[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