[Federal Register Volume 62, Number 118 (Thursday, June 19, 1997)]
[Notices]
[Pages 33411-33417]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-16083]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES


Office of the Assistant Secretary for Planning and Evaluation; 
Supporting State Efforts to Link Administrative Data Systems for the 
Purpose of Studying the Effects of Welfare Reform on Other State and 
Federal Public Assistance Programs

AGENCY: Office of the Assistant Secretary for Planning and Evaluation, 
HHS.

ACTION: Request for grant applications from states to link their 
administrative program data for the purposes of studying the effects of 
the newly implemented Temporary Assistance for Needy Families (TANF) 
program on recipients and on other state and federal governmental 
assistance programs.

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SUMMARY: The Office of the Assistant Secretary for Planning and 
Evaluation (ASPE) announces the availability of funds and invites 
applications for data linking projects that will allow for improved 
program management,

[[Page 33412]]

monitoring, and research and evaluation activities. The primary purpose 
of this grant is to provide states with funding that will enable them 
to link administrative program data from TANF and related State welfare 
programs with administrative data from at least one other source. The 
resulting data set can then be used to support research into the 
effects of TANF on recipients and other government programs. While 
efforts may be targeted in any area where there is potential 
interaction between TANF and other government programs, ASPE has 
identified six specific areas of policy interest. These areas are 
outlined in section II, Topics of Priority Interest.

CLOSING DATE: The closing date for submitting applications under this 
announcement is August 18, 1997.

FOR APPLICATION KITS OR FURTHER INFORMATION CONTACT: Administrative 
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, Phone 
(202) 401-6639.

Part I. Background and Purpose

A. Background

    On August 22, 1996, President Clinton signed into law the Personal 
Responsibility and Work Opportunity Reconciliation Act (PRWORA) of 
1996. This law terminated the 61 year-old Aid to Families with 
Dependent Children program and several related, smaller programs. In 
its place, the PRWORA established a federal block grant, which gives 
states great flexibility to develop their own programs and strategies 
for providing assistance to the poor. Over time, state programs 
targeted toward the poor are likely to diverge in the new block grant 
environment. Over the coming years, it will become increasingly 
important to understand the effects of these changes on recipients, 
caseloads, and state and federal budgets, in order to assess the need 
for and scope of future state and federal welfare policy. It will also 
be important to understand the ways in which the varying TANF programs 
affect other state and federal programs targeted toward the poor. For 
example, do a state's changes to its welfare programs improve the 
access and utilization of medical care among poor children? Does a 
state's TANF program result in more children being abused, neglected, 
and placed in the homes of relatives, thereby increasing the burden on 
the child welfare system? Are new state programs more effective at 
targeting victims of domestic violence, and offering services and 
supports for victims who are so identified?
    State administrative program data offer a potentially rich source 
of information on the welfare population. They can therefore be used to 
answer many of the questions surrounding the effects of the new welfare 
law. Several states have been linking their administrative program data 
from a variety of anti-poverty programs for many years, while other 
states have begun more recently. These databases have provided valuable 
insight into the characteristics of people served by assistance 
programs, how program participation varies across different groups of 
individuals, and how individuals access and utilize multiple services 
over time. ASPE believes that these databases will prove valuable in 
analyzing the collateral effects that TANF may have on recipients and 
on other state and federal programs.

B. Purpose

    Given that linked administrative program data have a tremendous 
potential for assessing the impact of TANF on recipients and other 
programs, the primary purpose of this grant is to provide states with 
the necessary funding to link administrative program data from the TANF 
program with administrative data from at least one other source in 
order to address at least one policy relevant topic. The resulting data 
set can then be used by the state to examine the interactions between 
TANF and other governmental programs. For states that do not currently 
have a database which contains linked program data, this grant will 
provide the seed money and impetus for its creation. For states which 
do have such a database, this funding can enable the state to add 
administrative data from programs that are not currently represented in 
the database. While the grant only requires TANF data to be linked with 
data from one other program, preference will be given to projects which 
would link data from multiple programs, as such projects would likely 
provide a greater understanding of how TANF interacts with multiple 
programs.
    Applicants should also consider the time-frame of the information 
to be included in the database. All projects must include case-level 
information collected under the new law, which was signed in August of 
1996 (states are required to convert to their TANF plans by July 1, 
1997). However, preference will be given to those projects which 
include historical data, so that comparisons can be drawn between prior 
state AFDC programs--and their relationship to other assistance 
programs--and new TANF programs.
    Note that while a completed research product is not required under 
this grant, eligible proposals must include a detailed research agenda 
applicable to the resulting data. This must include the names of 
qualified researchers who have expressed interest in analyzing the data 
set. Letters of support from interested researchers and their 
respective institutions are also strongly encouraged.

C. Eligible Applicants and Funding

    We are specifically seeking proposals from state agencies which 
operate either a TANF program or another state or federal assistance 
program targeted toward the poor. Counties with a total population of 
at least 500,000 which operate a county-based welfare system may also 
apply. Applicants must also have and present proof of a state-wide (or 
where appropriate, county-wide) database that links micro-level 
administrative program data from at least two programs serving low-
income children and families. If an applicant does not currently have 
such a database, then the applicant must present proof that such a 
database will be operational and maintained subsequent to the 
completion of this project.
    Approximately $400,000 is available with funds appropriated for 
fiscal year 1997. It is expected that approximately 4 awards at an 
average of $100,000 for 12 months will be awarded. More projects may be 
funded if additional funding becomes available in fiscal year 1998.

Part II. Topics of Priority Interest

    These grants are designed to support state efforts to improve their 
data infrastructure so that they can better assess the impacts of 
welfare reform on other state and federal programs, as well as on 
recipients. There are, therefore, no specific limitations as to the 
topical areas that applicants may apply to explore with linked 
administrative data. The following section contains six areas of 
particular interest that ASPE has identified as relevant in the context 
of the new welfare law. While each of the topical areas present a range 
of issues, the possible research questions are in no way meant to be 
exhaustive. If prospective applicants have additional questions which 
they feel are relevant within the context of welfare reform and its 
effect on other assistance programs--for example, the use of 
administrative data to assess program use for children who have lost 
SSI benefits--they are

[[Page 33413]]

encouraged to raise them in their proposal.
    ASPE also understands that there is a great degree of variation in 
the amount and scope of administrative program data that states 
collect. It is therefore highly unlikely that every state would have 
administrative data related to all of the issues and questions raised 
in the following section. These issues are only meant as a guide to 
assist prospective applicants in framing the scope of data to be linked 
under this grant. Additionally, projects are not limited solely to 
administrative data. Where appropriate and feasible, applicants may 
choose to link their administrative data with either survey data or 
other available data.

I. Supporting Services in the Transition From Welfare to Work

    The new legislation establishes a five year time limit for the 
receipt of federal TANF assistance, and a requirement that all able-
bodied caretaker recipients enroll in a work or work-training program 
after two cumulative years of aid. This increased emphasis on work 
raises questions as to whether states can provide sufficient services 
to support the transition from welfare to work. Of specific concern are 
assistance programs other than TANF, such as Medicaid and Food Stamps, 
which recipients can use while transitioning between welfare and work. 
The accessibility and affordability of quality child care are also 
important determinants of the ability to leave welfare permanently.
Medicaid and Food Stamps
    For TANF recipients who leave welfare, either for work or as the 
result of a sanction or time limit, Medicaid and Food Stamps are likely 
to assume even greater importance as transitional support mechanisms. 
Both programs offer forms of assistance after eligibility for TANF has 
expired. By linking individual level case data from both Medicaid and 
Food Stamps, it may be possible to examine how TANF recipients combine 
assistance from multiple programs, and how the combination of benefits 
from these programs affects exits from welfare and/or sustained 
financial independence.
    Analysis of linked administrative data may also contribute to our 
understanding of how welfare reform affects participation in both the 
Medicaid and Food Stamps programs. If states make changes in Medicaid 
eligibility, for example, how do these changes affect program 
enrollment, participation patterns, and service utilization? 
Additionally, many states are considering welfare diversion programs, 
which would provide up-front cash assistance, in the hopes that a one-
time cash payment may eliminate the need for on-going TANF assistance. 
Administrative data may also support analysis of the relationship 
between diversion programs and participation in Medicaid and Food 
Stamps.
Child Care
    The provision of child care is also a critical support service of 
any state TANF program. Just as with work programs, the new legislation 
gives states considerably more latitude in how they provide and fund 
child care. There are several groups of families that may be affected 
by child care: current welfare recipients enrolled in work programs, 
former recipients who are transitioning from welfare to work, and 
families who are at-risk of entering welfare. There are several 
important questions and concerns about the provision of child care for 
all of these groups.
     Basic types of care arrangements: To what extent is child 
care available for people required to work and what are the most common 
arrangements? What is the quality of each of these arrangements? How do 
the patterns of usage vary among recipients enrolled in work programs 
and former recipients no longer receiving welfare services? What are 
the subsidy rates available for each group? To what extent are eligible 
recipients taking advantage of services?
     Welfare exits and child care: What is the effect of 
welfare exits on child care? How do child care arrangements change once 
people leave welfare, either via work or because they have been removed 
from welfare due to sanctions or time limits? If child care funding is 
limited for families transitioning off of welfare, where do the 
children receive services, and what are the budgetary implications of 
providing these services?
Child Support
    While cooperation with child support was a requirement under AFDC, 
changes under TANF both decrease and increase child support's 
importance to low income families. In states that choose to eliminate 
the $50 disregard, payment of child support becomes irrelevant to the 
income of families receiving cash TANF payments. This change could 
decrease the willingness of both resident and non-resident parents to 
cooperate with the child support system, even though the requirements 
for cooperation with the program for TANF and Food Stamp program 
recipients have increased However, for families reaching the TANF time-
limits or trying to minimize the receipt of TANF cash payments, child 
support can be an important supplement to low-wage or part-time 
employment and in some cases may make it possible for families to 
bridge short periods of unemployment without resorting to TANF cash 
payments. It is important to understand how these changes in child 
support policy affect the behavior of both resident and non-resident 
parents in cooperating with child support, in viewing the fairness of 
work activity which may require recipients to work off TANF benefits 
already recouped through child support payments, in using child support 
as an income supplement to low wages, and in the non-resident parent's 
provision of financial and non-financial support for his family.

II. Relationships Between TANF and the Child Welfare System

    It is possible that welfare reform will create additional financial 
and social stress for many families, particularly those of long term 
welfare recipients. Among the possible manifestations of such stress, 
including the curtailing of welfare as an income source for some 
household heads, are child neglect and abuse and the short-or long-term 
dissolution of some particularly fragile families. Transfer of custody 
of some children to grandparents or other relatives may also become a 
more attractive option for parents whose benefits are sanctioned or who 
become ineligible for assistance because of time limits or other 
restrictions.
    Are changes in child living arrangements correlated with the 
imposition of time limits, sanctions, and work requirements? For 
instance, are increasing numbers/proportions of children cared for by 
relatives other than parents (either as assistance units headed by 
relatives or as child-only assistance units)? Or are increasing 
numbers/proportions of children neglected or abused, or entering foster 
care, following the elimination of financial assistance to a family? 
Linkages between welfare program administrative data and child welfare 
data systems may assist in the investigation of such questions.

III. Impact of Teen Pregnancy and the Provision of Services to Teen 
Parents

    The PRWORA requires that any minor teen parent who is receiving 
federally funded TANF services must live at home or in an adult 
supervised setting unless there is a good cause exemption. It will be 
important to determine how this affects both the population of teens 
who are currently receiving welfare

[[Page 33414]]

services, and also those teens who will become pregnant and may require 
TANF services subsequent to a state's implementation of TANF. For 
example, what are the positive and negative consequences of this 
provision? Are more teens living in supervised settings and completing 
high school? Are teens losing welfare benefits or failing to qualify 
for them because of non-compliance with this provision? If so, then how 
many of these teens, and how many of their children, will instead 
require services through other social service programs, such as the 
child welfare system?
    Additionally, since potential harm to the teen or her child would 
qualify as a good cause exemption, there may be an increase in the 
reporting of child abuse and neglect. Linking TANF data with 
information from both child abuse and neglect reporting systems and 
from child welfare systems will help clarify the effects of TANF on 
teen parents receiving TANF services.
    The new law also permits states to use TANF funds for family 
planning and abstinence education. Through linking TANF data with 
information from the providers of these services, a state could begin 
to examine how these funds are being used and how adequately they are 
being targeted toward TANF families. Additionally, if TANF data are 
linked with Medicaid or Vital Statistics data, then a state could 
assess how effective these services are with respect to decreasing teen 
pregnancies among welfare recipients.

IV. Impact of TANF on Out-Of-Wedlock Births and Fertility Patterns

    One of the four principal goals of the TANF program is to ``prevent 
and reduce the incidence of out-of-wedlock pregnancies.'' This emphasis 
is coupled with the law's illegitimacy bonus, which awards funds to up 
to five states that are most successful in reducing out-of-wedlock 
births among women of all ages. States are designing and implementing 
an array of programs aimed at reducing the number of births to 
unmarried mothers. It will be important to assess the impacts of these 
programs, both on the overall population, and more specifically on 
those individuals receiving TANF assistance. Some specific questions 
are as follows:
     Do programs aimed at reducing out-of-wedlock birth rates 
among the welfare population, such as family cap policies, actually 
affect subsequent births on welfare mothers? If so, what is the 
direction and magnitude of the change? Or do these policies encourage 
welfare recipients to place children in different living situations 
(relatives, for example) where they are eligible for assistance either 
through the foster care system or as a separate AFDC/TANF unit? 
Additionally, do these policies have any effect on a state's abortion 
rate? If so, what are the direction and magnitude of the effect?
     Does a stronger focus on work requirements and personal 
responsibility have an impact on fertility? Specifically, what are the 
fertility patterns of welfare recipients required to work and how do 
they change over time? How do the changes in fertility patterns affect 
caseloads and costs in other programs, such as Medicaid and the child 
welfare system?
     Given time limits and the increased emphasis on work, it 
is likely that exits from welfare will increase significantly in the 
coming years. It will be important to study how the fertility patterns 
of people who lose benefits due to sanctions, time limits, and/or other 
prohibitions differ from those remaining on assistance, and to 
determine whether children born to those individuals removed from 
assistance receive services in other government programs.

V. Domestic Violence

    Many welfare recipients are victims of violence at the hands of 
intimate partners. Evidence from Massachusetts suggests that about 20 
percent of the women who received AFDC benefits in 1996 had been 
subjected to violence within the past year. Many more had been 
victimized in the past (Allard et al., 1997). In studies of welfare to 
work programs, domestic violence has been identified as a significant 
barrier to job training and employment.
    The new welfare statute allows states to exempt battered women from 
various welfare program requirements. In keeping with these provisions, 
a number of states are planning to identify and provide services to 
battered recipients and consider exemptions when necessary. These 
states will need to include some type of data on this problem in their 
information systems. Data may also be available on women who have been 
involved with the judicial and law enforcement systems. For research 
purposes, it may be possible to link data across these systems to study 
differences in welfare participation between recipients who are 
battered and those who are not so identified. It may also be possible 
to identify supports provided to battered recipients.
    Issues around domestic violence also play a role in determining 
whether applicants and recipients of TANF benefits must cooperate with 
the child support enforcement system or be given a good cause 
exemption. Despite the high rates of domestic violence, good cause is 
requested in less than .2 percent of TANF cases, and granted in about 
.1 percent of cases. There have been no studies linking reported 
incidents of domestic violence and the request for or granting of good 
cause.

VI. Substance Abuse and Mental Health

    Clients with substance abuse and mental health disorders present 
particular challenges to welfare reform. Substance abuse is a 
significant barrier to self sufficiency for some welfare recipients. 
Estimates of the prevalence of substance abuse vary widely, but most 
estimates conclude 10-20 percent of adults receiving AFDC have 
substance abuse problems. The prevalence of substance abuse among 
particular subgroups of the welfare population, such as long term 
recipients, may be higher, although little data is currently available 
on this topic (National Association of State Alcohol and Drug Abuse 
Directors, 1996). Among female substance abuse treatment clients with 
children in their households, 64 percent were found to rely on welfare 
income in the year prior to treatment admission (Gerstein et al., 
1997). One recent study found that approximately 38 percent of both 
homeless and low income housed women had a current mental health 
disorder, and nearly 70 percent had one during their lifetimes (Bassuk 
et al., 1996). Many of the women with current disorders report 
receiving some type of mental health services.
    It is assumed that persons with substance abuse and mental health 
disorders are likely to be over-represented in welfare receiving 
populations and particularly among those reaching time limits, failing 
to comply with program requirements, or subject to sanctions. To date, 
however, no information has been available to test these assumptions. 
It may be possible using administrative data from substance abuse and 
mental health treatment systems and/or the Medicaid program, to 
establish whether clients known to have substance abuse and mental 
health disorders (whether or not such disorders are known to welfare 
caseworkers) differ from other clients in their welfare utilization 
patterns.

Part III. Application Preparation and Evaluation Criteria

    This part contains information on the preparation of an application 
for submission under this announcement, the forms necessary for 
submission and the evaluation criteria under which the

[[Page 33415]]

applications will be reviewed. Potential applicants should read this 
part carefully in conjunction with the information provided in Part II.

Application Forms

    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 and concise as possible, but assure 
communication of the applicant's proposal to the reviewers. In no case 
shall the project narrative exceed 30 double spaced pages exclusive of 
appropriate attachments. Only relevant attachments should be included, 
for example, resumes of key personnel. Videotapes, brochures, and other 
promotional materials will be discarded and not reviewed. Project 
narratives should be formatted with 1 inch margins, no less than 10 
point font, double spaced lines, with consecutively numbered pages.
    Applications should be assembled as follows:
    1. Abstract: Provide a one-page summary of the proposed project. 
The abstract should clearly identify the following: the data sources to 
be linked, the research agenda for the resulting data, and, where 
applicable, the priority topic listed in Part II above.
    2. Goals, Objectives, and Usefulness of Project: Include an 
overview which describes the need for the proposed project; outlines 
the reasons why these particular data sources are appropriate; proposes 
a research agenda that utilizes the potential of the resulting data 
set; and describes in general how the proposed project will advance 
scientific knowledge and policy development. This section should also 
summarize the applicant's overall strategy that pertains to the use of 
administrative data in the evaluation of welfare reform strategies, and 
how ASPE's funding fits into the overall scheme of the project.
    3. Methodology and Design: Provide a description and justification 
of how the proposed data-linking project will be completed, including 
methodologies, approach to be taken, data sources to be used and 
linked, and proposed research and analytic plans. This section should 
clearly identify which data sources will be used, the time-period that 
the data capture, the population covered by the data, and the method(s) 
which will be used to link the data. Additionally, a discussion of how 
the administrative data will be cleaned and checked for accuracy must 
be included. The proposals should also provide proof that the grantee 
has obtained the necessary authorization to access and link all data 
sources proposed within the scope of the project. The preferred form of 
proof is a signed interagency agreement with each of the relevant 
agencies/departments. Though not preferable, letters of support from 
the appropriate agencies are acceptable, provided that the letter 
clearly states that the proposing agency has the authorization to 
access and link all necessary data. This section should also include a 
concise and specific discussion of how the case or individual level 
data will be kept confidential. Applicants must assure that the 
collected data will only be used for management and research purposes, 
and that all information will be kept completely confidential, and 
should present the methods that will be used to ensure confidentiality 
of records and information once data are made available for research 
purposes.
    4. Experience of Personnel/Organizational Capacity: Briefly 
describe the applicant's organizational capabilities and experience in 
conducting relevant projects using linked administrative program data. 
Identify the key staff who are expected to carry out the data 
organization and linking, as well as those who plan to conduct research 
with the resulting data. Provide a curriculum vitae for each person. Be 
sure to include a brief discussion of how each key staff member will 
contribute to the success of the project.
    5. Ability to Sustain Data Linkages After Completion of Funding: A 
successful proposal must present evidence that the data linkages 
established in this project will become institutionalized into an on-
going database. The proposal should describe how the linking of data 
will become institutionalized, which agency will have responsibility 
for and jurisdiction over the resulting data, what mechanisms will be 
instituted to determine who will have access to the data for program 
management, monitoring, and research purposes, and the sources of 
financial and staff support for maintaining the database. Proposals 
should also relate the extent to which the data will be used for future 
policy planning, research and evaluation.
    6. 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 shows the sequence of tasks necessary 
for the completion of the project. Identify the other time commitments 
of key staff members, for example, their teaching or managerial 
responsibilities as well as other projects in which they are involved. 
The Work plan should include a discussion of any plans for 
dissemination of the results, such as papers, articles, or conference 
presentations, as well as any types of documentation for the data set 
that is to be produced through this grant. Finally, the work plan must 
include how the data linked under this grant will eventually be made 
available for research and evaluation purposes. If one or more public 
use tapes are anticipated, then this should be specified. If public use 
tapes are not planned, then the work plan must specify how interested 
and qualified researchers will be allowed access to the data.
    7. Budget: Submit a request for Federal funds using Standard Form 
424A and provide a proposed budget using the categories listed on this 
form. A narrative explanation of the budget should be included which 
explains in more detail what the funds will be used for. If other 
sources of funds are being received to support aspects of this 
research, the source, amount, and other relevant details must be 
included. The proposal should also clearly specify whether state 
support will be included, and if so, the type and amount of such 
support.
    All applicants must budget for two trips to the Washington, DC 
area, for at least two people on each trip. As part of this grant, ASPE 
would like to schedule two meetings for all funded projects. The first 
meeting will be for planning purposes, where applicants will have the 
opportunity to meet, discuss their projects, and receive feedback from 
both the other grantees and from ASPE staff. This meeting will occur 
not more than two months after the proposals are funded. The second 
meeting will be approximately 6 to 8 months into the grant period, and 
will provide grantees the ability to meet and discuss their progress to 
date, and assess and receive assistance with any problems that have 
arisen.

Review Process and Funding information

    Applications will be initially screened for compliance with the 
timeliness and completeness requirements. Five (5) copies of each 
application are required. One of these copies must be in an unbound 
format, suitable for copying. If judged in compliance, the application 
then will be reviewed by government personnel, augmented by outside 
experts where appropriate.
    The panel will review the applications using the evaluation 
criteria listed below to score each

[[Page 33416]]

application. These review results will be the primary element used by 
the ASPE in making funding decisions.
    HHS reserves the option to discuss applications with other Federal 
agencies, Central or Regional Office staff, specialists, experts, 
States and the general public. Comments from these sources, along with 
those of the reviewers, may be considered in making an award decision.
    As a result of this competition, between 3 and 4 grants are 
expected to be made from funds appropriated for fiscal year 1997. 
Additional awards may be made depending on the extensiveness of the 
data involved and the available funding, including funds that may 
become available in FY98. The Department reserves the right to make 
fewer awards, if enough suitable proposals are not received. The 
average grant is expected to be between $100,000 and $125,000.

Deadline for Submission of Applications

    The closing date for submission of applications under this 
announcement is August 18, 1997. 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 August 18, 1997 or (2) 
postmarked before midnight five days prior to August 18, 1997 and 
received in time to be considered during the competitive review process 
(within two weeks of the deadline date). Applications may not be faxed.
    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.
    Hand-delivered applications will be accepted Monday through Friday 
prior to and on August 18, 1997 during the 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 pickup. A staff 
person will be available to receive applications. Applications which do 
not meet the August 18, 1997 deadline will not be considered or 
reviewed. HHS will send a letter to this effect to each late applicant.
    HHS reserves the right to extend the deadline for all applications 
if there is widespread disruption of the mail because of extreme 
weather conditions or natural disasters or if HHS determines an 
extension to be in the best interest 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.

Selection Process and Evaluation Criteria

    Selection of the successful applicants will be based on the 
technical 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, strengths, weaknesses and recommendations.
    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:
Evaluation Criteria
    1. Goals, Objectives, and Potential Usefulness of the Analyses (20 
points). Scoring will be based on the need for the project, the 
potential usefulness of the objectives, and how the anticipated results 
of the proposed project will advance policy development and program 
management. The research agenda will be scrutinized to determine 
whether the issues are relevant in the context of TANF, and whether the 
research questions can actually be addressed with administrative data. 
Scoring will also be based on the extent to which this specific project 
is representative of the applicant's overall plan for using 
administrative data to study the implementation and effectiveness of 
the TANF program, and how TANF interacts with other assistance 
programs. Preference will be given to those projects which link TANF 
data with administrative data from two or more other State or Federal 
social service assistance programs.
    2. Methodology and Design (30 points). Scoring will be based on 
whether the data sources included are appropriate for carrying out the 
proposed research agenda, including the time frame of the data linked 
and the population covered by the data. Concerning the time-frame of 
the data, preference will also be given to those projects which link 
historical data (pre-TANF implementation), as well as data collected 
subsequent to the date which the state TANF program became operational. 
A critical scoring element will be the proposal's discussion of the 
methods used to clean, standardize and link the case level data from 
the different sources. Applicants should discuss thoroughly how they 
intend to match case records from different data sources, and what 
internal validity checks will ensure the accuracy of the matches. The 
architecture for the resulting data set should also be discussed 
thoroughly. Other design considerations include whether the agency 
applying has already obtained authorization to obtain and use data from 
the different state or local agencies whose data would be linked, and 
how confidentiality of the records and information will be ensured. It 
applicants are unable to ensure the security of information included in 
the project, then it is highly unlikely that they will receive funding.
    3. Qualifications of Personnel and Organizational Capability (20 
points). The principle scoring criteria are the qualifications of the 
project personnel involved as evidenced by their professional training 
and experience. Proposals should clearly articulate the experience of 
applicable staff in similar projects that deal with linking 
administrative data and assembling large databases. The capacity of the 
organization to provide the infrastructure and support necessary for 
the project is also an important concern.
    4. Work Plan and Budget (15 points). Is the plan reasonable? Are 
the activities sufficiently detailed to ensure successful, timely 
implementation? Do they demonstrate an adequate level of understanding 
by the applicant of the practical problems of conducting such a 
project? Is the proposed budget reasonable and sufficient to ensure 
completion of the project?
    5. Ability to Sustain Project After Funding (15 points). How will 
the linking of data sources become an institutionalized function within 
the agency once the grant funding expires? Where will the newly created 
data set reside? What agency(ies) will have responsibility for and 
jurisdiction over the resulting data? What are the sources of financial 
and staff support for maintaining the database? How will the linked 
data be used for future policy planning, research and evaluation?

[[Page 33417]]

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 an 
amount of funds and subject to such conditions as are deemed necessary 
or desirable for the research project; or (b) disapprove the 
application; or defer action on the application for such reasons as a 
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 the award will be issued to 
notify the applicant of the approved application.
3. The Assistant Secretary's Discretion
    Nothing in this announcement should be construed as to obligate the 
Assistant Secretary for Planning and Evaluation to make any awards 
whatsoever. Awards and the distribution of awards among the priority 
areas are contingent on the needs of the Department at any point in 
time and the quality of the applications which are received.
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. A Table of Contents;
    5. Budget Justification for Section B--Budget Categories;
    6. Proof of nonprofit status, if appropriate;
    7. A 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) Abstract,
    (b) Goals, Objectives and Usefulness of the Project,
    (c) Methodology and design,
    (d) Background of the Personnel and Organizational Capabilities and
    (e) Work plan (timetable);
    9. Any appendices/attachments;
    10. Certification Regarding Drug-Free Work place;
    11. Certification Regarding Debarment, Suspension and Other 
Responsibility Matters;
    12. Certification and, if necessary, Disclosure Regarding Lobbying;
Reports
    The grantee must submit quarterly progress reports and a final 
report. The specific format and content for these reports will be 
provided by the project officer.
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 does not directly affect State and local 
governments. Applicants are not required to seek intergovernmental 
review of their applications within the constraints of E.O. No. 12372.

    Dated: June 13, 1997.
David F. Garrison,
Principal Deputy Assistant Secretary for Planning and Evaluation.
[FR Doc. 97-16083 Filed 6-18-97; 8:45 am]
BILLING CODE 4151-04-P