, or (2) percentage of elderly 
population whose income is less than 125% of the poverty line, or (3) 
percentage of elderly population comprised of minority elderly 
(African-Americans, Hispanics, Asians/Pacific Islanders, and Native 
Americans).
B. Applications that show plans for special outreach activities to low 
income and minority older populations;
C. Applications which demonstrate the ability to deliver services to 
the non-English speaking population;
D. Applications which demonstrate that Title III/VII and Legal Services 
Corporation funded legal services programs within the State are willing 
to coordinate their services with the proposed Legal Hotline;
E. Applications that offer the largest grantee cost sharing, and thus 
request the fewest AoA dollars. (The minimum grantee share of project 
costs is 25%);
F. Applications which offer a practical plan for funding the Legal 
Hotline once the AoA grant ends.

    Endorsements: Applications should include the endorsement of the 
State Agency on Aging and the State Bar Association, the voluntary and/
or mandatory Bar, whichever is appropriate. Special justification must 
be provided by the applicant if these endorsements are not included in 
the application.
    Geographic Coverage: It is highly unlikely that a single Legal 
Hotline would be adequate in responding to the unique size and 
diversity of the older population in New York and California. With the 
exception of these two States, Legal Hotlines will be expected to serve 
the entire State. AoA will consider applications which serve either (1) 
New York City, Nassau, and Suffolk Counties or (2) the rest of New York 
State, but not both areas. Because AoA is now funding a Legal Hotline 
which serves northern California, only application(s) to serve the 
elderly of southern California will be considered from that State.
    AoA expects to make 2-4 program development awards for new Legal 
Hotlines, with a Federal share of approximately $100,000-120,000 per 
year for an expected project period of approximately 3 years.
(6) Pension Information and Counseling Program
    Retirement means many things to different people. For most people, 
it means an end to the regular workaday world of full time employment 
and a switch to part time work or leisure time and volunteer 
activities. For most people, retirement also means a change in the 
amount and the source of their income.
    Depending on a person's age at the time of retirement, he or she 
will be eligible for social security. But social security does not and 
was not intended to provide all the income that a person needs in 
retirement. Most government employees and many people in private 
industry are covered by some sort of pension plan to assist them in 
retirement. Employee pensions account for almost 20% of the income of 
older persons. Overall, two out of every five older household units 
receive income from public and/or private pension benefits other than 
Social Security.
    The adequacy, availability, coverage, and reliability of pensions 
remain as issues, however. In particular, problems arise when people 
move from company to company during their careers, when companies go 
out of business, or when companies are bought out by other companies 
and their pension plans take on a different form. Compounding this 
problem are the myriad of different entitlements and restrictions that 
are built into different pension plans, occasionally rendering them 
almost unintelligible to anyone but highly trained legal experts.
    Recognizing the large unmet need to provide older Americans with 
information and counseling in the area of pension benefits, Congress 
provided in Section 429J of the Older Americans Act for the funding of 
Pension Rights Demonstration Projects. In response to that mandate, the 
Administration on Aging (AoA) funded seven demonstration projects in 
1993 as well as a training and technical assistance project which has 
provided technical support to the pension information and counseling 
effort.
    To build on that effort, AoA intends, under priority area 6A, to 
fund demonstration projects at the State or local level that provide 
outreach, information, counseling, referral and assistance in the area 
of pension benefits. Preference in awarding grants will be given to 
applicants that propose new model programs for providing pension rights 
information and counseling or innovative improvements in existing 
models. These proposed projects shall:
    <bullet> Provide counseling and assistance to individuals needing 
information that may assist them in establishing rights to, obtaining 
and filing claims or complaints relative to pension and other 
retirement benefits;
    <bullet> Provide information on sources of pension and other 
retirement benefits;

[[Page 18824]]

    <bullet> Make referrals to legal and other advocacy programs;
    <bullet> Establish a system of referrals to Federal, State, and 
local Departments or agencies relative to pensions and other retirement 
benefits; and
    <bullet> Establish outreach programs to provide information, 
counseling, assistance and referral regarding pension and other 
retirement benefits with particular emphasis on outreach to women, 
minorities and low income retirees.
    Projects should consider the possibility of locating at senior 
centers or other places where seniors tend to congregate. They should 
also consider training volunteers to work with claimants on many of the 
details that do not require legal interventions. This has proven to be 
a useful vehicle for several of the pension information and counseling 
projects funded by AoA in 1993. Other operational factors that can be 
gleaned from the experience of this group of pension projects, and 
which applicants may wish to build upon, include the following:
    <bullet> The process of pension counseling is a far more difficult 
process than health benefits counseling and requires volunteers who are 
able to cope with complexity;
    <bullet> Applicants should be established, known presences in their 
respective communities, and should be led by experienced and 
enthusiastic directors;
    <bullet> Imaginative and innovative use of the media for outreach 
is often a significant factor in a successful project;
    <bullet> Successful projects develop partnerships with the private 
sector (e.g., lawyers and actuaries) and community agencies, as well as 
with local offices of Federal agencies.
    <bullet> Finally, any of a variety of structures can be used to 
develop a successful project; e.g., the staff may or may not include 
lawyers or paralegals or volunteers or stipend volunteers.
    Applicant eligibility for pension information and counseling 
demonstration project awards is limited by statute (Section 429J of the 
1992 Older Americans Act Amendments) to State and Area Agencies on 
Aging and nonprofit organizations with proven experience in the 
counseling of older persons regarding retirement benefits and pension 
rights. AoA intends to fund approximately 5-7 projects under priority 
area 6A with a Federal share of approximately $60,000-$75,000 per year 
and an expected project period of 2 years. Under exceptional 
circumstances, the applicant may choose to submit a three year project 
application, provided that strong justification is made for the 
additional year of activities.
    Under priority area 6B, AoA intends to fund one technical 
assistance project that will strengthen the role of the demonstration 
projects, State and Area Agencies on Aging and legal services 
providers, both public and private, in providing pension assistance and 
encouraging coordination among these groups. This project will provide 
technical assistance to the demonstration projects and to legal 
services projects that seek to develop programs on pension benefits 
counseling. The project will (1) develop a cadre of trained legal 
experts who are willing to work with local personnel and claimants who 
need to access the private pension sector and (2) provide training for 
professional and volunteer personnel who will work with older Americans 
at the State and local level in assisting them to understand and better 
access their pension rights and options.
    Applicants for this grant must demonstrate a strong knowledge base 
and a track record of providing national information, counseling, and 
advocacy in matters related to pension and other retirement benefits. 
On the basis of its strong knowledge base and its assessment of the 
progress of the demonstration projects, the grantee will be expected to 
analyze the implications of the demonstration projects in the broader 
context of tax policy, pension reform, and retirement planning, and to 
offer recommendations for future program initiatives related to 
pensions and income security for older Americans.
    AoA intends to support this project at a Federal share of 
approximately $150,000 a year for a project period of two years.
(7) Volunteer Senior Aides for Families With Disabled or Chronically 
Ill Children
    In 1991, AoA began implementation of the Volunteer Senior Aides 
(VSA) Program (based on the Family Friends model) pursuant to the 
legislative mandate of Section 10404 of the 1989 Omnibus Budget 
Reconciliation Act (OBRA). Section 10404 authorized this program for 
community-based demonstrations to determine to what extent volunteer 
senior aides, by providing basic medical assistance and support to 
disabled/chronically ill children and their families, can reduce the 
cost of care for such children. (The prototype for these OBRA 
provisions was NCOA's Family Friends program.)
    In 1991 AoA funded six VSA demonstration sites. Upon completion of 
their three year project periods, AoA awarded six more grants to six 
other organizations for new VSA demonstrations.
    Because of the continuing need for and the proven success of Family 
Friends and VSA, AoA is now soliciting applications to develop and 
implement three additional new VSA projects. Projects should be 
proposed to demonstrate the use of Volunteer Senior Aides to assist 
families of disabled/chronically ill children, thereby reducing the 
cost of care for such children. These projects will effectively employ 
the unique skills, varied experience, good will, and availability of 
older volunteers in assisting the Nation's children who are severely 
disabled or chronically ill.

VSA Project Parameters

    Volunteer Senior Aides projects, usually tri-generational, are 
designed to benefit everyone involved. The children, who have serious, 
chronic illnesses or disabilities and range in age from infancy to 12 
years, receive physical care, self-help instruction, emotional support, 
and nurturing. Their siblings may receive greater attention or may 
benefit indirectly as their family is strengthened, empowered. The 
parents (or, in some cases, grandparents) of these children are given 
encouragement and respite--intangibles that they need to carry on. The 
volunteers--aged 55 and older--have a mission and are rewarded with a 
sense of personal pride and accomplishment. They become less isolated, 
more involved in the community, and develop an affectionate 
relationship with their new ``granddaughters'' or ``grandsons'' and/or 
other family members.
    The community is strengthened by older citizens voluntarily 
providing supportive services to younger citizens. Health care costs 
are reduced. And people learn to rely on each other, connecting with an 
``extended family'' in this era of disconnected families.
    The older volunteers (``family friends'') are extensively trained 
to find the best way to help a family. The type of help depends upon 
what's needed at the time. They may tutor the child, teach personal 
care and self-help skills, or take the child to recreational/cultural 
events. These volunteers often act as advocates, serving as ``case 
coordinator'' and speaking on behalf of the family to the various 
professionals who plan and manage the child's care. They also provide 
social and emotional support and, in many cases, respite to weary 
parents. (Respite is provided only, however, when the child is 
medically stable and by agreement of parents, project director, and 
volunteer and is 

[[Page 18825]]
limited to half of the time the volunteer spends with the child.)
    VSA/Family Friends essential program components include:
     Recruitment, screening, interviewing, and careful selection of 
volunteers;
    <bullet> Recruitment, interviewing, and selection of families/
children;
    <bullet> Sixty (60) hours of intensive training for volunteers;
    <bullet> Careful matching of volunteers with families, based on 
compatibility, proximity/transportation, personal styles and needs, 
health of volunteer, schedules, and language barriers;
    <bullet> Supervision of volunteers;
    <bullet> Fund raising and promotion of the program; and
    <bullet> Project evaluation.
    AoA plans to fund approximately three (3) demonstration projects 
under this priority area at a Federal share of approximately $36,000 
per year for a project period of up to approximately three (3) years. 
Eligible applicants are restricted to public or non-profit community-
level agencies, organizations, or institutions proposing new Family 
Friends or VSA projects at the local level. These funds may not be used 
for continuation or expansion of existing VSA or Family Friends 
projects. Each proposal should include participation of both a health 
care facility and a social service agency. Proposals should include 
participation in the project by a project advisory board or committee. 
Because less funding is available this year than in previous years, 
applicants are strongly encouraged to energetically pursue sources of 
matching funds beyond the minimum required. AoA expects applicants to 
propose a level of effort which is realistic and in keeping with their 
funding level (from all sources).
    Proposals should follow the Family Friends/VSA paradigm, briefly 
outlined above but thoroughly documented in materials available from 
NCOA's Family Friends Resource Center. Recommended materials include: 
Bringing Family Friends to Your Community, a manual detailing a step-
by-step approach to developing and implementing these projects; and 
Family Friends--A Program Guide. Prospective applicants may call or 
write the Family Friends Resource Center at: Address: Family Friends 
Resource Center, National Council on the Aging, 409 Third Street SW., 
Washington, DC 20024, Telephone: (202) 479-6675, Fax: (202) 479-0735.
    Demonstration projects funded under this priority area will receive 
technical assistance and guidance in the development and implementation 
of their projects from the Family Friends Resource Center which was 
funded in FY 94 for this purpose.
Part III--Information and Guidelines for the Application Process and 
Review

    Part III of this Announcement contains general information for 
potential applicants and basic guidelines for submitting applications 
in response to this announcement. Application forms are provided along 
with detailed instructions for developing and assembling the 
application package for submittal to the Administration on Aging (AoA). 
General guidelines on applicant eligibility were provided in Part I. 
Specific eligibility guidelines were provided in Part II under certain 
priority areas.

A. General Information

1. Review Process and Considerations for Funding
    Within the limits of available Federal funds, AoA makes financial 
assistance awards consistent with the purposes of the statutory 
authorities governing the AoA Discretionary Funds Program and this 
Announcement. The following steps are involved in the review process.
    a. Notification: All applicants will automatically be notified of 
the receipt of their application and informed of the identification 
number assigned to it.
    b. Screening: To insure that minimum standards of equity and 
fairness have been met, applications which do not meet the screening 
criteria listed in Section D below, will not be reviewed and will 
receive no further consideration for funding under this Announcement.
    c. Expert Review: Applications that conform to the requirements of 
this program announcement will be reviewed and scored competitively 
against the evaluation criteria specified in Section F, below. This 
independent review of applications is performed by panels consisting of 
qualified persons from outside the Federal government and knowledgeable 
non-AoA Federal government officials. The scores and judgments of these 
expert reviewers are a major factor in making award decisions.
    d. Other Comments: AoA may solicit views and comments on pending 
applications from other Federal departments and agencies, State and 
Area Agencies on Aging, interested foundations, national organizations, 
experts, and others, for the consideration of the Assistant Secretary 
for Aging in making funding decisions.
    e. Other Considerations: In making funding award decisions, the 
Assistant Secretary for Aging will pay particular attention to 
applications which focus on older persons with the greatest economic 
and social need, with particular attention to the low-income minority 
elderly. Final decisions may also reflect the equitable distribution of 
assistance among geographical areas of the nation, and among rural and 
urban areas. The Assistant Secretary for Aging also guards against 
wasteful duplication of effort in making funding decisions.
    f. Other Funding Sources: AoA reserves the option of discussing 
applications with, or referring them to, other Federal or non-Federal 
funding sources when this is determined to be in the best interest of 
the Federal government or the applicant.
    g. Decision-Making Process: After the panel review sessions, 
applicants may be contacted by AoA staff to furnish additional 
information. Applicants who are contacted should not assume that 
funding is guaranteed. An award is official only upon receipt of the 
Financial Assistance Award (Form DGCM 3-785).
    h. Timeframe: Applicants should be aware that the time interval 
between the deadline for submission of applications and the award of a 
grant is at least two months and often three months or more in 
duration. This length of time is required to review and process grant 
applications.
2. Notification Under Executive Order 12372
    This is not a covered program under Executive Order 12372.

B. Deadline for Submission of Applications

    The closing date for submission of applications is June 12, 1995. 
Applications must be either sent or hand-delivered to the address 
specified in Section D, below. Hand-delivered applications are accepted 
during the normal working hours of 9:00 a.m. to 5:30 p.m., Eastern 
Time, Monday through Friday. An application will meet the deadline if 
it is either:
    1. Received at the mailing address on or before the applicable 
deadline date; or
    2. Sent before midnight of the applicable deadline date as 
evidenced by either (1) a U.S. Postal Service receipt or postmark or 
(2) a receipt from a commercial carrier. The application must also be 
received in time to be considered under the competitive independent 
review mandated by Chapter 1-62 of the DHHS Grants Administration 
Manual. Applicants are strongly advised to obtain proof that the 
application was sent by the applicable deadline date. If there is a 
question as 

[[Page 18826]]
to when an application was sent, applicants will be asked to provide 
proof that they have met the applicable deadline date. Private metered 
postmarks are not acceptable as proof of a timely submittal.
    Applications which do not meet the above deadlines are considered 
late applications. The Office of Administration and Management will 
notify each late applicant that its application will not be considered 
under the applicable grant review competition.
    AoA may extend a deadline date for applications because of acts of 
God, such as floods, hurricanes or earthquakes, when there is 
widespread disruption of the mail, or when AoA determines an extension 
to be in the best interest of the government. Depending upon the 
precipitating factor(s), the extension will apply to all potential 
applicants in the area affected by the natural disaster, or to all 
potential applicants across the nation. Notice of the extension will be 
published in the Federal Register.

C. Grantee Share of the Project

    Under the Discretionary Funds Program, AoA does not make grant 
awards for the entire project cost. Successful applicants must, at a 
minimum, contribute one (1) dollar, secured from non-Federal sources, 
for every three (3) dollars received in Federal funding. The non-
Federal share must equal at least 25% of the total project cost. 
Applicants should note that, among applications of comparable technical 
merit, the greater the non-Federal share the more favorably the 
application is likely to be considered.
    There are two exceptions to this cost sharing formula. First, for 
applications submitted by Tribal Organizations the non-Federal share 
must equal at least 20% of total project costs. Second, applicants from 
the Virgin Islands, the Northern Mariana Islands, American Samoa, or 
Guam are covered by Section 501(d) of Public Law 95-134, as amended, 
which requires the Department to waive ``any requirement for local 
matching funds under $200,000.''
    The non-Federal share of total project costs for each budget period 
may be in the form of grantee-incurred direct or indirect costs, third 
party in-kind contributions, and/or grant related income. Indirect 
costs may not exceed those allowed under Federal rules established, as 
appropriate, by OMB Circulars A-21, A-87, and A-122. If the required 
non-Federal share is not met by a funded project, AoA will disallow any 
unmatched Federal dollars. A common error is to match 25% of the 
Federal share rather than 25% of the entire project cost.

D. Application Screening Requirements

    All applications will be screened to determine completeness and 
conformity to the requirements of this announcement. These screening 
requirements are intended to assure a level playing field for all 
applicants. Applications which fail to meet either of the two criteria 
described below will not be reviewed and will receive no further 
consideration. Complete, conforming applications will be reviewed and 
scored competitively.
    In order for an application to be reviewed, it must meet the 
following screening requirements:
    1. Applications must be either postmarked by midnight, June 12, 
1995, or hand-delivered by 5:30 p.m., Eastern Time, on June 12, 1995 
to: Department of Health and Human Services, Administration on Aging, 
Office of Administration and Management, 330 Independence Avenue SW., 
Room 4644, Washington, D.C. 20201, Attn: AoA-95-1.
    2. An application must be relevant and responsive to the priority 
area under which it was submitted for competitive review and funding 
consideration and the applicant must meet any eligibility requirements 
specified by that same priority area. (For everyone's benefit, the 
applicant should be sure that the priority area has been clearly 
identified in the application).
    Only those applications meeting these screening requirements will 
be assigned to reviewers.
    The applicant is also strongly advised to adhere to the following 
standards in preparing the application:
    <bullet> The application should not exceed forty (40) pages, 
double-spaced, exclusive of certain required forms and assurances which 
are listed below. Applications whose typescript is single-spaced or 
space-and-a-half will be considered only if it is determined the 
applicant has not thereby gained a competitive advantage.
    <bullet> The following documents are excluded from the 40 page 
limitation: (1) Standard Form (SF) 424, SF 424A (including up to a four 
page budget justification) and SF 424B; (2) the certification forms 
regarding lobbying; debarment, suspension, and other responsibility 
matters; and drug-free workplace requirements; (3) proof of non-profit 
status, and; (4) indirect cost agreements.
    <bullet> The following portions of the application are subject, in 
the aggregate, to the forty (40) page limitation:
--Summary description (suggested length: one page);
--Narrative (suggested length: twenty-five to thirty pages);
--Applicant's capability statement, including an organization chart, 
and vitae for key project personnel (suggested length: five to ten 
pages) and;
--Letters of commitment and cooperation (suggested length: four pages).

    All applications will be checked against the aggregate forty (40) 
page limitation. Any material, of whatever content, in excess of the 
forty (40) page limitation will be withheld from the reviewers.

E. Funding Limitations on Indirect Costs

    1. Training projects awards to institutions of higher education and 
other non-profit institutions are limited to a Federal reimbursement 
rate for indirect costs of eight (8) percent of the total allowable 
direct costs or, where a current agreement exists, the organization's 
negotiated indirect cost rate, whichever is lower. Differences between 
the applicant's approved rate and the 8% limitation may be used as 
Federal cost sharing. See Section J-2, Item 6j, below.
    2. For all other applicants, indirect costs generally may be 
requested only if the applicant has a negotiated indirect cost rate 
with the Department's Division of Cost Allocation or with another 
Federal agency. Applicants without a negotiated indirect cost rate may 
apply for one in accordance with DHHS procedures and relevant OMB 
Circulars.

F. Evaluation Criteria

    Applications which pass the screening will be evaluated by an 
independent review panel of at least three individuals. These 
reviewers, experts in the field, are from academic institutions, non-
profit organizations, state and local government, and, upon occasion, 
Federal government agencies other than AoA. Based on the specific 
programmatic considerations set forth in the priority area under which 
an application has been submitted, the reviewers will comment on and 
score the applications, focusing their comments and scoring decisions 
on the criteria below.
    Applications are scored by assigning a maximum of 100 points across 
four criteria:

(1) Purpose and Need for Assistance (20 points),
(2) Approach/Method - Workplan and Activities (30 points)
(3) Anticipated Outcomes, Evaluation and Dissemination (30 points), 

[[Page 18827]]

(4) Level of Effort (20 points).
1. Purpose and Need for Assistance Weight: 20 points
    a. Does the proposed project clearly and adequately respond to the 
program and/or policy issues of the priority area under which it was 
submitted?
    b. Does the application adequately and appropriately describe and 
document the key problem(s)/condition(s) relevant to its purpose? Is 
the proposed project justified in terms of the most recent, relevant, 
and available information and/or knowledge?
    c. Does the applicant, where appropriate, adequately describe the 
needs of special population groups--low income, minority, women, 
disabled, rural--in addressing problem(s)/conditions(s) relevant to its 
proposal?
2. Approach/Method--Workplan and Activities Weight: 30 points
    a. Does the proposal clearly express and organize a workplan that 
systematically includes specific objectives, tasks, and activities 
which are responsive to the statement of needs and purpose?
    b. Does the workplan include a detailed schedule, with sufficient 
time commitments for key staff, to accomplish the proposed tasks and 
objectives? Is the sequence and timing of events logical and realistic?
    c. Are the roles and contribution of staff, consultants, and 
collaborative organizations clearly defined and linked to specific 
objectives and tasks? Does the workplan specify who will be responsible 
for managing the project; for the preparation and dissemination of 
project results, products, and reports; and for communications with the 
Administration on Aging should the project be approved for funding?
3. Anticipated Outcomes, Evaluation and Dissemination Weight: 30 points
    a. Are the expected project benefits and/or results clearly 
identified, realistic, and consistent with the objectives of the 
project? Are outcomes likely to be achieved and will they significantly 
benefit older persons through improvement in policy or practice, and/or 
contribute knowledge to theory and research?
    b. Is the plan for project evaluation clear and relevant to the 
scope of activity proposed? Does this plan identify the type of data to 
be collected and the method of analysis to be used in measuring project 
achievement and significance?
    c. Does the proposal include a plan for dissemination which is 
likely to increase the awareness of project activities and events 
during project performance? Is this plan adequate for communicating 
project outcomes and products to all appropriate audiences?
4. Level of Effort    Weight: 20 points
    a. Do the proposed project director(s), key staff and consultants 
have the background, experience, and other qualifications required to 
carry out their designated roles?
    b. Is the budget justified with respect to the adequacy and 
reasonableness of resources requested? Are budget line items consistent 
with workplan objectives?
    c. Are letters from participating organizations included and do 
they express the clear commitment and areas of responsibility of those 
organizations, consistent with the workplan description of their 
intended roles and contributions?
    d. Are the writers of the proposal identified and will they be 
involved in its oversight and implementation? If not, is there a 
logical explanation for their non-participation?

G. The Components of an Application

    To expedite the processing of applications, we request that you 
arrange the components of your application, the original and two 
copies, in the following order:
    <bullet> SF 424, Application for Federal Assistance; SF 424A, 
Budget, accompanied by your budget justification; SF 424B (Assurances); 
and the certification forms regarding lobbying; debarment, suspension, 
and other responsibility matters; and drug-free workplace requirements.

    Note: The original copy of the application must have an original 
signature in item 18d on the SF 424.

    <bullet> Proof of nonprofit status, as necessary:
    <bullet> A copy of the applicant's indirect cost agreement, as 
necessary;
    <bullet> Project summary description;
    <bullet> Program narrative;
    <bullet> Organizational capability statement and vitae;
    <bullet> Letters of Commitment and Cooperation;
    <bullet> A copy of the Check List of Application Requirements (See 
Section K, below) with all the completed items checked.
    The original and each copy should be stapled securely (front and 
back if necessary) in the upper left corner. Pages should be numbered 
sequentially. In order to facilitate the handling and reproduction of 
the application for purposes of the review, please do not use covers, 
binders or tabs. Do not include extraneous materials such as agency 
promotion brochures, slides, tapes, film clips, etc. It is not feasible 
to include such items in the review process. They will be discarded if 
submitted as part of the application.

H. Communications with AoA

    Do not include a self-addressed, stamped acknowledgment card. All 
applicants will be notified by mail of the receipt of their application 
and informed of the identification number assigned to it. This number 
and the priority area should be referred to in all subsequent 
communication with AoA concerning the application. If acknowledgment is 
not received within seven weeks after the deadline date, please notify 
the Office of Program Development by telephone at (202) 619-0441.
    After an identification number is assigned and the applicant has 
been notified of the number, applications are filed numerically by 
identification number for quick retrieval. It will be difficult for AoA 
staff to provide a timely response to inquiries about a specific 
application unless the identification number and the priority area are 
given.
    Applicants are advised that, prior to reaching a decision, AoA will 
not release information to an applicant other than that its application 
has been received and that it is being reviewed. Unnecessary inquiries 
delay the process. Once a decision is reached, the applicant will be 
notified as soon as possible of the approval or disapproval of the 
application.

I. Background Information and Guidance for Preparing the Application

1. Current Projects and Previous Project Results
    In the Program Narrative of the application (see Section J-6 
below), applicants are expected to demonstrate familiarity with recent 
and ongoing activity related to their project proposal. With respect to 
AoA-supported discretionary grant projects, information on current AoA 
projects may be obtained by contacting the Office of Program 
Development at 202/619-0441. Regarding completed AoA projects, copies 
of all AoA discretionary grant final reports and printed materials are 
sent to: the National Aging Information Center (to be established by 
April/May 1995); the National Technical Information Service (NTIS), a 
clearinghouse and document source for Federally sponsored reports; 
Ageline Database, a bibliographic database 

[[Page 18828]]
service sponsored by the American Association of Retired Persons, 
available online through BRS and DIALOG; and the U.S. Government 
Printing Office Library Program, a catalog and microfiche service for 
1400 depository libraries located throughout the United States.
    Information concerning access to the bibliographic and document 
referral services provided by these clearinghouses can be obtained 
through most public and academic libraries.
    For direct information, use the following contacts:
(a) National Technical Information Service, 5285 Port Royal Road, 
Springfield, VA 22161, (703) 487-4600
(c) Ageline Database
    <bullet> BRS Customer Service, 8000 Westpark Drive, McLean, VA 
22102, (800) 345-4BRS
    <bullet> DIALOG Customer Service, 3460 Hillview Avenue, Palo Alto, 
CA 94304, (800) 3DIALOG, (415) 858-2700 (in California)
(d) U.S. Government Printing Office
    Acquisition Unit, Library Programs Service, North Capital and H 
Streets NW., Washington, DC 20401, (202) 275-1070
2. Dissemination and Utilization
    The purposes and expectations associated with Title IV 
discretionary projects extend well beyond the immediate confines of a 
particular project's local impact. Projects should have a ripple effect 
in the field of aging in terms of replicating their design, utilizing 
their results, and applying their benefits to a widening circle of 
older persons. This section suggests certain principles of 
dissemination to be considered in developing your application:
    <bullet> the most useful projects make dissemination and 
utilization a central, not peripheral, component of the project;
    <bullet> dissemination starts at the beginning of a project not 
when it is completed;
    <bullet> potential users should be involved in planning the 
project, if possible, and products developed with the needs of 
potential users in mind;
    <bullet> dissemination is a networking process;
    <bullet> at a minimum, dissemination includes getting your final 
products into the hands of appropriate users and making presentations 
at conferences; and
    <bullet> coordination with other related projects may increase the 
chances of your products being used.

J. Completing the Application

    In completing the application, please recognize that the set of 
standardized forms and instructions is prescribed by the Office of 
Management and Budget (approved under OMB control number 0348-0043) and 
is not perfectly adaptable to the particulars of AoA's Discretionary 
Funds Program. First-time applicants, in particular, may have some 
misgivings that they have not crossed the final ``t'' or dotted the 
last ``i'' of their application. Any applicant should, of course, take 
reasonable care to avoid technical errors in completing the 
application, but the substantive merits of the project proposal are the 
determining factors. In these instructions, we offer several pointers 
aimed at clarifying matters, overcoming difficulties, and preventing 
the more common technical mistakes made by applicants. If the need 
arises, please call (202) 619-0441 for assistance.
    Forms SF 424, SF 424A, SF 424B, and the certification forms 
(regarding lobbying; debarment, suspension, and other responsibility 
matters; and drug-free workplace requirements) have been reprinted as 
part of this Federal Register announcement for your convenience in 
preparing the application. Single-sided copies of all required forms 
must be used for submitting your application. You should reproduce 
single-sided copies from the reprinted form and type your application 
on the copies. Please do not use forms directly from the Federal 
Register announcement as they are printed on both sides of the page.
    To assist applicants in completing Forms SF 424 and SF 424A 
correctly, samples of completed forms have been provided as part of 
this announcement. These samples are to be used as a guide only. Be 
sure to submit your application on the blank copies. Please prepare 
your application consistent with the following guidance:
    1. SF 424, Cover Page: Complete only the items specified in the 
following instructions:
    Top Left of Page. In the box provided, enter the number of the 
priority area under which the application is being submitted.

Item 1. Preprinted on the form.
Item 2. Fill in the date you submitted the application. Leave the 
applicant identifier box blank.
Item 3. Not applicable.
Item 4. Leave blank.
Item 5. Provide the legal name of applicant; the name of the primary 
organizational unit which will undertake the assistance activity; the 
applicant address; and the name and telephone number of the person to 
contact on matters related to this application.
Item 6. Enter the employer identification number (EIN) of the applicant 
organization as assigned by the Internal Revenue Service. Please 
include the suffix to the EIN, if known.
Item 7. Enter the appropriate letter in the box provided.
Item 8. Preprinted on form.
Item 9. Preprinted on form.
Item 10. Preprinted on form.
Item 11. The title should describe concisely the nature of the project. 
Avoid repeating the title of the priority area or the name of the 
applicant. Try not to exceed 10 to 12 words and 120 characters 
including spaces and punctuation.
Item 12. Preprinted on form.
Item 13. Enter the desired start date for the project, beginning on or 
after September 1, 1995 and the desired end date for the project. 
Projects may be from 17 to 36 months in duration. Check the description 
of the priority area under which you are applying for the expected 
project duration.
Item 14. List the applicant's Congressional District and the 
District(s), if any, directly affected by the proposed project.
Item 15. All budget information entered under item #15 should cover 
either: (1) The total project period if that period is 17 months or 
less; or (2) just the first 12 months if the project period is for 24 
or 36 months. The applicant should show the Federal grant support 
requested under sub-item 15a.

    Check: Please make sure you have presented budget amounts only for 
the first year if you are proposing a multi-year project. A common 
error is to present budget totals for a full project period of 24 or 36 
months in item 15. Sub-items 15b-15e are considered cost-sharing or 
``matching funds''. Applicants should review cost sharing or matching 
principles contained in Subpart G of 45 CFR Part 74 before completing 
not just Item 15, but the Budget Information Sections A, B and C that 
follow. It is important that the dollar amounts entered in sub-items 
15b-15e total at least 25 percent of the total project cost (total 
project cost is equal to the requested Federal funds plus funds from 
non-Federal sources). In general, costs borne by the applicant and cash 
contributions of any and all third parties involved in the project, 
including sub-grantees, contractors and consultants, are considered 
cash matching funds. Most contributions from third parties will be non-
cash or 

[[Page 18829]]
in-kind and should not be combined with cash contributions. Examples 
include volunteered time and use of facilities to hold meetings or 
conduct project activities. A third form of non-Federal match, is 
projected program income derived from activities of the grant such as 
participant fees and sale of publications. Only program income which is 
to be used as part of the qualifying match should be shown here. (see 
Form 424, Part B and the narrative budget justification instructions 
below for how to show program income which is not designated as 
qualifying non-Federal match.
Item 16. Preprinted on form.
Item 17. This question applies to the applicant organization, not the 
person who signs as the authorized representative. Categories of debt 
include delinquent audit disallowances, loans and taxes.
Item 18. To be signed by an authorized representative of the applicant 
organization. A document attesting to that sign-off authority must be 
on file in the applicant's office.
2. SF 424A--Budget Information
    This form (SF424A) is designed to apply for funding under more than 
one grant program; thus, for purposes of this AoA program, most of the 
budget item columns/blocks are superfluous and should be regarded as 
not applicable. The applicant should consider and respond to only the 
budget items for which guidance is provided below. Section A--Budget 
Summary and Section B--Budget Categories should include both Federal 
and non-Federal funding for the proposed project covering (1) the total 
project period if that period is 17 months or less or (2) the first 12 
months if the project period is for 24, 36, or 48 months.
    Section A--Budget Summary. On line 5, enter total Federal Costs in 
column (e) and total non-Federal Costs (including third party in-kind 
contributions but not program income) in column (f). Enter the total of 
columns (e) and (f) in column (g).
    Section B--Budget Categories. Use only the last column under 
Section B, namely the column headed Total (5), to enter the total 
requirements for funds (combining both the Federal and non-Federal 
shares) by object class category. Do not include the in-kind (third 
party) match contributions shown in Item 15 on the face sheet of Form 
424.
    A separate budget justification should be included which shows the 
breakdown of budget cost items by Federal, non-Federal, and total funds 
and which fully explains and justifies each of the major budget items: 
personnel, travel, other, etc., as outlined below. Non-Federal funds 
shown as a separate column in the budget line item portion of the 
justification is limited to cash match contributions (see instructions 
for item 15 on the face sheet of the 424 Form). Third party in-kind 
contributions and program income designated as non-Federal match 
contributions should be justified below the budget line items.
    All budget line and non-cash match justifications must identify 
both the purpose and basis of dollar estimation. Formulas for 
application of approved indirect cost rates must be explained. All 
entries for item 15 on the 424 face sheet and Part B must be described 
in the justification. The complete budget justification should not 
exceed four typed pages and should immediately follow the SF 424 forms.
    Line 6a--Personnel: Enter total costs of salaries and wages of 
applicant/grantee staff. Do not include the costs of consultants, which 
should be included under 6h--Other.
    Justification: Identify the principal investigator or project 
director, if known. Specify the key staff, their titles, and time 
commitments in the budget justification.
    Line 6b--Fringe Benefits: Enter the total costs of fringe benefits 
unless treated as part of an approved indirect cost rate.
    Justification: Provide a break-down of amounts and percentages that 
comprise fringe benefit costs, such as health insurance, FICA, 
retirement insurance, etc.
    Line 6c--Travel: Enter total costs of out-of-town travel (travel 
requiring per diem) for staff of the project. Do not enter costs for 
consultant's travel or local transportation.
    Justification: Include the total number of trips, destinations, 
length of stay, transportation costs and subsistence allowances.
    Line 6d--Equipment: Enter the total costs of all equipment to be 
acquired by the project. For state and local governments, including 
Federally recognized Indian Tribes, ``equipment'' is non-expendable 
tangible personal property having a useful life of more than two years 
and an acquisition cost of $5,000 or more per unit. For all other 
grantees, the threshold for equipment is $500 or more per unit.
    Justification: Equipment to be purchased with Federal funds must be 
justified as necessary for the conduct of the project. The equipment, 
or a reasonable facsimile, must not be otherwise available to the 
applicant or its sub-grantees. The justification also must contain 
plans for the use or disposal of the equipment after the project ends.
    Line 6e--Supplies: Enter the total costs of all tangible expendable 
personal property (supplies) other than those included on line 6d.
    Line 6f--Contractual: Enter the total costs of all contracts, 
including (1) procurement contracts (except those which belong on other 
lines such as equipment, supplies, etc.) and, (2) contracts with 
secondary recipient organizations including delegate agencies.
    Also include any contracts with organizations for the provision of 
technical assistance. Do not include payments to individuals on this 
line.
    Justification: Attach a list of contractors indicating the name of 
the organization, the purpose of the contract, and the estimated dollar 
amount. If the name of the contractor, scope of work, and estimated 
costs are not available or have not been negotiated, indicate when this 
information will be available. Whenever the applicant/grantee intends 
to delegate a substantial part (one-third, or more) of the project work 
to another agency, the applicant/grantee must provide a completed copy 
of Section B, Budget Categories for each contractor, along with 
supporting information.
    Line 6g--Construction: Leave blank since new construction is not 
allowable and Federal funds are rarely used for either renovation or 
repair.
    Line 6h--Other: Enter the total of all other costs. Such costs, 
where applicable, may include, but are not limited to: insurance, 
medical and dental costs; noncontractual fees and travel paid directly 
to individual consultants; local transportation (all travel which does 
not require per diem is considered local travel); space and equipment 
rentals; printing and publication; computer use; training costs, 
including tuition and stipends, training service costs including wage 
payments to individuals and supportive service payments; and staff 
development costs.
    Line 6i--Total Direct Charges: Show the totals of Lines 6a through 
6h.
    Line 6j--Indirect Charges: Enter the total amount of indirect 
charges (costs), if any. If no indirect costs are requested, enter 
``none.'' Indirect charges may be requested if: (1) The applicant has a 
current indirect cost rate agreement approved by the Department of 
Health and Human Services or another Federal agency; or (2) the 
applicant is a State or local government agency. Applicants other than 
state and local governments are requested to enclose a copy of this 
agreement. Local and state governments 

[[Page 18830]]
should enter the amount of indirect costs determined in accordance with 
HHS requirements. When an indirect cost rate is requested, these costs 
are included in the indirect cost pool and should not be also charged 
as direct costs to the grant.
    In the case of training grants to other than state or local 
governments (as defined in 45 CFR Part 74), Federal reimbursement of 
indirect costs will be limited to the lesser of the negotiated (or 
actual) indirect cost rate or 8 percent of the amount allowed for total 
project (Federal and non-Federal) direct costs exclusive of any 
equipment charges, rental of space, tuition and fees, stipends, post-
doctoral training allowances, contractual items, and alterations and 
renovations. As part of the justification, applications subject to this 
limitation should specify that the Federal reimbursement will be 
limited to 8%.
    For training grant applications, the entry for line 6j should be 
the total indirect costs being charged to the project. The Federal 
share of indirect costs is calculated as shown above. The applicant's 
share is calculated as follows:
    (a) Calculate total project indirect costs (a*) by applying the 
applicant's approved indirect cost rate to the total project (Federal 
and non-Federal) direct costs.
    (b) Calculate the Federal share of indirect costs (b*) at 8 percent 
of the amount allowed for total project (Federal and non-Federal) 
direct costs exclusive of any equipment charges, rental of space, 
tuition and fees, post-doctoral training allowances, contractual items, 
alterations and renovations.
    (c) Subtract b* from a*. The remainder is what the applicant can 
claim as part of its matching cost contribution.
    Line 6k--Total: Enter the total amounts of Lines 6i and 6j.
    Line 7--Program Income: Estimate the amount of income, if any, 
expected to be generated from this project which you wish to designate 
as match (equal to the amount shown it Item 15 on Form 424). Warning: 
Any program income indicated at the bottom of Section B and item 15 on 
the face sheet of Form 424 will be included as part of non-Federal 
match and will be subject to the rules for documenting completion of 
this pledge. If program income is expected, but is not needed to 
achieve matching funds, do not include that portion here or on Item 15 
of the Form 424 face sheet. Non-match anticipated program income should 
be described in the Level of Effort section of the Program Narrative.

Section C--Non-Federal Resources

    Line 12--Totals: Enter amounts of non-Federal resources that will 
be used in carrying out the proposed project. Do not include program 
income unless it is used to meet match requirements.
    Section D--Forecasted Cash Needs: Not applicable.
    Section E--Budget Estimate of Federal Funds Needed for Balance of 
the Project This section should be completed only if the total project 
period exceeds 17 months.
    Line 20--Totals: Enter the estimated required Federal funds 
(exclude estimates of the amount of cost sharing) for the period 
covering months 13 through 24 under column ``(b) First;'' and, if 
applicable, for months 25 through 36 under ``(c) Second.''
    Section F--Other Budget Information
    Line 21--Direct Charges: Not applicable
    Line 22--Indirect Charges: Enter the type of indirect rate 
(provisional, predetermined, final or fixed) to be in effect during the 
funding period, the base to which the rate is applied, and the total 
indirect costs.
    Line 23--Remarks: Provide any other explanations or comments deemed 
necessary.
3. SF 424B--Assurances
    SF 424B, Assurances--Non-Construction Programs, contains assurances 
required of applicants under the Discretionary Funds Program of the 
Administration on Aging. Please note that a duly authorized 
representative of the applicant organization must certify that the 
applicant is in compliance with these assurances.
    With the possible exception of an Assurance of Protection of Human 
Subjects, no other assurances are required. For research projects in 
which human subjects may be at risk, an Assurance of Protection of 
Human Subjects may be needed. If there is a question regarding the 
applicability of this assurance, contact the Office for Protection from 
Research Risks of the National Institutes of Health at (301) 496-7041.
4. Certification Forms
    Certifications are required of the applicant regarding (a) 
lobbying; (b) debarment, suspension, and other responsibility matters; 
and (3) drug-free workplace requirements. Please note that a duly 
authorized representative of the applicant organization must attest to 
the applicant's compliance with these certifications.
5. Project Summary Description
    On a separate page, provide a project summary description headed by 
two identifiers: (1) The name of the applicant organization as shown in 
SF 424, item 5 and (2) the priority area as shown in the upper left 
hand corner of SF 424. Please limit the summary description to one page 
with a maximum of 1,200 characters, including words, spaces and 
punctuation.
    Be specific and succinct. Outline the objectives of the project, 
the approaches to be used and the outcomes expected. At the end of the 
summary, list major products that will result from the proposed project 
(such as manuals, data collection instruments, training packages, 
audio-visuals, software packages). The project summary description, 
together with the information on the SF 424, becomes the project 
``abstract'' which is entered into AoA's computer data base. The 
project description provides the reviewer with an introduction to the 
substantive parts of the application. Therefore, care should be taken 
to produce a summary which accurately and concisely reflects the 
proposal.
6. Program Narrative
    The Program Narrative is the critical part of the application. It 
should be clear, concise, and, of course, responsive to the priority 
area under which the application is being submitted. In describing your 
proposed project, make certain that you respond fully to the evaluation 
criteria set forth in Section F above. The format of the narrative 
should, in fact, parallel the criteria, beginning with an integrated 
discussion of (A) the project's purpose(s), relevance, significance, 
and responsiveness to the priority area, which answers the questions of 
why the project should be undertaken and what it intends to accomplish. 
The next section of the narrative provides a detailed explanation of 
(B) the approach(es)/methodology the project will follow to achieve its 
purpose(s), leading to a discussion of (C) the anticipated outcomes/
results/benefits of the project, how these will be evaluated, 
disseminated, and utilized. The narrative concludes with (D) the level 
of effort needed to carry out the project, in terms of the Project 
Director and other key staff, funding, and other resources.
    Please have the narrative typed on one side of 8 \1/2\'' x 11'' 
plain white paper with 1'' margins on both sides. All pages of the 
narrative (including charts, tables, maps, exhibits, etc.) should be 
sequentially numbered, beginning with ``Objectives and Need 

[[Page 18831]]
for Assistance'' as page number one. (Applicants should not submit 
reproductions of larger size paper, reduced to meet the size 
requirement). The narrative should also identify the author(s) of the 
proposal, their relationship with the applicant, and the role they will 
play, if any, should the project be funded. This narrative guidance is 
in accordance with that provided in OMB Circular A-102. The checklist 
(see Section K, below) is consistent with that approved under OMB 
control number 0937-0189.
7. Organizational Capability Statement and Vitae for Key Project 
Personnel
    The organizational capability statement should describe how the 
applicant agency (or the particular division of a larger agency which 
will have responsibility for this project) is organized, the nature and 
scope of its work and/or the capabilities it possesses. This 
description should cover capabilities of the applicant not included in 
the program narrative. Include descriptions of any current or previous 
relevant experience. Describe the competence of the project team and 
its record for preparing cogent and useful reports, publications, and 
other products. Include an organization chart showing the relationship 
of the project to the current organization. Include vitae for key 
project staff only.

K. Checklist for a Complete Application

    The checklist below should be typed on 8\1/2\'' x 11'' plain white 
paper, completed and included in your application package. It will help 
in properly preparing your application.

Checklist

    I have checked my application package to ensure that it includes or 
is in accord with the following:

--One original application plus two copies, each stapled securely (no 
folders or binders) with the SF 424 as the first page of each copy of 
the application;
--SF 424; SF 424A--Budget Information (and accompanying Budget 
Justification); SF 424B--Assurances; and Certifications;
--SF 424 has been completed according to the instructions, signed and 
dated by an authorized official (item 18);
--The number of the priority area under which the application is 
submitted has been identified in the box provided at the top left of 
the SF 424;
--As necessary, a copy of the current indirect cost rate agreement 
approved by the Department of Health and Human Services or another 
Federal agency;
--Proof of nonprofit status, as necessary;
--Summary description;
--Program narrative;
--Organizational capability statement and vitae for key personnel;
--Letters of commitment and cooperation, as appropriate.

L. Points to Remember

    1. There is a forty (40) double-spaced page limitation for the 
substantive parts of the application. Before submitting your 
application, please check that you have adhered to this requirement 
which is spelled out in Section D.
    2. You are required to send an original and two copies of an 
application.
    3. Indicate the priority area in the box at the top left hand 
corner of the SF 424.
    4. The summary description (1,200 characters or less) should 
accurately reflect the nature and scope of the proposed project.
    5. To meet the cost sharing requirement (see Section C above), you 
must, at a minimum, match $1 for every $3 requested in Federal funding 
to reach 25% of the total project cost. For example, if your request 
for Federal funds is $90,000, then the required minimum match or cost 
sharing is $30,000. The total project cost is $120,000, of which your 
$30,000 share is 25%.
    6. Indirect costs of training grants may not exceed 8%.
    7. In following the required format for preparing the program 
narrative, make certain that you have responded fully to the four (4) 
evaluative criteria which will be used by reviewers to evaluate and 
score all applications.
    8. Do not include letters which endorse the project in general and 
perfunctory terms. In contrast, letters which describe and verify 
tangible commitments to the project, e.g., funds, staff, space, should 
be included.
    9. If duplicate applications are submitted under different priority 
areas, AoA reserves the right to select the single priority area under 
which it will be reviewed.
    10. If more than one project application is submitted, each should 
be submitted under separate cover.
    11. Before submitting the application, have someone other than the 
author(s): 1) apply the screening requirements to make sure you are in 
compliance; and 2) carry out a trial run review based upon the 
evaluative criteria. Take the opportunity to consider the results of 
the trial run and then make whatever changes you deem appropriate.
    12. Each application must be mailed by midnight, June 12, 1995 or 
hand-delivered by 5:30 p.m., Eastern Time, on June 12, 1995.
    Mail or hand-deliver the application to: Department of Health and 
Human Services, Administration on Aging, Office of Administration and 
Management, 330 Independence Avenue SW., Room 4644, Washington, D.C. 
20201 Attn: AoA-95-1.

    Dated: April 6, 1995
Fernando M. Torres-Gil,
Assistant Secretary for Aging.

BILLING CODE 4150-04-P

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[FR Doc. 95-8950 Filed 4-12-95; 8:45 am]
BILLING CODE 4150-04-C