[Federal Register Volume 62, Number 135 (Tuesday, July 15, 1997)]
[Notices]
[Pages 37917-37921]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-18528]


-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary


Human Services Transportation Research and Analysis Project

AGENCY: The Assistant Secretary for Planning and Evaluation and the 
Director of the Office of Intergovernmental Affairs (IGA) of the 
Department of Health and Human Services (HHS).

ACTION: Request for applications for research and analysis in the area 
of human services transportation from national organizations with a 
record of successfully completing recognized research and analysis 
informing the field of human services transportation.

-----------------------------------------------------------------------

SUMMARY: This announcement solicits applications and describes the 
application process for the award of the cooperative agreement. It is 
the intent of HHS to fund one project which

[[Page 37918]]

addresses the various task areas in this announcement. The project 
period will be for three years. However, an award will be funded only 
for the first year with funding for years two and three subject to the 
government's determination to continue the project.

DATES: The closing date for submittal of applications under this 
announcement is August 29, 1997.

ADDRESSES: Send application to Grants Officer, Department of Health and 
Human Services, ASPE/IO, 200 Independence Avenue, SW., Room 405-F, 
Washington, DC 20201. Attn: Adrienne D.B. Little.

FOR FURTHER INFORMATION CONTACT: Technical Questions, Dianne L. 
McSwain, HHS/IGA, at (202) 401-5926. Questions may be faxed to (202) 
690-5672 (applications may not be faxed for submission).

ELIGIBLE APPLICANTS: Eligible applicants are nationally-recognized 
organizations, institutions, or for profit entities with a record of 
study and analysis in rural and special transportation needs. However, 
for-profit organizations are advised that no grant funds may be paid as 
profit to any recipient of a grant or subgrant. Profit is any amount in 
excess of allowable direct or indirect costs of the grantee. Such 
applicants should indicate a significant publication history indicating 
a range of analysis and study projects in human services or specialized 
transportation brought to successful completion. Experience in working 
with special populations which represent HHS target populations will be 
of particular interest.

Part I. Supplementary Information

Legislative Authority

    The Transportation Coordination Research and Analysis Project 
cooperative agreement is authorized by 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 (DHHS Appropriation Act for FY 
1997).

Project History and Purpose

    In FY 1990, Congress authorized $250,000 for the provision of 
technical assistance to human service transportation providers. This 
effort included the compilation of data on specific target populations, 
the development of mechanisms for dissemination of information, and the 
preparation of a report to the Secretary on the provision of 
transportation services to human service clients. For FYs 1991 through 
1996 the Congress authorized $500,000 for this effort, adding funding 
for specific technical assistance in the implementation of the 
requirements of the Americans with Disabilities Act (ADA). In FY 1994, 
the Department made the decision to fund a separate research and 
analysis project for this effort and funded the effort for three years. 
For FY 1997, Congress has again authorized $500,000 for continued 
technical assistance in human services transportation.
    The purpose of this announcement is to solicit applications for the 
performance of research and data analysis in various issue areas 
informing the provision of human services transportation to the clients 
of HHS-funded programs.
    It is the policy of HHS to coordinate related programs at the 
Federal level wherever possible and to promote maximum feasible 
coordination at the State and local level. Coordination and 
collaborative effort maximize the resources available to address 
specific needs. Reflecting this policy, HHS and the DOT have 
established the Joint DHHS/DOT Coordinating Council on Human Services 
Transportation (Coordinating Council) as a focal point for the effort 
to coordinate HHS and DOT resources for transportation of HHS program 
client populations. The goals of the Coordinating Council are as 
follows: (1) To achieve the most cost-effective use of Federal, State 
and local resources for specialized and human services transportation; 
(2) to encourage State and local governments to take a more active role 
in the management and coordination of programs supporting specialized 
and human services transportation; (3) to adopt administrative and 
management practices in the implementation of Federal programs which 
encourage coordination among service providers and increase access to 
specialized and human services transportation; (4) to share technical 
resources and information with recipients of Federal assistance and 
transportation providers; and (5) to encourage the most efficient 
system of providing services, including consideration of private sector 
providers and use of competitive bidding.
    The research and analysis tasks of this effort represent data 
acquisition and synthesis support activities to the Coordinating 
Council and the Human Services Transportation Technical Assistance 
Project. In support of these goals, HHS has identified the following 
objectives for the Human Services Transportation Research and Analysis 
Project: (1) To develop information on the most efficient use of 
equipment, facilities, and staff resources at the State and local 
level; (2) to examine and analyze issues and concerns identified by the 
Coordinating Council; and (3) to provide information, technical data, 
and assistance for use by State and local agencies to improve the 
planning and management of transportation services and the acquisition 
of appropriate equipment and facilities. Applicants should reflect an 
understanding of these goals and objectives in their applications.

Available Funds

    HHS intends to award one cooperative agreement resulting from this 
announcement of approximately $100,000.

Period of Performance

    The start-up date of the project will be on or before September 15, 
1997 for a project period of 36 months. However, an award will be 
funded only for the first year with funding for years two and three 
subject to the government's determination to continue the project.

Part II. Human Services Transportation Research and Analysis Project--
Responsibilities of the Awardee and the Federal Government

Awardee Responsibilities

    The Human Services Transportation Research and Analysis project 
requires data acquisition, synthesis, examination, evaluation and 
analysis support for the Human Services Transportation Technical 
Assistance project and the Coordinating Council on the issues affecting 
efficient use of transit resources, equipment and facilities to serve 
the clients of HHS-funded programs. Applicants should be aware of and 
be sensitive to the need for flexibility to accommodate the shifting 
information needs and to coordinate the activities herein with the 
activities of the Community Transportation Assistance Project (CTAP) 
funded by HHS and the Rural Transit Assistance Program (RTAP) funded 
through the Federal Transit Administration (FTA) of the Department of 
Transportation (DOT) and as well as work undertaken through the 
Transportation Research Board and ongoing relevant transportation 
efforts by other federal departments. Knowledge of the universe of 
federal efforts pertaining to the transportation of human services 
clients will be considered partially indicative of ability to perform 
the required tasks.
    The following tasks are to be specifically addressed in the project 
narrative of the application. Applicants are encouraged to be 
innovative and to suggest additional or alternative approaches through 
subtasks that may improve the potential for successful

[[Page 37919]]

completion of the task. However, applicants are cautioned to provide 
suggestions for additional subtasks judiciously with concern for the 
overall cost of the project. There will be no additional funds beyond 
those appropriated by Congress for this project.

Task I: Project Planning and Coordination

    Task I entails the preparation of a detailed work plan of the 
activities proposed to meet the stated objectives of the project, 
including monthly meetings with the federal project staff, periodic 
written progress reports, and a final report due at the end of each 
identified activity. In addition, an overall final report of the 
project activities and recommendations for future activities due at the 
end of the project year should be included. The work plan provides 
detailed descriptions of task activities and specific time frames for 
the accomplishment of the activities in measurable terms and reflects 
periodic consultation with the Federal Project Officer (FPO). In the 
second and third year, additional planning with the FPO should be 
reflected to allow for the minor project adjustments needed to keep the 
tasks relevant to consumer need.

Task II: Identification of Research and/or Analysis Topics

    Task II consists of the identification of the research and analysis 
topics to be examined during the initial and subsequent project years. 
In the first project year, such topics might include an examination of 
current approaches to employment transportation: an evaluation of the 
Community Transportation Assistant Project (CTAP), identification of 
the information needs of Head Start grantees regarding the pending 
transportation regulations; identify, describe and recommend solutions 
to inconsistencies in existing HHS regulations posing barriers to the 
effective coordination of transportation resources; and assisting the 
Coordinating Council with an ongoing strategic planning process. Some 
consideration should be made for the appearance of unanticipated topics 
during each project year.
    The nature of the work of the Coordinating Council is such that 
issues/topics evolve quickly and the need for information within the 
human services transportation network can become critical quite 
quickly. Therefore, the awardee should anticipate sufficient resources 
to explore two to three additional topics beyond those proposed and 
agreed upon by the FPO at the initial project meeting. The suggestion 
of additional topics not listed herein will be considered indicative of 
knowledge of the field and current practices.
    The activities which might be undertaken to accomplish this task 
could include: (1) Review of existing reports from meetings, 
conferences and roundtables which have identified current issues and 
concerns as identified by the providers and consumers of human services 
transportation; (2) discussions with the membership of the Coordinating 
Council and the workgroup supporting the Council on information needs 
within the various member programs; (3) consultation with the grantee 
supporting the CTAP project with regard to the most requested topics 
through the Internet web site and the hotline; (4) compilation of a 
suggested prioritized list of topics with rationale for inclusion and 
the resources necessary for completion of each activity; and (5) 
presentation of the topics list to the FPO for consultation and 
approval.

Task III: Performance of Topic Activities

    Task IV represents the research and analysis activities to be 
undertaken as identified in Tasks II and III. No more than six separate 
topics will be explored during each project year from the list created 
in Task III as well as the unanticipated topics discussed in Task I. 
The number of completed activities will be driven by the complexity of 
the topics undertaken and the need for information within the human 
services transportation network.
    The activities that might be undertaken with each topic to be 
explored under this task could include: (1) A comprehensive 
description/definition of the issue(s) with relevant existing data; (2) 
a detailed description of the proposed activity (analysis, synthesis, 
etc.) with resource requirements; (3) a rationale for the proposed 
approach; (4) a request for any required technical support from the 
FPO, other federal staff or the CTAP project; (5) completion of the 
proposed activities; (6) monthly oral reports and quarterly written 
reports (if the activity will entail more than three months work) as 
well as a well documented written final report for each topic.

Part III. Application Preparation and Evaluation Criteria

    This part contains information on the preparation of an application 
for submission under this announcement and the evaluation criteria 
under which the applications will be reviewed. Potential applicants 
should read this part carefully in conjunction with the information 
provided in Part II.
    To ensure that organizations with the greatest capacity for 
providing quality services participate in this effort, applicants for 
funding under the announcement should reflect, in the program narrative 
section of the application, how they will be able to fulfill the 
responsibilities and requirements described in this section of the 
announcement. Applicants must address all the identified tasks. It is 
the intent of HHS to make an award sufficient to accomplish the entire 
scope of effort described in this announcement, if submissions of 
sufficient scope and quality are received to permit it.
    The applicant should include: (1) A management plan, which sets 
forth how the project will be managed and who will be the key personnel 
involved, including a Gantt chart and other graphics which specifically 
display the management information provided in text; and (2) a budget 
plan, which specifically delineates the costs associated with the 
project. When the applicant chooses to suggest additional efforts to 
support a task, the cost of those additional efforts (not required by 
this announcement) should be separately identified. However, at no time 
will a proposed budget in excess of $100,000 for all the Tasks listed 
in the Announcement be considered for funding, unless the amount in 
excess of $100,000 represents grantee cost-sharing.

Review Process and Funding Information

    Applications that are submitted by the deadline date and which meet 
the screening criteria will be reviewed and scored competitively. The 
applications will be reviewed using the evaluation criteria listed 
below to score the applications. These review results will be a primary 
factor in 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, will be considered in making funding decisions.

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

[[Page 37920]]

is a program that is national in scope and the only impact on State and 
local governments would be through subgrants. Applicants are not 
required to seek intergovernmental review of their applications within 
the constraints of E.O. No. 12372.

Deadline for Submittal of Applications

    The closing date for submittal of applications under this 
announcement is August 29, 1997. Applications must be postmarked or 
hand-delivered to the application receipt point no later than 5 p.m. on 
August 29, 1997.
    Hand-delivered applications will be accepted Monday through Friday 
prior to and on August 29, 1997, during the working hours of 9 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 690-8794 from the lobby for pick up. A staff person 
will be available to receive applications.
    An application will be considered as meeting the deadline if it is 
either: (1) Received at, or hand-delivered to, the mailing address on 
or before August 29, 1997, or (2) Postmarked before midnight of the 
deadline date, August 29, 1997, and received in time to be considered 
during the competitive review process (within one week of the deadline 
date).
    When mailing application packages, applicants are strongly advised 
to obtain a legibly dated receipt from a commercial carrier (such as 
UPS, Federal Express, etc.) or from the U.S. Postal Service as proof of 
mailing by the deadline date. If there is a question as to when an 
application was mailed, applicants will be asked to provide proof of 
mailing by the deadline date. When proof is not provided, an 
application will not be considered for funding. Private metered 
postmarks are not acceptable as proof of timely mailing.
    Applications which do not meet the August 29, 1997, deadline are 
considered late applications and will not be considered or reviewed in 
the current competition. HHS will send a letter to this effect to each 
late applicant.
    HHS reserves the right to extend the deadline for all applications 
due to acts of God, such as floods, hurricanes or earthquakes; due to 
acts of war; if there is widespread disruption of the mail; or if HHS 
determines a deadline extension to be in the best 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.

Application Requirements

    Applicants are advised to read and follow this section very 
carefully. Applications which do not meet these initial requirements 
may not be considered or reviewed in the competition, and the applicant 
will be so informed. A complete and conforming application must meet 
the following requirements:
    Eligible applicants are nationally-recognized organizations, 
institutions, or for profit entities with a record of study and 
analysis in rural and special transportation needs. However, for-profit 
organizations are advised that no grant funds may be paid as profit to 
any recipient of a grant or subgrant. Profit is any amount in excess of 
allowable direct or indirect costs of the grantee. Such applicants 
should indicate a significant publication history indicating a range of 
analysis and study projects in human services or specialized 
transportation brought to successful completion. Experience in working 
with special populations which represent HHS target populations will be 
of particular interest.

Application Instructions and Forms

    See section entitled ``Components of a Complete Application''. All 
of these documents must accompany the application package. Copies of 
applications would be requested from and submitted to: Grants Officer, 
Office of the Assistant Secretary for Planning and Evaluation, U.S. 
Department of Health and Human Services, Room 405-A, 200 Independence 
Avenue, SW., Washington, DC 20201, Phone (202) 401-3951. No faxes will 
be accepted. Questions concerning the preceding information would be 
submitted to the Grants Officer at the same address.

Maximum Length

    No specific limit will be set for the length of the application. 
However, applications that are overly long and/or contain superfluous 
material will be viewed as indicating an inefficient approach.

Evaluation Criteria

    The evaluation criteria correspond to the outline for the 
development of the Program Narrative Statement of the application. 
Although not mandatory, it is strongly recommended that applications be 
prepared with the format indicated by this outline.
    Applications which meet the initial requirements will be reviewed 
by a panel of at least three reviewers. Reviewers will determine that 
strengths and weaknesses of each application in terms of the evaluation 
criteria listed below, provide comments and assign numerical scores. 
The point value following each criterion heading indicates the maximum 
numerical weight that each section will be given in the review process.
    1. Understanding of the Effort. The application discusses in detail 
the applicant's understanding of the need for the project, the 
background and evolution of the effort to coordinate human services 
transportation, the significant participants in the coordination 
effort, the universe of current federal activities, and the specific 
relevance of the proposed tasks to the identified need. The application 
relates the project to the goals and objectives described in the first 
section of this announcement. 20 points
    2. Project Approach. The application outlines a sound and workable 
approach to the effort and details how the proposed tasks will be 
accomplished; cites factors which might accelerate or decelerate the 
work, giving acceptable reasons for taking this approach as opposed to 
others; describes and supports any unusual features of the project, 
such as design or technological innovations, reductions in cost or 
time, or extraordinary collaborative involvements; and provides for 
projections of the accomplishments to be achieved. It lists the 
activities to be carried out in chronological order, showing a 
reasonable schedule of accomplishments and target dates.
    To the extent applicable, the application identifies the kinds of 
data to be collected and/or maintained, and discusses the criteria to 
be used to evaluate the results and successes of the project. It 
describes the evaluation methodology that will be used to determine if 
the needs identified and discussed are being met and if the results and 
benefits identified are being achieved. The application also lists each 
organization, agency, consultant, or other key individuals or groups 
who will work on the project, along with a description of the 
activities and nature of their effort or contribution. 35 points
    3. Staffing Utilization, Staff Background and Experience. The 
application identifies the background of the principal project staff 
members. The name, address, training, educational background, and other 
qualifying experience are provided for the project director and the key 
project staff. Any staff to be added as a result of the award of this 
Cooperative agreement should be clearly delineated. The applicant 
provides assurance that the proposed staff will be available to work on 
the project effort upon award of the cooperative agreement. The 
principal

[[Page 37921]]

author of the application is identified and that person's role in the 
project is identified. 20 points
    4. Organizational Experience. The application identifies the 
qualifying experience of the organization to demonstrate the 
applicant's ability to effectively and efficiently administer this 
project. The application specifically identifies the applicant as a 
nationally-recognized organization, institution, or company with a 
record of study and analysis of rural and special transportation needs. 
Previous specific experience with work similar to the Tasks proposed is 
clearly and specifically described. The relationship between this 
project and other work planned, anticipated, or underway by the 
applicant is described, including a chart which lists all related 
Federal assistance received within the last five years. In the event a 
consortium of applicants is proposed, the project history of prior 
joint work should be provided. The previous Federal assistance is 
identified by project number, Federal agency, and grants or contracting 
officer. 25 points

Components of a Complete Application

    A complete application consists of the following items in this 
order:

1. Application for Federal Assistance (Standard Form 424, REV 4-88);
2. Budget Information--Non-construction Programs (Standard Form 424A, 
REV 4-88);
3. Assurances--Non-construction Programs (Standard Form 424B, REV 4-
88);
4. Table of Contents;
5. Budget justification for Section B--Budget Categories;
6. Proof of non-profit status, if appropriate;
7. Copy of the applicant's approved indirect cost rate agreement, if 
necessary;
8. Project Narrative Statement, organized in four sections addressing 
the following areas:
    (a) Understanding of the Effort,
    (b) Project Approach,
    (c) Staffing Utilization, Staff Background, and Experience
    (d) Organizational Experience;
9. Any appendices/attachments;
10. Certification Regarding Drug-Free Workplace;
11. Certification Regarding Debarment, Suspension and Other 
Responsibility Matters; and
12. Certification and, if necessary, Disclosure Regarding Lobbying.
13. Supplement to Section II--Key Personnel.
14. Application for Federal Assistance Checklist.

    Dated: July 9, 1997.
David F. Garrison,
Principal Deputy Assistant Secretary for Planning and Evaluation.
[FR Doc. 97-18528 Filed 7-14-97; 8:45 am]
BILLING CODE 4151-04-M