[Federal Register Volume 62, Number 101 (Tuesday, May 27, 1997)]
[Notices]
[Pages 28706-28711]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-13771]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary


Assistant Secretary for Planning and Evaluation, Notice Inviting 
Applications for New Award for Fiscal Year 1997

AGENCY: The Office of the Assistant Secretary for Planning and 
Evaluation (ASPE) and the Administration for Children and Families 
(ACF) of the Department of Health and Human Services (HHS).

ACTION: Announcement of the availability of funds and request for 
applications to research and analyze the economic and health status of 
immigrants, their communities and the organizations that serve them.

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SUMMARY: The purpose of this project is to describe the economic and 
health status of immigrants, their communities and the organizations 
that serve them. Given the recent change in law related to immigrants, 
(to the extent possible) the project should seek to describe the 
effects of the Personal Responsibility and Work Opportunity 
Reconciliation Act (PRWORA) on low-income immigrants, their communities 
and the organizations that serve them, and describe how each of these 
groups or organizations have adapted to the new law. Eligible projects 
should focus on at least two communities with a high concentration of 
immigrants.
    ASPE and ACF with support from the Health Care Financing 
Administration and the Food and Consumer Service intend to fund this 
project for a period of three years. We anticipate total funding of 
approximately $2.5 million over the three-year funding period. This 
project will be funded through a cooperative agreement with the 
Awardee. Cooperative agreements allow for more involvement and 
collaboration by the government in the affairs of the project than 
other grants but it provides less direction of project activities than 
a contract. Although we will entertain either a new community level 
study or an add-on to an existing study in which the Department's funds 
are utilized for the specific purposes outlined in this Announcement, 
we anticipate that it is more likely that we will add-on to an existing 
study. The Terms of Award are in addition to, not in lieu of, otherwise 
applicable guidelines and procedures.

DATES: The deadline for submission of applications under this 
announcement is July 22, 1997.

MAILING ADDRESS: Application instructions and forms 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, D.C. 20201, Telephone: (202) 690-8794. Requests 
for forms and questions (administrative and technical) will be accepted 
and responded to up to 30 days prior to closing date of receipt of 
Applications. Application submissions may not be faxed.

FOR FURTHER INFORMATION CONTACT: Technical questions should be directed 
to Jason Cohen, DHHS, ASPE, Telephone, 202-690-5880. Questions may also 
be faxed to 202-690-6562. Written technical questions should be 
addressed to Mr. Cohen at the following address. Office of the 
Assistant Secretary for Planning and Evaluation, Department of Health 
and Human Services, 200 Independence Avenue, S.W., Room 404E, Hubert H. 
Humphrey Building, Washinton, D.C. 20201, Telephone (202) 690-5880.

SUPPLEMENTARY INFORMATION:

Part I

Legislative Authority

    This cooperative agreement is authorized by the Head Start Act, the 
Older Americans Act of 1965, Section 241 of the Public Health Services 
Act and Section 1110 of the Social Security Act (42 U.S.C. 1310) and 
awards will be made from funds appropriated under Public Law 104-208 
Omnibus Consolidated Appropriation Act for FY 1997.

Eligible Applicants

    Pursuant to section 1110 of the Social Security Act, any public or 
private nonprofit organizations including universities and other 
institutions of higher education, may apply. Applications may also be 
submitted by private for-profit organizations. However, for-profit 
organizations are advised that cooperative agreement funds may not be 
paid as profit to any recipient of a grant or subgrant. Profit is any 
amount in excess of allowable direct and indirect costs of the 
recipient.

[[Page 28707]]

Available Funds

    1. ASPE and ACF anticipate providing $2.5 million over three years 
pursuant to this announcement.
    2. Applications are to include separate estimates for each of the 
three years, if funding levels are expected to be substantially 
different in subsequent years.
    3. Funding for the second and third years of this project is 
subject to future appropriations and approval of the Assistant 
Secretary. ASPE and ACF expect, however, that this project will be 
supported during future fiscal years so that the total award is 
approximately $2.5 million. Although a single award is anticipated, 
nothing in this announcement restricts the ability of the Assistant 
Secretary for Planning and Evaluation to make more than one award or to 
make an award for less money.

Background

    There is a critical need for better information regarding 
immigrants' use of benefits and services, especially better data on the 
economic and health status of immigrant families with children and 
their communities. This project will establish new data and analysis on 
the economic and health conditions of immigrants and their communities, 
and will begin to evaluate the effects of recent changes in legal 
immigrant eligibility for assistance.
    Each of the major data sources is currently inadequate to fully 
estimate the economic and health status of immigrants, or to analyze 
immigrants' utilization of benefits and services. For example, most 
survey based data--including the 1990 Decennial Census, Current 
Population Survey (CPS), the Survey on Income and Program Participation 
(SIPP), and the Panel Survey on Income Dynamics (PSID)--do not provide 
enough detail regarding noncitizen status to differentiate among 
immigrant categories (e.g., legal permanent residents, refugees/
asylees, parolees, illegal immigrants, temporary residents, etc.). 
Information that differentiates immigrants by their immigration or 
citizenship status is critical. For example, under PRWORA certain 
noncitizens such as refugees and asylees retain some eligibility for 
federal and state benefits while other non-citizens including illegal 
immigrants have never been eligible for most benefits.
    Another limitation of the CPS, SIPP, and PSID surveys are that due 
to sample size they can only provide reliable national level estimates 
that do not permit subgroup analysis for different categories of 
immigrants. While both the Census and CPS gather health insurance 
information that distinguish between Medicare, Medicaid, and state 
health insurance program participation comparisons with Administrative 
data suggest that there are some limitations to these health coverage 
estimates. The SIPP and PSID longitudinal surveys contain detailed and 
useful information on individual and family income and program 
participation. However, both surveys provide only national estimates. 
The CPS, SIPP and PSID have recently added additional questions that 
should provide better estimates of types of noncitizens in the near 
future.
    While the 1990 Decennial Census has noncitizen sample sizes 
sufficient to generate state and local level estimates, its measurement 
of cash ``public assistance'' combines Aid to Families with Dependent 
Children (AFDC), Supplemental Security Income (SSI), and state/local 
general assistance. Moreover, the 1990 Decennial Census data lack 
information on non-cash assistance, including food stamp benefits. 
Finally, major health-related surveys such as the National Health 
Interview Survey (NHIS) and the new Medical Expenditure Panel Survey 
(MEPS) do not include citizenship and immigration status variables.
    In contrast to these survey-based data sources, there are some 
administrative data sources that provide information about immigrant 
benefit utilization. The principal advantages of these data sets are 
that they provide a more reliable estimate of individuals receiving 
benefits compared to survey data, and they differentiate among 
different types of immigrants. In particular, SSI administrative data 
are useful in estimating the receipt of SSI by different immigrants 
(i.e., naturalized citizens, legal permanent residents, refugees, 
asylees, parolees, etc.). Similarly, AFDC and Food Stamp Quality 
Control (QC) administrative data provide estimates of different types 
of immigrants. However, AFDC and Food Stamps data are not as reliable 
as SSI data since they are based on smaller samples of administrative 
data collected by states. All of these administrative data sets do not 
account accurately for changes in immigrants' status--either to another 
immigration status, or to naturalized citizen. In addition, they only 
yield reliable state level immigrant estimates for states with a large 
number of immigrants receiving benefits. Also, administrative data 
sources only provide data on program participants. Information 
regarding non-citizens that become ineligible for benefits will not 
longer be captured by administrative data.
    While documenting the economic and health status of immigrants 
would prove valuable even in the absence of recent legislation, the new 
welfare law makes additional data collection and analysis describing 
the condition of this population imperative. In the past, immigration 
legislation has regulated immigration by limiting the types and number 
of immigrants allowed entry; PRWORA however, marks a new direction in 
modern U.S. immigrant policies by establishing a federal policy that 
excludes many newcomers from major assistance programs based solely on 
their immigrant status.
    The immigrant eligibility provisions within PRWORA are very 
complex. After August 1997, legal permanent resident aliens currently 
receiving SSI and food stamp benefits residing in the U.S. prior to 
passage of PRWORA on August 22, 1996 will lose eligibility unless they 
become U.S. citizens, can show proof that they were admitted as a 
refugee or an asylee within the past five years, have worked for 10 
years in this country (or were married to a worker or the minor child 
of a worker) or have served in the U.S. Armed Forces. New applicants 
lost eligibility for SSI and food stamps in September 1996, unless they 
met one of the criteria listed above. Legal immigrants admitted after 
September 1996 are barred from a variety of other Federal and State 
benefits. States also have the option of barring legal permanent 
resident aliens from TANF and Medicaid.
    The Congressional Budget Office (CBO) has estimated that nearly 
one-half of the savings, or $23.8 billion, from welfare reform will be 
due to the immigrant eligibility restrictions. While the numbers of 
immigrants losing benefits from TANF and Medicaid are uncertain because 
it is not known which States will provide these benefits to legal 
resident aliens, CBO estimated that by August 22, 1997 half a million 
elderly and disabled beneficiaries will be terminated from the SSI 
program; almost a million immigrants will lose food stamps.
    At the time of this writing, a tentative budget agreement has been 
reached that would restore benefits to some immigrants. While the 
particular policy details have not yet been totally resolved, it 
appears that at a minimum, current recipients, children and those with 
old affidavits of support who are disabled after entry will remain 
eligible to receive SSI and Medicaid. In addition, refugees and asylees 
will remain eligible for SSI and Medicaid for seven years. While this 
agreement would restore benefits for some immigrants, there would 
remain many

[[Page 28708]]

immigrants whose eligibility for benefits would be in jeopardy.
    The limitations of both administrative and survey data described 
above indicate the critical need for additional information on 
immigrants and their communities, particularly information which can 
differentiate among different types of immigrants, describe their 
health and economic status, and provide estimates of benefit 
utilization and health insurance status. This project would provide 
useful data for researchers to conduct secondary analysis and critical 
information to policy makers as they consider policies regarding this 
population in the future. The significant change in law with respect to 
immigrants makes it even more important that this information be 
gathered and analyzed quickly. As noted above, many of the provisions 
related to immigrants are already in effect making it even more 
important to gather information regarding immigrants' economic and 
health status as the law becomes fully implemented and to examine how 
conditions change as a result of the new law.
    This project should also measure the food security of immigrants. 
For many immigrants, the loss of cash assistance and food stamps may 
lead to increased hardship in meeting their economic and food needs. 
The Food and Consumer Service has coordinated the development of a 
standardized national survey instrument for measuring the prevalence 
and severity of food insecurity and hunger in U.S. households. These 
concepts have evolved into widely accepted definitions within the 
scientific and food policy communities in recent years and these 
questions are now being used in the national surveys described above.
    It is also important to describe how immigrant families interact 
with community organizations and service providers. Many of these 
organizations currently play a vital role in providing support to 
immigrant families and may be called upon for additional support in the 
aftermath of the new welfare law. For example, since many legal 
immigrants may no longer be eligible for regular Medicaid health 
coverage it will be important to understand the impact on hospitals and 
other service providers, how they react in response to the change in 
law and how it affects the health of immigrants themselves. Similarly, 
community organizations (e.g., mutual assistance associations) and 
religious institutions often play an important role in the lives of 
immigrant families. This project will seek to improve our understanding 
of that role and how it is affected by the change in law.

Part II--Purpose and Responsibilities

Purpose

    The purpose of this cooperative agreement is to fund a research 
project that will describe the economic and health status of 
immigrants, their communities and the organizations that serve them. 
The project should also (to the extent possible) describe the effects 
of the Personal Responsibility and Work Opportunity Reconciliation Act 
(PRWORA) on low-income immigrant families with children, their 
communities, and the health and human service organizations serving 
them and describe how each is adapting to welfare reform.

Grantee Responsibilities

    1. The Grantee should propose a project that will be able to 
describe conditions within the topic areas underlined below. The 
project should explore the relationships among immigrant families 
(including children and the elderly), service providers, and community 
organizations within each topic. Questions listed next to each topic 
suggest the type of information in which ASPE and ACF have particular 
interest. To the extent possible, the project should also examine 
PRWORA's impact on each of these areas.
     Employment: More specific research questions could include 
the following: What type of jobs do immigrants hold? How long do they 
stay in their jobs? What level of wages do they receive and how much do 
they receive in total earnings? What fringe benefits do they receive 
from their employers? What are the child care arrangements for employed 
immigrants?
     Immigrants' Income/Assistance: What are their sources of 
income and how much do they receive from each source? What means-tested 
and other public benefits and assistance do they receive? What is the 
ratio of assistance to total income? What types of assistance and 
services are received and from whom (public or private service 
providers, friends, family, etc.)?
     Immigrant Service Provider Financing: How has service 
provider financing been affected by changes in immigrants' eligibility 
for services, such as Medicaid, and has this affected service delivery 
and if so, how?
     Health Status: What is the health status of immigrants 
within each community? How do adult and child immigrants fare on the 
major health indicators? What types of health insurance coverage are 
available to and accessed by immigrants and their families?
     Access to Services: Do immigrants have adequate access to 
health and human services? Are there any unmet needs due to access 
limitations? To what extent is access to services determined by 
eligibility for benefits?
     Food Security: What is the level of food insecurity and 
hunger among immigrants? What is the demand for community-based food 
assistance? What sources do immigrants turn to in order to meet their 
food needs?
     Role of Community Organizations: What type and how much 
assistance do immigrants receive from community organizations including 
religious institutions? How have these organizations helped immigrants 
adapt to the new welfare law?
    There is reason to believe that PRWORA may significantly affect 
immigrants' economic and health status making it even more important to 
examine how their conditions change as the law becomes fully 
implemented. Special consideration will be given to projects that 
demonstrate that they will make a concerted effort to examine the 
impact of the new law on immigrants and their service providers. ASPE 
and ACF are particularly interested in immigrant households that 
received SSI, Medicaid, and/or food stamps prior to enactment of PRWORA 
but have since become ineligible for benefits due to the new law.
    Eligible projects should focus on at least two communities with 
high densities of immigrants. It is desirable to understand the 
conditions and adaptation to the new law of as many different immigrant 
groups as possible given the constraints of available funds. Selecting 
sites with different local welfare reform policies regarding immigrants 
is encouraged.
    The project should attempt to describe conditions for all members 
of the immigrants' household and should distinguish household members' 
conditions by immigration and citizenship status as well as length of 
stay in this country. To the extent possible, information on 
immigration status should include information on the immigrant's 
sponsors, if applicable.
    The project should also answer the relevant research questions 
above from the standpoint of service providers and community 
organizations. This could be accomplished either through an 
ethnographic study, conducting interviews or by examining 
administrative records. These organizations could include, but are not 
limited to, hospitals, clinics, Head Start centers, social service 
providers, child

[[Page 28709]]

care facilities, Mutual Assistance Associations and public health 
authorities. Information from these organizations should describe the 
relationship between immigrant families and the community, the types of 
support community organizations provide to immigrant families, and, to 
the extent possible, how these organizations respond to PRWORA 
including outreach efforts to explain changes in law to beneficiaries.
    2. In the spirit of the cooperative agreement, the Grantee should 
provide monthly updates to inform the Federal Project Officer of 
research developments and the status of project activities.
    3. With input from the Federal Project Officer, the Grantee should 
select an Advisory Panel to provide guidance in project development. 
The Advisory Panel may participate in subsequent meetings between the 
Federal Project Officer and the Grantee. The Grantee may be responsible 
for the Advisory Board's travel and related expenses, if any.
    4. Prior to completion of the work plan (analysis plan), the 
Grantee should meet with relevant federal personnel in Washington, D.C. 
to discuss the preliminary methodology and design of the research 
project including what research questions will be answered and what 
methodology the Grantee will employ to answer the questions. Federal 
personnel will have the opportunity to provide input and suggestions in 
these areas. If this project is an add-on to an existing project, the 
Federal Project Officer should be invited to participate in other 
meetings in which the Grantee is involved in discussions regarding 
critical aspects of the project with other funders.
    5. After consultation, the Grantee should submit a final work plan 
that is based on and updates the work plan submitted in the original 
application. The plan should include the following:
    (a) Complete list of research questions the project will answer and 
the variables that will be used to answer each question. These 
variables could include (but are not limited to) immigration status and 
demographic information for all members of the household including 
family structure; income level and source; benefit eligibility and 
history, employment history; health status, health insurance.
    (b) Identify and describe the methodology used to gather 
information on immigrants and communities with respect to these 
variables and the analysis to be performed.
    (c) Identify how the proposed variables and data sets will be used 
by the Grantee to answer the research questions described in the work 
plan.
    (d) Identify the methodology the Grantee will use to analyze the 
effect of local economic, demographic and programmatic changes on 
immigrants' economic and health conditions.
    (e) Identify important questions/issues for which data currently 
are not available, and strategies for dealing with this lack of data 
when it pertains to the research questions in the work plan.
    (f) Describe the results that will be produced and construct table 
shells illustrating how these results will be presented.
    6. Once initial data analyses have been conducted, the Grantee 
should meet with relevant federal personnel in Washington, D.C. to 
discuss preliminary findings and the format for the final report. In 
the spirit of a cooperative agreement, the Grantee should work with 
Federal personnel to determine the need for additional data collection 
or analysis.
    7. After completing their analysis, the Grantee will prepare a 
final report describing the procedures used to conduct the analysis, 
barriers encountered in completing the project and the results of their 
analysis. A draft of this report should be delivered to the Federal 
project officer before the completion of the project. The Federal 
Project Officer will return comments on the draft report to the Grantee 
and a final report that reflects the comments of the Federal Project 
Officer should be delivered to the Grants Officer before the completion 
of the project. The report should be provided to the Grants Officer 
both in hard copy and on 3.5'' floppy disk in a format that is agreed 
upon by both parties.
    8. Following the completion of the final report, the Grantee should 
conduct a briefing in Washington, D.C. for Federal personnel regarding 
the results of the analyses. The Grantee should be responsible for 
assembling and copying any necessary briefing materials. The briefing 
should take place before the completion of the project.
    9. The Grantee will make data and analysis completed as a result of 
this project available to the research community and the government 
through a public-use data file.

ASPE Responsibilities

    1. Provide input into the final work plan, including methodology, 
design, and dissemination plan.
    2. Provide consultation and technical assistance in planning, and 
operating program activities.
    3. Work with the Grantee to determine appropriate data analysis.
    4. Assist in the transfer of information to appropriate Federal, 
state and local entities.
    5. Review Grantee activities and provide feedback to ensure that 
objectives and award conditions are being met. ASPE retains the right 
to withhold future year funding if technical performance requirements 
are not met.

Part III--Application Preparation and Evaluation Criteria

    This section contains information on the preparation of 
applications for submission under this announcement, on the forms 
necessary for submission, and on the evaluation criteria under which 
the applications will be reviewed. Potential applicants should read 
this section carefully in conjunction with the information provided 
above. 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 should include the following elements:
    1. Abstract: A one page summary of the proposed project.
    2. Goals and objective of the project: An overview that describes 
(1) the project, (2) the specific research questions to be 
investigated, (3) proposed accomplishments, and (4) knowledge and 
information to be gained from the project by the applicant, the 
government, and the research community.
    3. Methodology and Design: Provide a description and justification 
of how the proposed research project will be implemented, including 
methodologies, chosen approach, data, expected legal and immigrant 
status of the population studied, and proposed research and analytic 
plans. Describe how the design will distinguish information by 
immigrant and citizenship status.
    Identify theoretical or empirical basis for the methodology and 
approach proposed. Explain how results will be compared across sites 
and to the overall population. Specify how the study will protect the 
confidentiality of subjects (including legal and illegal) and the 
information they provide. Describe how the project will address 
potential difficulties in studying the immigrant population such as 
recruitment challenges and language and cultural differences, if 
applicable.
    4. Experience, capacity, qualifications, and use of staff: Briefly 
describe the applicant's organizational capabilities and experience in 
conducting pertinent research projects. Identify the key staff who are 
expected

[[Page 28710]]

to carry out the research project and provide a curriculum vitae for 
each person. Provide a discussion of how key staff will contribute to 
the success of the project. Demonstrate an ability to address language 
and cultural issues that may arise in working with nonnative 
populations.
    Applicants may also choose to work with other researchers with a 
particular desired expertise such as health services researchers. If 
the applicant plans to contract for outside staff for this project, the 
relationship and commitment of these people to the applicant 
organization should be demonstrated.
    Applicants should demonstrate access to computer hardware and 
software for storing and analyzing the data necessary to complete this 
project.
    5. Work plan: A work plan should be included which describes the 
start and end dates of the project, the responsibilities of each of the 
key staff, and a time line which indicates the sequence of tasks 
necessary for the completion of the project. It should identify other 
time commitments of key staff members such as other projects and/or 
teaching or managerial responsibilities. The work plan should include a 
discussion of plans for dissemination of the results of the study, 
e.g., articles in journals and presentations at conferences.
    6. Budget: Applicants must submit a request for federal funds using 
Standard Form 424A and include a detailed breakdown of all Federal line 
items. A narrative explanation of the budget should be included which 
explains fund usage in more detail. The applicant should clearly state 
how the funds associated with this announcement will be used and 
describe the extent to which these funds will be used for purposes that 
would not otherwise be incorporated within the project. The applicant 
should also document the level of funding from other sources and 
describe how these funds will be utilized.

Review Process and Funding Information

    A Federal panel will review and score all applications that are 
submitted by the deadline date and which meet the screening criteria 
(all information and documents as required by this Announcement.) The 
panel will review the applications using the evaluation criteria listed 
below to score each application. These review results will be the 
primary element used by the ASPE in making funding decisions. The 
Department reserves the option to discuss applications with other 
Federal or State staff, specialists, experts and the general public. 
Comments from these sources, along with those of the reviewers, will be 
kept from inappropriate disclosure and may be considered in making an 
award decision.

State Single Point of Contact (E.O. No. 12372)

    DHHS has determined that this program is not subject to Executive 
Order 12372, ``Intergovernmental Review of Federal Programs.'' 
Applicants are not required to seek intergovernmental review of their 
applications within the constraints of E.O. 12372.

Deadline for Submission of Applications

    The closing date for submittal of applications under this 
announcement is July 22, 1997. Hand-delivered applications will be 
accepted Monday through Friday, excluding Federal holidays during the 
working hours of 9:00 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 (202) 690-
8794 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 July 22, 1997, or (2) postmarked before midnight July 22, 1997 
and received in time to be considered during the competitive review 
process (within two weeks of the deadline date).
    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.

Application 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, D.C. 
20201, Telephone: (202) 690-8794. Requests for forms and questions 
(administrative and technical) will be accepted and responded to up to 
30 days prior to closing date of receipt of applications. Applications 
will not be faxed.
    Also see section entitled ``Components of a Complete Application.'' 
All of these documents must accompany the application package.

Length of Application

    Applications should be as brief as possible but should assure 
successful communication of the applicant's proposal to the reviewers. 
In no case shall an application (excluding the resumes, appendix and 
other appropriate attachments) be longer than 30 single spaced pages. 
Applications should be neither unduly elaborate nor contain voluminous 
supporting documentation.

Selection Process and Evaluation Criteria

    Selection of the successful applicant will be based on the 
technical and financial criteria described 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 ASPE 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 
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:
    Three (3) copies of each application are required. Applicants are 
encouraged to send an additional seven (7) copies of

[[Page 28711]]

their application to ease processing, but applicants will not be 
penalized if these extra copies are not included.
    Applications will be judged according to the criteria set forth 
below:
    1. Goals, Objectives, and Potential Usefulness of the Analyses (20 
points). The potential usefulness of the objectives and how the 
anticipated results of the proposed project will advance policy 
knowledge and development. Applicants will be judged on the extent to 
which the proposed research questions address the required topics 
listed in this announcement and whether answers to these questions will 
effectively describe the economic and health status of immigrants, 
their communities and the organizations that serve them. Special 
consideration will be given to projects that demonstrate that they will 
make a concerted effort to describe economic and health status changes, 
if any, in the aftermath of the new law.
    2. Quality and Soundness of Methodology and Design (40 points). The 
appropriateness, soundness, and cost-effectiveness of the methodology, 
including the research design, statistical techniques, analytical 
strategies, selection of existing data sets, and other procedures. 
Reviewers will evaluate the sites selected for the study on the basis 
of the concentration of immigrants living there, the diversity of the 
immigrant population both in country of origin and their immigration 
status, and in diversity between sites in terms of local welfare reform 
policies. Special consideration will be granted to proposals that seek 
to examine more sites with a greater diversity of immigrants and 
greater variation in local policy parameters without compromising the 
research questions to be answered or the methodology to be employed.
    Reviewers will also judge whether the proposed methodology is 
likely to accurately describe immigrants' status as suggested by the 
topics listed in Part II of this announcement and provide descriptions 
by immigrant and citizenship status. Reviewers will rate the extent to 
which the methodology employs standard definitions and variables for 
answering our research questions that are comparable to definitions and 
variables used in nationally recognized assessment tools such as the 
CPS, SIPP, NHIS, and MEPS. Reviewers will also examine whether the 
proposed methodology will accurately describe the interaction between 
immigrants, their communities and service providers. To the extent that 
projects seek to examine the effects of PRWORA, reviewers will also 
judge the ability of the applicant's proposed methodology to reliably 
attribute impacts.
    3. Qualifications of Personnel and Organizational Capability. (20 
points). The qualifications of the project personnel for conducting the 
proposed research as evidenced by professional training and experience, 
and the capacity of the organization to provide the infrastructure and 
support necessary for the project. Reviewers will evaluate the 
applicant's principal investigator and staff on research experience and 
demonstrated research skills. Ratings may consider references on prior 
research projects. Principal investigator and staff time commitments 
also will be a factor in the evaluation. Special consideration will be 
given to applicants that collaborate with organizations that frequently 
work with immigrant populations. Reviewers will rate the applicant's 
pledge and ability to work in collaboration with other scholars or 
organizations in search of similar goals. Reviewers also will evaluate 
the applicant's demonstrated capacity to work with a range of 
government agencies.
    4. Ability of the Work Plan and Budget to Successfully Achieve the 
Project's Objectives. (20 points). Reviewers will examine if the work 
plan and budget are reasonable and sufficient to ensure timely 
implementation and completion of the study and whether the applicant 
demonstrates an adequate level of understanding by the applicant of the 
practical problems of conducting such a project. Reviewers will judge 
whether there is an ``added benefit'' from providing these funds. In 
other words, is the applicant using federal funds for purposes that 
would not otherwise be funded. Reviewers will also consider whether the 
budget assures an efficient and effective allocation of funds to 
achieve the objectives of this solicitation and whether the application 
has additional funding from other sources. Eligible projects must have 
at least $500,000 from other sources and document the source(s) of 
these funds (certification, letter of intent, etc.). Applicants without 
these funds or the documentation that certifies these funds will be 
ineligible to receive any points in this category.

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 for Planning and Evaluation 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.

Components of a Complete Application

    A complete 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 Personnel;
    14. Application for Federal Assistance Checklist.

    Dated: May 20, 1997.
David F. Garrison,
Principal Deputy Assistant Secretary for Planning and Evaluation.
[FR Doc. 97-13771 Filed 5-23-97; 8:45 am]
BILLING CODE 4151-04-P