[Federal Register Volume 59, Number 93 (Monday, May 16, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-11842]
[[Page Unknown]]
[Federal Register: May 16, 1994]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of the Secretary
Examination of Methods for Assessing Comprehensive Community
Change Initiatives
AGENCY: Office of the Assistant Secretary for Planning and Evaluation,
HHS.
ACTION: Request for applications to conduct research to examine methods
for assessing comprehensive community change initiatives.
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SUMMARY: The Department seeks applications from not-for-profit or for-
profit organizations or entities to conduct research to examine methods
for assessing comprehensive community change initiatives and to develop
possible solutions to assessment problems for these initiatives. The
Primary goal of the proposed research is to further the understanding
of the problems confronted in assessing the impact of comprehensive
community change initiatives. It is anticipated that one ``Cooperative
Agreement'' of $50,000 for 12-17 months will be awarded.
DATES: Closing date: The closing date for submitting an application is
July 15, 1994.
ADDRESSES: Send applications to Grants Officer, Office of the Assistant
Secretary for Planning and Evaluation, Department of Health and Human
Services, 200 Independence Avenue SW., room 405F, Hubert H. Humphrey
Building, Washington, DC 20201.
FOR FURTHER INFORMATION CONTACT:Grants Officer at above address, phone
(202) 401-3951.
SUPPLEMENTARY INFORMATION:
PURPOSE OF THE SOLICITATION
Pursuant to section 1110 of the Social Security Act, the Assistant
Secretary for Planning and Evaluation (ASPE) is seeking applications
from not-for-profit or for-profit organizations or entities to conduct
research to examine methods for assessing comprehensive community
change initiatives and to develop possible solutions to assessment
problems for these initiatives. It is anticipated that a ``Cooperative
Agreement'' will be awarded as a result of this announcement.
The primary goal of the proposed research is to further the
understanding of the problems confronted in assessing the impact of
comprehensive community change initiatives. These initiatives have
several features that do not correspond to traditional assessment
methods: (1) They rely on a complex interaction of components, (2) they
are intended to produce impacts in several different spheres, (3) they
are purposefully flexible and variable rather than standardized, (4)
they saturate a community, affecting all members of the community, and
(5) they involve contexts and systems that are in a continuous process
of change. Given these difficulties, an examination is needed of how
assessment of these initiatives can be improved.
A. Type of Application Requested
1. Background
ASPE has a long history of interest in comprehensive human services
efforts and the methods of assessing the impact of such efforts. This
includes an interest in service integration projects, as well as an
interest in community-based human services reform. The office has
funded assessments of individual projects and clearinghouses for
information on comprehensive strategies.
Several private foundations have recently created initiatives that
attempt to change human service and other systems in communities. These
initiatives attempt to work across systems, involving the social
services, the health care system, the schools, and economic and
physical redevelopment. They are generally focused on one or more urban
communities. Examples of foundation initiatives include several
foundation-sponsored efforts such as the Annie E. Casey foundation's
New Futures Initiative, the Pew Charitable Trust's Children's
Initiative, and the Ford Foundation's Neighborhood and Family
Initiative. Recent federal initiatives, such as the Empowerment Zone
and Enterprise Community Initiative, include similar features.
2. Research Approach
As a background for further work, the organization should
investigate and document how comprehensive community change initiatives
have been assessed in the past, how they are now being assessed, and
the problems and successes encountered in assessing these initiatives.
Many problems in assessing comprehensive initiatives are not new and
are not confined to any one set of social reform efforts. Such an
investigation would identify similarities and differences in the types
of assessments underway, the processes being described, and the
outcomes being measured, cataloging topics requiring attention for the
next generation of initiatives and for assessment of the current
generation and creating a research agenda for the field.
Possible topics and research activities of interest may include the
following:
Articulating the assumptions and hypotheses underlying
existing comprehensive community change initiatives. This work would
clarify the causal connections that assessments of initiatives should
explore. Such work might include collaborating with a specific
initiative to map the assumptions and expected causal relationships.
The creation of an outline of assumptions, hypotheses, and causal
connections should involve many different perspectives, including the
funders, developers, technical assistance providers, and community
participants of initiatives.
Generating, based on the improved articulation of
assumptions and hypotheses, a set of interim progress indicators with
clear links to the ultimate goals of the initiative.
Identifying gaps in measurement that hold back assessment
and working to improve measurement tools. This work could involve
participating with an initiative to test methods. Results would then be
summarized for the field.
Developing suggestions for improved assessment practice.
For example, developing methods appropriate for initiatives that
saturate a community, making it impossible to randomly select
individuals in treatment and control groups.
Other topics as defined by the work group.
3. Awardee and Government Responsibilities
A. Awardee Responsibilities
1. Establish a work group of experts and knowledgeable
practitioners to assist the project. The work group should include
people with the following backgrounds:
direct experience in developing and conceptualizing
comprehensive community change initiatives
direct experience in assessing comprehensive community
change initiatives
direct experience in managing or overseeing comprehensive
community change initiatives
direct experience in assessment and measurement of social
programs.
2. Plan and conduct a series of meetings in which the work group
develops key issues to be addressed.
3. Submit a final work plan that updates the work plan submitted in
the original application. This work plan should include a plan for
dissemination of research findings.
4. Conduct one or more small studies to explore the key issues
identified by the work group.
5. Prepare a final report describing the procedures, findings, and
other relevant information in a form that will maximize the
dissemination and use of the findings, and a set of papers addressing
the research topics. A draft of this report will be delivered to the
Federal project officer within 15 months of the date the award is made.
The Department will return comments within one month. A final report
will be delivered to the Federal project officer within 17 months of
the date the award.
6. Participate in a wrap-up meeting involving Federal officials and
other key audiences.
B. Federal Government Responsibilities
1. Assist in the selection of members of the work group,
2. Participate in all work group meetings,
3. Provide input into the final work plan, including the
dissemination plan.
4. Assist in developing the wrap-up meeting.
3. Application
This announcement seeks applications from organizations or entities
that will enter into a cooperative agreement with ASPE to create a
process to examine issues in the assessment of community change
initiatives. One cooperative agreement will be awarded.
A. Applicant Qualifications
Applicants must demonstrate experience with the issues confronted
in comprehensive community change initiatives, as well as experience
with issues related to the measurement and assessment issues of such
initiatives.
Applicants must demonstrate an ability to manage a complex multi-
activity research project involving an oversight work group.
Applicants must demonstrate connections to key audiences for
dissemination. Audiences include federal, state, and local policy
makers, foundation officials, local and community leaders, and the
research community.
Applicants must demonstrate access to matching funds at a 2 to 1
ratio of private or local funding to federal funding.
B. Content and Organization of the Application
The application must begin with a cover sheet followed by the
required application forms and an abstract (of not more than one page).
Failure to include the abstract may result in delays in processing the
application. The application must contain the required Federal forms,
title page, table of contents, and the sections listed below. All pages
of the narrative should be numbered.
The application must include the following elements:
Goals and Objectives
Present the goals of the effort and related objectives.
Workplan
Describe the planned activities (e.g., meetings of the work group
or research activities). Outline the rationale for undertaking those
activities, and note the timing of the activities over the period of
the cooperative agreement.
Corporate Capacity
Describe the organizational character of the applicant and how the
applicant meets the qualifications outlined in Section 3A above.
Staffing
List primary staff and the activities they will perform on this
project. Curriculum Vitae or job descriptions for key staff must be
appended.
Work Group
List proposed members of the work group. Descriptions of their
affiliations, their relevant experiences, and evidence of arrangements
that have been made to assure their participation in the work group.
Budget
Submit a request for federal funds using Standard Form 424A. In
addition, include a detailed breakdown of all Federal line items along
with a brief narrative description or justification for these line
items. This detailed breakdown should separate items for which Federal
funds are requested from items to be provided by other sources, with
those other sources identified. Documentation must be included which
substantiates the existence of a commitment to provide the required
non-Federal share. (See Section IV, paragraph C below for specific
requirements regarding this non-Federal local contribution.) All costs
fees for services of the work group and travel by the work group should
be included in the budget.
B. Applicable Regulations
1. ``Grants Programs Administered by the Office of the Assistant
Secretary for Planning and Evaluation'' (45 CFR part 62)
2. ``Administration of Grants'' (45 CFR part 74)
C. Effective Date and Duration
The cooperative agreement awarded pursuant to this announcement is
expected to be made on or about September 9, 1994.
In order to avoid unnecessary delays in the preparation and receipt
of applications, this notice is effective immediately. The closing date
for applications is specified in Section G.
The cooperative agreement will be awarded for a 12-17 month period.
D. Statement of Funds Available and Matching Funds Requirement
HHS intends to award one cooperative agreement resulting from this
announcement. $50,000 has been set aside for one cooperative agreement
to be awarded in FY 1994. Funds will be obligated fully at the time of
award.
This cooperative agreement will require a 2 to 1 match of private
or local funding to federal funding. For example, to receive $50,000 of
federal funds, an organization must have $100,000 of private or local
funding.
Nothing in this application should be construed as committing the
Assistant Secretary to make an award.
E. Application Processing
1. Applications will be initially screened for relevance to the
interests and needs defined in Section A. If judged relevant, the
application will be reviewed by a government review panel. Three (3)
copies of each application are required. Applicants are encouraged to
send an additional seven (7) copies of their application to ease
processing, but applicants will not be penalized if these extra copies
are not included.
2. Applications will be judged according to the criteria set forth
in item 5 below.
3. An unacceptable rating on any individual criterion may render
the application unacceptable. Consequently, applicants should take care
to ensure that all criteria are fully addressed in the application.
4. Applications should be as brief and concise as possible.
Applicants are encouraged to respond within 15 double-spaced types
pages, exclusive of forms, abstract, curriculum vitae, and proposed
budget. They should neither be unduly elaborate nor contain voluminous
supporting documentation.
5. Criteria for Evaluation. Evaluation of applications will employ
the following criteria. The relative weights are shown in parentheses.
A. Goals, Objectives, and Need for Assistance. (10 points).
i. Rationale.
Is there a clear rationale for the project, including a documented
need?
ii. Goals and Objectives.
Are the goals and objectives presented in observable, measurable
terms, and how well do they reflect the specific program requirements
delineated in the announcement?
B. Project Design and Approach. (40 points).
i. Strategic Plan.
Do the planned activities match clearly with the needs of the
field? Is there a clear mechanism for linking together the activities
in the project? Is there a clear dissemination strategy?
C. Organization and Staffing. (40 points).
I. Staff.
Are the number and type of staff positions sufficient to achieve
project objectives? Do the staff have experience with comprehensive
community change initiatives and with assessment issues? Does the work
group represent the necessary perspectives? Does the work contain
people with extensive expertise in this area?
ii. Organizational Capacity.
Does the organization demonstrate experience with the issues
confronted in comprehensive community change initiatives? experience
with issues related to the measurement and assessment issues?
Does the organization demonstrate an ability to manage a complex
multi-activity research project?
Does the organization demonstrate connections to key audiences for
dissemination?
D. Budget. (10 points).
Is the proposed budget reasonable and sufficient to ensure
implementation?
Are the required matching funds being provided and is this
commitment reliable?
Is evidence provided that the matching costs represent an
additional effort and not a reallocation of existing resources?
F. Deadline for Submittal of Applications
The closing date for submittal of applications under this
announcement is 60 days after publication in the Federal Register.
Applications must be postmarked or hand delivered to the application
receipt point no later than 5:30 p.m. on the day 60 days after
publication in the Federal Register. Hand-delivered applications will
be accepted Monday through Friday, excluding Federal holidays during
the working hours of 9:00 a.m. to 5 p.m. in the lobby of the Hubert H.
Humphrey building located at 200 Independence Avenue SW., in
Washington, DC. When hand-delivering an application, call (202) 401-
3951 from the lobby for pick up. A staff person will be available to
receive applications. Faxed applications will not be accepted.
An application will be considered as meeting the deadline if it is
either: (1) received at, or hand-delivered to, the mailing address on
or before 60 days after publication in the Federal Register, or (2)
postmarked before midnight of the deadline date 60 days after
publication in the Federal Register and received in time to be
considered during the competitive review process.
When mailing applications, applicants are strongly advised to
obtain a legibly dated receipt from a commercial carrier (such as UPS,
Federal Express, etc.) or from the U.S. Postal Service as proof of
mailing by the deadline date. If there is a question as to when an
application was mailed, applicants will be asked to provide proof of
mailing by the deadline date. When proof is not provided, an
application will not be considered for funding. Private metered
postmarks are not acceptable as proof of timely mailing.
Applications which do not meet the deadline are considered late
applications and will not be considered or reviewed in the current
competition. DHHS will send a letter to this effect to each late
applicant.
DHHS reserves the right to extend the deadline for all proposals
due to natural disasters, such as floods, hurricanes or earthquakes; or
if there is a widespread disruption of the mail; or if DHHS determines
a deadline extension to be in the best interest of the government.
However, DHHS will not waive or extend the deadline for any applicant
unless the deadline is waived or extended for all applicants.
G. Disposition of Applications
1. Approval, disapproval, or deferral. On the basis of the review
of the application, the Assistant Secretary will either (a) approve the
application as a whole or in part; (b) disapprove the application; or
(c) defer action on the application for such reasons as lack of funds
or a need for further review.
2. Notification of disposition. The Assistant Secretary will notify
the applicants of the disposition of their applications. If approved, a
signed notification of the award will be sent to the business office
named in the ASPE checklist.
H. Application Instructions and Forms
Copies of applications should be requested from and submitted to:
Grants Officer, Office of the Assistant Secretary for Planning and
Evaluation, Department of Health and Human Services, 200 Independence
Avenue SW., room 405F, Hubert H. Humphrey Building, Washington, DC
20101, Phone (202) 401-3951. Questions concerning the preceding
information should be submitted to the Grants officer at the same
address. Neither questions nor requests for applications should be
submitted after 60 days after publication in the Federal Register.
Applications will not be faxed.
I. Federal Domestic Assistance Catalog
This program is not listed in the Catalog of Federal Domestic
Assistance.
J. State Single Point of Contact (E.O. 12372)
DHHS has determined that this program is not subject to Executive
Order 12372, ``Intergovernmental Review of Federal Programs,'' because
it is a program that is national in scope and does not directly affect
State and local governments. Applicants are not required to seek
intergovernmental review of their applications within the constraints
of EO. 12372.
K. Components of a Complete Application
A compete application consists of the following items in this
order:
1. Application for Federal Assistance (Standard Form 424);
2. budget Information--Non-Construction programs (Standard Form
424A);
3. Assurances--Non-Construction Programs (Standard Form 424B);
4. Table of contents;
5. Budget Justification for Section B Budget Categories;
6. Proof of Non-profit Status, if appropriate;
7. Copy of the applicant's Approved Indirect Cost Rate Agreement,
if necessary;
8. Project Narrative Statement;
9. Any appendices or attachments;
10. Certification Regarding Drug-Free Workplace;
11. Certification Regarding Debarment, Suspension, or other
Responsibility Matters;
12. Certification and, if necessary, disclosure Regarding Lobbying;
13. Supplement to Section II--Key Personal;
14. Application for Federal Assistance Checklist.
Dated: May 5, 1994.
David T. Ellwood,
Assistant Secretary for Planning and Evaluation.
[FR Doc. 94-11842 Filed 5-13-94; 8:45 am]
BILLING CODE 4151-04-M
