[Federal Register Volume 60, Number 104 (Wednesday, May 31, 1995)]
[Notices]
[Pages 28419-28423]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-13220]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Office of the Secretary
Office of the Assistant Secretary for Planning and Evaluation;
Linking State Administrative Data
AGENCY: Office of the Assistant Secretary for Planning and Evaluation,
HHS.
ACTION: Request for applications for grants to support State efforts to
link case-level administrative data across multiple low-income
assistance programs.
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SUMMARY: Recent state efforts to link longitudinal, administrative data
across programs have proven extremely successful. Linked databases have
provided a more thorough understanding of many aspects of both program
participation and the characteristics of individuals who receive
benefits from multiple anti-poverty programs. State-supported efforts
have also provided valuable insight into both inter- and intra-state
variations in program participation. Much of this information would not
have been accessible through national panel data.
While the efforts of individual states have been extremely
valuable, they have been limited to relatively few states. Factors such
as prohibitive cost, lack of necessary staff expertise, and
insufficient time and computational resources have precluded many
interested states from linking their administrative data. Total funding
of up to $200,000 is available to provide one to two interested states
with resources needed to successfully link administrative data and use
it for program management, research and scholarly analysis. It is not
expected that the funding available in this grant will be sufficient
for any state to complete a project that links micro-level
administrative data. Rather, this grant is intended to assist those
states which are interested in linking their administrative data, but
currently lack the resources to successfully complete the project on
their own.
Part I. Linking State Administrative Data
A. Background:
In the last five years, several states have begun assembling
administrative data from income-maintenance and other programs targeted
toward low-income individuals and families for use in policy research
and program evaluation. Most notably, administrative data that has been
linked from a variety of anti-poverty programs has been used to study
characteristics of program participation, multi-service usage, and
caseload dynamics. The results from many of these research initiatives
have provided an extremely useful insight into the characteristics of
program participants, the patterns of multi-service utilization, and
the interactions between multiple programs that provide assistance to
low-income families.
Administrative data also offer more possibilities for in-depth
analysis than do other forms of data, such as national panel data. Many
national studies do not give reliable state-level estimates,
particularly in smaller states with relatively few sampling points. As
a result, it is generally quite difficult to estimate the state-level
effects of national anti-poverty programs. State administrative data
offer the opportunity to study inter- and intra-state comparisons of
government programs, and to examine the extent to which variations in
state anti-poverty programs are successful in serving various client
populations.
Usefulness of Project
The research that has been conducted to date has illustrated the
efficacy in using linked administrative data for research and
evaluation. In the vast majority of states, however, the use of linked
data still remains either untouched or far below what is technically
possible. A study funded by the Department surveyed fifteen states and
determined that, for the majority of the states surveyed, linked
administrative data is a potentially rich source of information about
programs targeted toward low-income populations.
Despite the potential of state administrative data, the
Department's previous findings indicate that linked, state-level
program data still remains a vastly under-utilized source of
information. Many states have both the interest and raw administrative
data necessary to produce longitudinally-linked files at the case or
client level. However, as the process of linking data across programs
and over time is an expensive, iterative process that requires
significant time and expertise, many states lack the capacity to link
their data. Some states lack the computer hardware, software, disk
space, and memory necessary to actually perform the process of linking
data. Other states lack the expertise and staff-time to devote energy
to a research project. Many states face both of these obstacles.
This grant will help the selected states overcome the obstacles
that hinder the process of linking administrative data. For example,
states with limited data- [[Page 28420]] linking experience and
capacity could add the hardware and software needed to link and store
data. States with more experience (such as those which currently
operate linked, research data bases) could use the funds to add
administrative data from additional anti-poverty programs.
Part II. Awardee Responsibilities
Due to the substantial variation among states in the level of
experience and expertise in working with linked administrative data, we
fully expect a wide range of proposals to be submitted. Proposals from
states which currently have linked administrative databases will
obviously differ dramatically from proposals submitted by states with
which have never worked with linked data. Given this, the specific
responsibilities of the awardees may vary. Each state will, however, be
expected to follow the following guidelines:
1. Each applicant must develop the computer systems and technical
capacity necessary to produce longitudinal, linked administrative
micro-level data. The focus of the data may be on cases, households,
clients, filing units, etc., or any combination thereof. For those
applicants which currently have linked data bases, it is expected that
this grant will provide the resources necessary to significantly
enhance their current data systems.
2. Each applicant must link administrative data from at least two
programs that primarily benefit low-income individuals or families. The
states that currently operate linked, administrative research databases
began by focusing on data from the AFDC, Medicaid and Food Stamps
computer systems, largely because these data operating systems for
these programs were fairly compatible due to the interactions between
the programs. States in the early stages of data linking may choose to
focus on these programs, but links between other programs are also
strongly encouraged. Other administrative data that states may choose
to link include: Child welfare and foster care, child support
enforcement, unemployment insurance, vital statistics, disability, SSI
and income tax data. Linkages between these programs are especially
encouraged, as they will likely provide fresh insight into the
interactions over time among these programs.
3. Each applicant must develop the capacity and knowledge necessary
to prepare and standardize data for program management and scholarly
analysis. The data resulting from this grant should be able to support
policy research and program evaluation, and should provide insight into
a variety of policy relevant concerns. Data-sets should support
research into questions concerning (but not limited to) multi-program
participation and usage, interactions between various anti-poverty
programs, caseload dynamics, recidivism, fraud and abuse, and the
demographic, economic and social characteristics of multi-program
participants.
4. In addition to preparing the data in a manner suitable for
program administration and scholarly research, applicants must
demonstrate an ability to actually utilize the data analytically.
Linked administrative data allow for a great variety of analysis. For
example, files linked longitudinally can be studied with event-history
and survivor analysis, methods which are used to understand caseload
dynamics and determine how the sequence of service events affects a
client's outcomes. Additionally, since administrative data typically
have more complete and detailed information than panel data,
administrative data analysis can more accurately assess the demographic
and social characteristics of multi-service users. Administrative data
can also be used to do detailed geographic analysis, which is helpful
in studying whether there are significant variations in service usage
across different administrative regions or across neighborhoods.
It is necessary for applicants to detail exactly how their linked
data can be used for scholarly analysis. States with larger social
service departments may have researchers on staff who possess the
skills necessary to fully explore the data. Other states may wish to
combine their efforts with an academic or policy research organization
with expertise in data analysis. Both of these alternatives, as well as
others, would be acceptable. It is not our intent to limit the
analytical choices of applicants, but rather to ensure that the data
sets created under this grant are used to their full potential.
5. Applicants must obtain written agreements with all state or
county social service departments that will supply the source data. The
agreement should clearly indicate the responsibilities of both the
applicants and the state or county agency, and the willingness of the
parties to work cooperatively. Applicants must also include a plan
which ensures that the resulting linked Data ensure client
confidentiality.
6. Applicants must demonstrate an ongoing commitment to the
project. A principal use of these data is to study current policy
relevant questions about programs for low-income populations. Data for
answering current questions are most useful when they capture current
effects of such programs. Consistent with their on-going commitment to
data linking and analysis, applicants must ensure that both recent
historical data and new case data will be added after the Federal
funding for this project expires.
Part III. Prerequisites, Content of Application, Review Process,
and Evaluation Criteria
A. Prerequisites
Who may apply? We will only accept applications from state
agencies, large urban county agencies, or universities working with
them. This announcement is aimed primarily at states that can link
statewide data bases. Applications will also be considered from large
urban county governments that can clearly demonstrate the ability to
link administrative databases in a way that could provide data of
national policy relevance. University-based research teams that are
working with state agencies to develop linked data bases may apply but
must provide assurances from the state that they are intimately
involved in developing and utilizing the data base for policy purposes.
What data bases? Applicants must clearly demonstrate the ability to
link at least two micro (person, family, or case) files and at least be
in the midst of analyzing data for policy research or evaluation
purposes. Examples of files that have been linked in other situations
are: AFDC, Medicaid, Child Welfare and Foster care, Unemployment
Insurance, Child Support, Individual Income Tax, Vital Statistics, and
Juvenile Courts. At a minimum, linked data bases must allow for at
least three years of longitudinal analysis.
On-going commitment? The state agency responsible for establishing
the linked data system must provide evidence of an on-going commitment
to developing the data base and using it to understand poverty, program
utilization, caseload dynamics, program effectiveness, and other
important aspects of administration of anti-poverty, employment, and
welfare programs. Applicants that do not provide assurances that all
three of these prerequisites will be fulfilled will be unacceptable.
B. Applicant Content
The application shall include the following elements:
1. Abstract
A one page abstract of the project and its
objectives. [[Page 28421]]
2. Goals and Justification for Project
This section will discuss why the agency wishes to undertake the
project and what the short and long-term goals of the project are. The
applicant should discuss the background of what it has been doing to
support linking administrative data bases, the current status of data
base development, and what it expects to accomplish with this project.
It should discuss what analysis will be completed given completion of
the project, the analytical report that will be produced, and what
policy relevance it will have. States should also present their plans,
if any, to produce a public use dataset as a result of this project.
Linking two or more administrative data bases for analytical
purposes is a complicated and difficult endeavor. It often can take
several iterations of refinement to produce a data base that supports
analysis of more than simple descriptive statistics about the caseload.
This section should discuss where the agency is in the evolution of the
linking and embedding policy analysis in the administrative management
of the programs involved. It should contain a discussion of how the
agency will carry on after this funding is exhausted. For applicants
who are not currently linking databases, they should clearly
demonstrate their knowledge of the process, as well as their plans to
obtain the necessary expertise to successfully carry out their proposed
project.
3. Project Design and Approach
In this section, the applicant will discuss what, if any, data are
currently linked, what will be added through this grant, and how it
will be accomplished. This section should describe what variables are
available and will be added, what length of time period is covered,
what kind of data analysis currently can be done, and what analytical
capability will be added by this project. The discussion should make it
clear to the reader what is the structure of the data, what are the
building blocks (individuals, families, households, cases, filing
units, etc.), the universe of state population covered, the types of
variables (demographic, program participation, program dynamics, costs,
etc.) that can be used for analysis. The applicant should also clearly
specify how the micro-level data will be linked and how the
retrospective case files will be assembled. Does a unique identifier
exist that will allow data to be easily linked across programs? If not,
what variable or record-matching technique will be employed? It also
should make clear what information is not available, and the
limitations this poses for policy-relevant analysis.
If applicants are not currently linking any administrative data,
then they should assure reviewers that they have adequate access to at
least three years of recent historical administrative data. Applicants
should also convince reviewers that they have the expertise needed to
complete the project, and also have the commitment to continue linking
administrative data for research, analysis, and program management
purposes.
The treatment of confidentiality and proper disclosure is a very
important issue related to linking data and analyzing it. The
applicants will discuss how they will protect data from improper
disclosure, and how they will facilitate analytical use of sensitive
data. This section will discuss the time table to accomplish this
project. Who will do what, when, and how? It also will discuss what
will be the end product of this project. What sort of report will be
produced? What policy relevance will it have to the state and to DHHS?
4. Organization and Staffing
The application will describe the organization applying for the
grant. If the applicant is a state agency, where does it fit in the
state organization? What are its responsibilities? What are its
capabilities and limitations? How can it assure that this project will
be embedded in the state's policy analysis system?
The applicant will discuss the staffing for the project. Who will
be the project leader? What are the qualifications of the staff and who
will be involved? What are their time commitments to the project and
what other time commitments do they have that might interfere with
successful completion of the project? Personal vita and job
descriptions should be attached as an appendix to the application.
If a university group is involved in the project, the application
will clearly delineate what the responsibilities of the group will be
and how the state agency will exercise control over their work. It will
describe the mechanism (subcontract, etc.) used to procure the
university group services.
5. Budget
This section will include a budget summary and narrative which
describes how the budget supports the research plan. It should show the
financial contribution made or expected by other funding sources, and
the share of total project costs covered by ASPE's grant. It will
discuss how the overall funding level and federal contribution relate
to the successful completion of the project. The actual budget will be
presented on the forms and in accordance with the requirements
discussed in the section entitled ``Components of a Complete
Application.''
6. Commitment of State
Applicants should use this section to completely describe the
resources the state has already committed to the project. If the state
has not yet established support for the project, then applicants should
discuss any future involvement expected of the state. Resources
contributed by the state could include any financial assistance (and
whether it is an outright cash grant or is targeted for a specific
purchase such as computing equipment), allocation of staff or computing
time, technical assistance, and any other relevant contribution.
C. Review Process and Evaluation Criteria
A technical panel of at least three people will review and score
those applications which are submitted by the deadline, and which meet
the screening and prerequisite requirements. The review will be based
on the criteria listed below. The review of the technical proposal and
budget will be used by the Assistant Secretary in making funding
decisions. ASPE reserves the option to discuss the application and the
state agency record of performance with other agencies, Regional Office
staff, and experts who may have information that could assist the
selection process.
The evaluation criteria correspond to the outline for the
development of the Program Narrative Statement of the application.
Although not mandatory, it is strongly recommended that applications be
prepared with the format indicated by this outline.
Selection of the successful applicant(s) will be based on the
technical and financial criteria laid out in this announcement.
Reviewers will determine the strengths and weaknesses of each
application in terms of the evaluation criteria listed below, provide
comments and assign numerical scores. The review panel will prepare a
summary of all applicant scores and strengths/weaknesses and
recommendations and submit it to the Assistant Secretary for Planning
and Evaluation for final decisions on the award.
The point value following each criterion heading indicates the
maximum numerical weight that each section will be given in the review
[[Page 28422]] process. An unacceptable rating on any individual
criterion may render the application unacceptable. Consequently,
applicants should take care to ensure that all criteria are fully
addressed in the applications. Applications will be reviewed as
follows:
(a) Quality of the goals and Project Justification. (See Part B,
Type of Application Requested, Section 2.) (15 points) Applications
will be judged on whether they provide a thoughtful and coherent
discussion of the need for the project and what it will accomplish.
Reviewers will judge applicant's past, current, and future commitment
to linking administrative data for policy analysis, research, and
evaluation. Particular attention will be given to the agency's
commitment to scholarly, policy-relevant work, and their commitment to
producing a public use dataset as a result of this project.
(b) Quality of the project design and approach. (See Part B,
Section 3.) (35 points) Reviewers will judge this section on the basis
of whether the research agenda is scientifically sound and policy
relevant. They will also consider whether the applicant is likely to
make a significant contribution to understanding such important issues
as program utilization and effectiveness, caseload dynamics, types of
clients, and multiple program participation. Applications will be rated
on their plans to conduct policy relevant research and interact with
various levels of government to research and evaluate significant
government initiatives and policies.
Reviewers will assess the completeness of the data bases linked,
population coverage, and the extensiveness of the variables in the data
base. A proposal with more data bases linked will be rated higher than
one with only two program databases, all other factors being constant.
Evidence of data quality control and validity is also extremely
important. Ratings will consider the thoroughness of the discussion of
the database strengths and weaknesses. Reviewers will assess whether
there is appropriate use and protection of sensitive or confidential
data. The type and quality of end product anticipated from this project
will be considered and rated. Finally, reviewers will rate the
feasibility of the workplan and time schedule.
(c) Quality of the staffing proposal and proposed organizational
arrangements. (See Part B, Section 4.) (35 points) Reviewers will judge
applicant's staff on research experience, demonstrated research skills,
public administration experience, and relevant policy-research and
policy-making skills. Ratings may consider references on prior research
projects. Staff time commitments to the project also will be a factor
in the evaluation. Furthermore, reviewers will rate the applicant's
pledge and ability to produce a database capable of supporting policy-
relevant analysis.
Reviewers will evaluate the track record of the lead agency ability
to support scholarly, policy relevant research that can meet the
demands of the academic, research, and policy communities.
If a university group is involved in the project, raters will judge
the administrative relationships between the group and the state agency
and whether the administrative arrangements can assure quality data and
analysis.
(d) Appropriateness of the budget to carry out the planned staffing
and activities. (See Part B, Section 5.) (15 points) Ratings will
consider whether: (a) The budget assures an efficient and effective
allocation of funds to achieve the objectives of this solicitation and
(2) the applicant has appropriate financial commitment from the state
and the university, if one is involved.
State Single Point of Contact (E.O. No. 12372): The Department of
Health and Human Services has determined that this program is not
subject to Executive Order No. 12372, Intergovernmental Review of
Federal Programs, because it is a program that is national in scope and
the only impact on State and local governments would be through
subgrants. Applicants are not required to seek intergovernmental review
of their applications within the constraints of E.O. No. 12372.
Deadline for Submission of Applications: The closing date for
submission of applications under this announcement is July 31, 1995.
Applications must be postmarked or hand-delivered to the application
receipt point no later than 4:30 p.m. on July 31, 1995.
Hand-delivered applications will be accepted Monday through Friday
prior to and on July 31, 1995 during the hours of 9 a.m. to 4:30 p.m.
in the lobby of the Hubert H. Humphrey building located at 200
Independence Avenue, SW., in Washington, DC. When hand-delivering an
application, call 690-8794 from the lobby for pick-up. A staff person
will be available to receive applications.
An application will be considered as meeting the deadline if it is
either: (1) Received at, or hand-delivered to, the mailing address on
or before July 31, 1995, or (2) postmarked before midnight five days
prior to the deadline date July 31, 1995, and received in time to be
considered during the competitive review process (within two weeks of
the deadline date).
When mailing application packages, 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 July 31, 1995, deadline are
considered late applications and will not be considered or reviewed in
the current competition. HHS will send a letter to this effect to each
late applicant.
HHS reserves the right to extend the deadline for all applications
due to acts of God, such as floods, hurricanes or earthquakes; due to
acts of war; if there is widespread disruption of the mail; or if HHS
determines a deadline extension to be in the best of the Government.
However, HHS will not waive or extend the deadline for any applicant
unless the deadline is waived or extended for all applicants.
Applications forms. See section entitled ``Components of a Complete
Application.'' All of these documents must accompany the application
package.
Length of Application. Applications should be brief and concise as
possible, but assure successful communication of the applicant's
proposal to the reviewers. In no case shall an applicant (excluding the
resume appendix and other appropriate attachments) be longer than 25
double-spaced pages; it should neither be unduly elaborate not contain
voluminous supporting documentation.
Disposition of Applications.
1. Approval, disapproval, or deferral. On the basis of the review
of an application, the ASPE will either (a) approve the application in
whole, as revised, or in part for such amount of funds and subject to
such conditions as are deemed necessary or desirable for the initiation
and operation of the data linking project; (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 ASPE will notify the applicants
of the disposition of their application. A signed notification of award
will be [[Page 28423]] issued to notify the applicant of the approved
application.
Components of a Complete Application. A complete application
consists of the following items in this order:
1. Application for Federal Assistance (Standard Form 424, Revised
4-88);
2. Budget Information--Non-construction Programs (Standard Form
424A, Revised 4-88);
3. Assurances--Non-construction Programs (Standard Form 424B,
Revised 4-88);
4. Table of Contents;
5. Budget Justification for Section B--Budget Categories;
6. Proof of non-profit status, if appropriate;
7. Copy of the applicant's approved indirect cost rate agreement if
necessary;
8. Project Narrative Statement, organized in five sections
addressing the following topics:
(a) Understanding of the Effort,
(b) Project Approach,
(c) Staffing Utilization, Staff Background, and Experience,
(d) Organizational Experience, and
(e) Budget Narrative;
9. Any appendices/attachments;
10. Certification Regarding Drug-Free Work place;
11. Certification Regarding Debarment, Suspension and Other
Responsibility Matters; and
12. Certification and, if necessary, Disclosure Regarding Lobbying;
13. Supplement to Section II--Key Personnel; and
14. Application for Federal Assistance Checklist.
Dated: May 22, 1995.
David T. Ellwood,
Assistant Secretary for Planning and Evaluation.
[FR Doc. 95-13220 Filed 5-30-95; 8:45 am]
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