[Federal Register Volume 68, Number 187 (Friday, September 26, 2003)]
[Notices]
[Pages 55698-55709]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-24306]


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SOCIAL SECURITY ADMINISTRATION


Program: Cooperative Agreements for Homeless Outreach Projects 
and Evaluation (HOPE); Program Announcement No. SSA-OPDR-03-02

AGENCY: Social Security Administration.

ACTION: Announcement of the availability of cooperative agreement funds 
for fiscal year 2003 and request for applications.

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SUMMARY: The Social Security Administration requests applications for 
cooperative agreement funding to support projects that provide targeted 
outreach, supportive services, and benefit application assistance to 
individuals who are chronically homeless.

DATES: The closing date for receipt of cooperative agreement 
applications under this announcement is November 25, 2003. Section VI 
of this announcement contains instructions for submitting applications 
under this announcement.
    Prospective applicants are also asked to submit, preferably by 
October 16, 2003, a fax, post card, letter, or e-mail of intent that 
includes (1) the program announcement number (SSA-OPDR-03-02) and title 
(Homeless Outreach Projects and Evaluation); (2) the name of the agency 
or organization that is applying; and (3) the name, mailing address, e-
mail address, telephone number, and fax number for the organization's 
contact person.
    The notice of intent should be (1) e-mailed to 
[email protected], using ``HOPE--Notice of Intent'' in the 
subject line; (2) faxed to (410) 597-0825, to the attention of the HOPE 
Project Team; or (3) mailed to Social Security Administration, Office 
of Program Development and Research, Office of Program Development, 128 
Altmeyer Building; 6401 Security Boulevard, Baltimore, Maryland, 21235-
6401, Attention: HOPE Project Team.
    The notice of intent is not required, is not binding, and does not 
enter into the review process of a subsequent application. The purpose 
of the notice is to allow SSA staff to estimate the number of technical 
reviewers needed and to avoid potential conflicts of interest in the 
review.

ADDRESSES: All applications for funding under this announcement should 
be submitted via the new process that the Federal government has 
established for electronic submission of applications for grant and 
cooperative agreement funding.

FOR FURTHER INFORMATION CONTACT: Send questions about this announcement 
to the following Internet address: [email protected]. When 
sending a question, use the program announcement number (SSA-OPDR-03-
02) and the date of this announcement, September 26, 2003. Questions 
and answers will be posted to the ``Outreach Initiatives'' link on the 
Social Security Service to the Homeless Web site at:  http://www.socialsecurity.gov/homelessness. The identity of questioners will 
not be revealed when questions and answers are posted on this Web site. 
All applicants are encouraged to review the Web site while developing 
their applications.
    Although the Internet is the preferred method of communication, 
applicants who have questions about the program content of the 
application may also contact: Virginia McCaskey, Research Analyst, or 
Leola Brooks, Director, Office of Program Development. The phone number 
for Virginia McCaskey is (410) 965-3425, and the phone number for Leola 
Brooks is (410) 965-2219. Inquiries may also be faxed to (410) 597-
0825, or mailed to: Social Security Administration, Office of Program 
Development and Research, Office of Program Development, 128 Altmeyer 
Building, 6401 Security Boulevard, Baltimore, Maryland 21235-6401, 
Attention: HOPE Project Team.
    For general (non-programmatic) information--regarding submission of 
applications, contact: Phyllis Y. Smith, Grants Management Officer, 
Social Security Administration, Office of Acquisition and Grants, 
Grants Management Team, 1-E-4 Gwynn Oak Building, 1710 Gwynn Oak 
Avenue, Baltimore, MD 21207-5279, [email protected], phone (410) 
965-9518.
    Application Kit: Section VI of this announcement contains 
instructions for obtaining an application kit.

SUPPLEMENTARY INFORMATION: This overview of the HOPE projects is 
included to allow potential applicants to quickly learn the contents of 
this announcement, and to decide whether they are eligible to apply for 
the funding opportunity described. It follows the outline of the full 
text of the first three sections of the announcement.
    Program Description: SSA is making cooperative agreement funding 
available to demonstrate methods to improve the quality of assistance 
that medical and social service providers give to homeless individuals 
who file claims for Social Security benefits. The projects are shaped 
by SSA knowledge about effective outreach practices, as well as 
evaluation data from previous outreach demonstration projects.
    Awardees of cooperative agreement funding will be required to 
provide outreach, supportive services, and benefit application 
assistance to chronically homeless adults and/or children. The target 
population for these projects is homeless individuals who are members 
of under-served groups, which may include people with severe and 
persistent mental illness, HIV infection, limited English proficiency, 
multiple and co-occurring disorders, or cognitive impairments, as well 
as homeless veterans with disabilities.
    Applicants may propose to establish presumptive disability 
screening procedures or pre-release procedures for institutionalized 
individuals with disabilities. Applicants may also propose to use 
project funding to improve their capacity to provide representative 
payment services to beneficiaries, strengthen their ability to assist 
disability claimants with filing electronic disability applications, or 
develop an employment intervention.
    SSA will train staff of organizations that are awarded funding 
under this announcement. The focus of the training will be to improve 
participant knowledge about SSA's requirements for disability case 
processing. SSA will conduct an evaluation of projects, with a focus on 
the impact that training has on the quality of assistance provided to 
disability claimants by the grantee. SSA is particularly interested in 
achieving outcomes such as reduced processing time, and reduced denials 
for initial claims from individuals that would be eligible for benefits 
under SSA's rules.
    Award Information: Congress appropriated $8 million in FY 2003, and 
directed SSA to use the appropriation to provide outreach to ``homeless 
and under-served'' populations. SSA intends to fund approximately 30 
projects, with awards of up to $200,000 in the first year of project 
funding. Subject to the availability of additional appropriations, SSA 
plans to fund projects for four years, with requirements that awardees 
reduce their dependence on cooperative agreement funding in each year 
of the projects. Year 4 activities will consist only of follow-up data 
reporting. SSA has reserved a portion of the appropriation to evaluate 
the projects,

[[Page 55699]]

and to provide training and technical assistance to grantees.
    These projects are authorized by section 1110 of the Social 
Security Act, and will be funded with cooperative agreements, which 
anticipate substantial involvement of the government in project design 
and operation.
    Eligibility Information: Public and private organizations, 
including non-profit, profit-making, and faith-based organizations, may 
apply for cooperative agreement funding made available under this 
announcement. Applicants must have existing expertise and capacity to 
conduct outreach activities to locate and engage homeless individuals; 
be able to provide or arrange for health care services; and be able to 
provide culturally competent services to all members of the target 
population, without regard to race, sex, religion, or disability.
    Cooperative agreement funds are not to be used to cover costs that 
are reimbursable under an existing public or private program. Awardees 
are required to contribute a non-Federal match of project costs of at 
least 5% of the total project cost. The non-Federal share may be cash 
or in-kind (property or services).

Table of Contents

Section I. Program Description and Background
    A. Introduction
    B. Data on Homelessness
    C. Background
    1. Program Information
    2. SSA Collaboration with other Federal Agencies and the 
Interagency Council on Homelessness
    3. SSA Outreach
    D. Project Goals and Objectives
    E. Project Features
    1. Use of Cooperative Agreement Funds
    2. Training and Technical Assistance
    3. Conferences
    4. Meetings
Section II. Award Information
    A. Statutory Authority and Catalog of Federal Domestic 
Assistance Number
    B. Type of Awards
    C. Number, Size, and Duration of Projects
    D. Awardee Share of the Project Costs
Section III. The Application Process
    A. Eligible Applicants
    B. Targeted Population
    C. Costs
Section IV. Program Requirements
    A. General Requirements
    B. Evaluation
    1. Enrollment Guidelines
    C. Data Collection
    1. Data Elements
    2. Privacy
    3. Training Data
    D. Reporting
    E. Monitoring
    F. Technical Assistance
Section V. Application Review Process and Evaluation Criteria
    A. Application Process
    B. Application Requirements
    C. Review and Evaluation
    D. Application Approval
    E. Evaluation Criteria
    1. Capability
    2. Project Design
    3. Resources and Management
Section VI. Instructions for Obtaining and Submitting an Application
    A. Availability of Forms
    B. Checklist for a Complete Application
    C. Guidelines for Application Submission

Section I. Program Description and Background

A. Introduction

    The Social Security Administration (SSA) is making cooperative 
agreement funding available to support projects that provide outreach, 
supportive services, and application assistance for Supplemental 
Security Income (SSI) and all forms of Social Security benefits to 
individuals who are chronically homeless. The cooperative agreement 
projects are part of a broad Federal strategy to end chronic 
homelessness. The projects will be designed to identify and remove 
barriers to the benefit application process by outreach and assistance 
to homeless individuals, particularly those who are members of ``under-
served'' populations. Homeless under-served individuals include, but 
are not limited to, those who have difficulty accessing services due to 
a disabling impairment, such as mental illness or other cognitive 
impairment; individuals with limited English proficiency; persons in 
jails and institutions, persons with multiple impairments and co-
occurring disorders, and persons who have symptomatic HIV infections. 
Homeless under-served individuals may also include veterans and 
children with disabilities.
    Definitions of homelessness vary. For the purposes of defining the 
target population to be served by grantees in this project, homeless 
individuals are adults or children who lack permanent housing. 
Individuals are considered homeless if they live on the street, or 
other location not meant for habitation, such as an abandoned building 
or car; in a supervised facility such as a shelter; transitional or 
emergency housing; ``doubled up'', i.e., living with a series of 
relatives or friends; or in an institution or correctional facility 
with no permanent address.
    Further, this set of cooperative agreements will focus on 
individuals who are considered ``chronically homeless,'' defined as 
``an individual with a disability or multiple disabilities who has been 
homeless for at least one year or who has had multiple periods of 
homelessness in a multi-year period'' (Interagency Council on 
Homelessness, 2003).
    As an Agency, SSA is uniquely positioned through its network of 
over 1300 field offices to provide assistance to homeless individuals. 
For homeless individuals, who are either age 65 or older, blind or 
disabled, SSA plays a critical role in helping provide monthly benefit 
payments. These benefits can help homeless individuals to obtain 
housing, and also provide critical linkage to medical coverage.
    For the purposes of this announcement, the word ``claimant'' is 
used to describe an individual who has applied for Social Security 
Benefits. The word ``participant,'' may be used to describe an 
individual who is enrolled in the project to receive services from the 
grantee. The word ``applicant'' refers to organizations that apply for 
cooperative agreement funding under this announcement.

B. Data on Homelessness

    National estimates on homelessness indicate there are anywhere from 
500,000-700,000 homeless individuals on any given night. In the 2000 
census, the U.S. Census Bureau (Census) did not attempt to accurately 
enumerate homeless individuals. The Census published a report on the 
``Emergency and Transitional Shelter Population,'' but cautions users 
of the data that the methodology allows only for identification of 
people who were in ``non-conventional housing'' at the time of the 
census count.\1\ The census data does not provide an estimate of the 
numbers of homeless persons who are disabled or elderly.
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    \1\ Smith, Annetta C. and Denise I. Smith, U.S. Census Bureau, 
Census Special Reports, Series CENSR/01-Emergency and Transitional 
Shelter Population: 2000, U.S. Government Printing Office, 
Washington, DC 20401.
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    The 1996 National Survey of Homeless Assistance Providers and 
Clients (NSHAPC), conducted by the Interagency Council on Homelessness 
(ICH), was designed to provide information about the providers of 
homeless assistance and the characteristics of homeless persons who use 
services. Of approximately 4,000 homeless individuals surveyed, 11 
percent received Supplemental Security Income (SSI) benefits (see 
description in Section I. C.1).
    Unfortunately, the survey methodology does not allow us to draw 
firm conclusions about numbers of homeless individuals who might 
qualify

[[Page 55700]]

for retirement, survivors, or disability benefits or for SSI benefits; 
however, the survey does indicate that rates of chronic illness and 
serious physical and mental impairments are quite high among the 
homeless population. Forty-five percent of the homeless individuals 
surveyed reported having one or more chronic physical health 
conditions, while 39% report mental health problems.
    An estimated 10 percent of the nation's homeless are considered 
``chronically homeless,'' as defined in Section I.A.

C. Background

1. Program Information
    SSA administers two programs that provide cash benefits: 
Retirement, Survivors, and Disability Insurance (RSDI) and Supplemental 
Security Income (SSI).
    RSDI Benefits. RSDI benefits are based on worker contributions to 
the Social Security Trust fund. There are four general types of RSDI 
benefits: retirement, disability, family, and survivors benefits. 
Individuals may be eligible for benefits based on their own 
contributions to the Social Security Trust Fund, or based on 
contributions of a family member. The amount of the benefit is based on 
the amount of the insured worker's contributions. Disability benefits 
are often referred to as Social Security Disability Insurance, or SSDI, 
although this category of RSDI benefits also includes Disabled 
Widow(er)s Benefits and Childhood Disability Benefits. For that reason, 
this type of benefit will be referred to as ``Social Security 
disability benefits'' or ``disability insurance benefits'' in this 
announcement.
    Individuals who are eligible for retirement benefits qualify for 
Medicare. So do individuals who receive disability insurance benefits, 
after a 24 month entitlement period. Coverage under Medicare Part A 
(hospital insurance) is automatic. Beneficiaries must pay a premium to 
be covered by Part B, which helps to pay for outpatient services, as 
well as certain medical supplies. Some beneficiaries may qualify for 
the State Medicaid program to pay their Medicare, Part B premium.
    SSI. The SSI program is financed from general revenue funds of the 
U.S. Treasury and provides monthly benefit payments to aged, blind, and 
disabled people who have limited resources and income. The Federal 
government pays a Federal benefit rate (FBR). In 2003, the FBR for an 
individual is $552 per month and $829 per month for a couple. In 
addition, many States supplement the FBR; the supplementary benefit 
amounts and the categories of persons eligible for these benefits vary 
from State to State. In most states, SSI eligibility automatically 
results in eligibility for Medicaid; in a few states, individuals must 
file a separate application for Medicaid.
    An individual or couple may have earned or unearned income and 
still may be eligible for the SSI program. Under numerous provisions, a 
certain amount of income is excluded in determining eligibility and 
computing the SSI benefit amount. People who live in a State that 
supplements the Federal payment may have higher amounts of income and 
still may qualify for some benefits.
    To be eligible for SSI a person must reside in the U.S. or the 
Northern Mariana Islands and be a U.S. citizen or national of the 
United States, or an Alien if he or she meets the requirements of the 
laws for non-citizens that went into effect on August 22, 1996. In 
general, beginning August 22, 1996, most aliens must meet two 
requirements to be potentially eligible for SSI benefits:
    [sbull] Be in a qualified alien category; and
    [sbull] Meet a condition that allows qualified aliens to get SSI 
benefits.
    Further information about SSI eligibility for non-citizens is 
available at http://www.socialsecurity.gov/pubs/11051.html.
    Concurrent Eligibility. Some individuals may be eligible for 
benefits under both Social Security disability insurance and the SSI 
program (retirees and survivors may also receive some SSI supplement to 
their monthly benefit). Many individuals who receive Social Security 
disability benefits, who also have low incomes and limited assets, may 
qualify for Medicaid, or may qualify for their State Medicaid program 
to pay their Medicare premiums.
    Disability Benefits. Approximately 2.5 million individuals applied 
for disability insurance and/or SSI disability benefits in SSA's fiscal 
year 2002. Social Security disability insurance and SSI disability 
payments are made to over nine million individuals with disabilities 
and their families.
    The Social Security Act establishes a stringent standard for 
eligibility for benefits that applies to both SSI and disability 
insurance claimants. For individuals aged 18 or older, disability is 
defined as an inability to ``engage in substantial gainful activity 
(SGA) by reason of any medically determinable physical or mental 
impairment(s) which can be expected to result in death, or which has 
lasted or can be expected to last for a continuous period of not less 
than 12 months.'' SGA refers to earnings from work. The amount of 
earnings that constitutes SGA is increased annually. In 2003, the SGA 
amount is $800 per month for non-blind persons. The SGA amount for 
statutorily blind individuals for 2003 is $1,330 per month.
    Individuals under the age of 18 may qualify for an SSI benefit 
based on disability. In order to be considered disabled, a child must 
have a medically determinable physical or mental impairment or 
combination of impairments that causes marked and severe functional 
limitations. The impairment(s) must last or be expected to last twelve 
months or more, or to result in death. A child may not be considered 
disabled if he or she has earnings considered to be SGA.
    SSA works cooperatively with the States, who are responsible for 
making disability and blindness determinations through their Disability 
Determination Services (DDS) offices. SSA takes a detailed medical 
history from the claimant during the initial interview and sends that 
information to the DDS. The DDS then secures medical records and, if 
needed, schedules an additional medical examination, called a 
``consultative examination'' (CE). Based upon this evidence, and in 
combination with other evidence, such as vocational factors (age, 
education, and work history) a disability or blindness determination is 
made.
2. SSA Collaboration With Other Federal Agencies and the Interagency 
Council on Homelessness
    With his fiscal year 2003 budget, President George W. Bush 
announced an initiative to end chronic homelessness in ten years. He 
reactivated the Interagency Council on Homelessness (ICH), which has 
developed a comprehensive plan to achieve the President's vision.\2\ 
The Executive Director of the ICH, Philip Mangano, describes the 
effort, ``In collaboration, a number of Federal agencies are creating 
innovative initiatives that will bring change in the lives of those who 
are homeless and at risk of homelessness and change on the streets of 
our country.'' The outreach projects funded under this announcement are 
part of this comprehensive Federal strategy to end chronic 
homelessness.
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    \2\ The mission of the Interagency Council on Homelessness and 
links to member agencies are found on the ICH Web site at: http://www.ich.gov/.
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    SSA is an ICH member agency, and participates in collaborations 
with other

[[Page 55701]]

Federal agencies to combat homelessness. SSA developed a plan to 
improve services to individuals experiencing homelessness, and has 
established a workgroup to oversee implementation of the plan, which 
includes a Web site with information about SSA programs, as well as 
links to other resources (http://www.socialsecurity.gov/homelessness/).
3. SSA Outreach
    SSA conducts outreach and education to the general public and 
social service providers regarding available benefits. These services 
are primarily developed and provided by local field offices (FO). 
Current outreach activities include:
    [sbull] Establishing ongoing relationships with organization, 
including shelters, churches, and county welfare departments to provide 
immediate assistance and improve access to Social Security's programs;
    [sbull] Working with the Veteran's Administration to assist 
homeless veterans filing claims;
    [sbull] Visiting homeless shelters, social service agencies, and 
hospitals to take claims;
    [sbull] Distributing public information materials to agencies, and 
maintaining resource information about those agencies;
    [sbull] Training community service providers;
    [sbull] Establishing state-wide memorandums of understanding (MOU) 
for SSI pre-release applications from prisons; and
    [sbull] Developing liaisons with new service providers.
    SSA also provides information about Social Security and SSI 
benefits to national advocacy organizations for dissemination to 
affiliates, professionals and consumers. SSA prepares and releases a 
Monthly Information Package to all FOs that contains print media 
products for placement with local media, and a monthly newsletter, the 
Social Security Courier, which is sent to advocacy groups, nonprofit 
organizations, and intergovernmental entities. These products contain 
information on programs and issues relevant to homeless populations.
    SSI Outreach Projects. In the 1990's, Congress provided funding for 
SSA to conduct the SSI Outreach Demonstration Programs, which helped 
SSA to learn a great deal about how third parties could help the agency 
to find and serve aged and disabled individuals. SSI Outreach tested a 
number of approaches. Homeless individuals were one of the target 
populations within those projects. SSA learned a great deal from SSI 
Outreach about how to more effectively serve individuals who were 
homeless and in underserved populations. Some of the findings were that 
third-party entities could successfully:
    [sbull] Assist individuals with completing applications for 
benefits;
    [sbull] Track claimants and provide assistance in response to SSA 
requests for additional information;
    [sbull] Conduct presumptive disability screenings;
    [sbull] Refer individuals for other needed services.
    Lessons Learned. SSA is aware that our complex disability program 
is difficult for many individuals with severe disabilities to 
understand, and that special efforts must be made to provide 
application assistance. Because of variations in local needs, SSA has 
not developed a national outreach program; however, we have examined 
our past and current outreach efforts, and have determined methods that 
work well and have the potential to prove to be cost-effective 
strategies for improving our services to individuals who are 
experiencing homelessness. With this set of cooperative agreements, SSA 
intends to take the best ideas from current agency outreach efforts 
(i.e., ``best practices''), as well as the most effective approaches 
from the SSI Outreach projects. The features of effective efforts that 
we intend to incorporate in these projects include:
    [sbull] SSA and DDS collaboration with service providers that have 
expertise in identifying, engaging, and assessing applicants who are 
homeless;
    [sbull] Identifying contacts within SSA and the grantee 
organizations to facilitate communication and problem resolution;
    [sbull] Presumptive disability benefits for claimants with a high 
probability of being found disabled under Social Security's rules;
    [sbull] Grantee assistance to SSA in providing direct help to 
claimants in completing the application process, maintaining contact 
with SSA while the decision is pending, obtaining medical evidence, and 
providing post-eligibility assistance; and
    [sbull] SSA training and technical assistance to grantees.

D. Project Goals and Objectives

    The goal of these cooperative agreements will be to demonstrate 
efficient, replicable, and sustainable approaches for identifying 
individuals who are potentially eligible for benefits under any Social 
Security disability program, and providing direct assistance to these 
individuals in the benefit application process. By efficient, we mean 
those methods that find and assist potentially eligible individuals, 
minimizing the burden of application for them, while conserving both 
public and private resources. By replicable, we mean approaches and 
methods which could be used in other settings with similar results. By 
sustainable, we mean methods that can continue after the cooperative 
agreement funding from SSA ends.
    The core objectives for the projects is to identify homeless 
individuals who are potentially eligible for benefits, and to provide 
assistance to project participants that results in faster claim 
decisions and higher initial allowance (benefit approval) rates for 
those who are eligible for disability benefits under SSA's program 
rules. SSA will provide training to project staff in organizations 
which receive the cooperative agreement funding (grantees). The 
training will be designed to increase the knowledge that project staff 
have about the disability application process. The focus of the 
training will be on the disability determination process, specifically, 
on the role that the grantee can play in helping project participants 
to complete application paperwork, producing or locating valuable 
medical evidence, establishing claimant identity, verifying income and 
resources, providing information about the functional impact of 
disabling impairments, and assisting SSA in maintaining contact with 
claimants throughout the application process and after SSA makes a 
decision.
    SSA is also interested in the degree to which the assistance that 
grantees provide to claimants results in improvements in quality of 
life, particularly in the area of achieving full community integration, 
including attaining stable housing, recovery, and employment.

E. Project Features

    The HOPE projects will help SSA to demonstrate the feasibility of 
special approaches and services that use skilled medical and social 
service providers to identify, engage, and assist homeless individuals 
with disabling conditions. While SSA expects grantees to find homeless 
individuals through outreach, the focus of the cooperative agreement 
projects is to improve the knowledge and capacity of existing outreach 
providers to assist these individuals in the disability application 
process.
1. Use of Cooperative Agreement Funds
    Grantees must use cooperative agreement funds to address the goals 
and objectives described in Section I.D. To that end, SSA is interested 
in

[[Page 55702]]

applications from social and medical service providers, such as 
community mental health centers, hospitals, Health Care for the 
Homeless clinics, faith-based organizations, and other community-based 
organizations that serve the target population.
    SSA favors applicants that consider the full range of needs of 
individuals they serve, and that provide a continuum of care and case 
management. Since these projects are part of the broad Federal strategy 
to end chronic homelessness, SSA is interested in funding projects that 
provide assistance to project enrollees, not only with the disability 
benefit application process, but with obtaining other services that 
result in stabilization, recovery, and eventual entry or return to a 
productive lifestyle and full community integration. This includes 
becoming representative payees when a beneficiary is not capable of 
managing his/her benefits, and no other preferred payee is available.
    Grantees must provide certain core functions, and may choose to 
perform other optional functions, as described in sections A and B:
    A. Core Grant Activities--grantees who receive funds under this 
announcement must conduct outreach and provide assistance with the 
disability benefit application process. Specifically, grantees must:
    [sbull] Conduct outreach activities to locate homeless individuals 
with disabling impairments. Applicants must have existing capacity to 
conduct outreach activities, and are not required to increase the 
actual amount of outreach activities, although they are expected to 
serve at least 50 individuals annually within their projects. 
Applicants are encouraged to use approaches that make use of existing 
resources, including staff, and to use cooperative agreement funds to 
improve their organizational capacity to provide assistance to homeless 
individuals. In other words, applicants are encouraged to use the 
cooperative agreement funds to develop sustainable approaches that can 
continue after cooperative agreement funds are no longer available.
    [sbull] Provide direct assistance to homeless individuals in the 
application process. Activities must include helping these individuals 
to:
    [cir] Schedule an appointment to apply for benefits;
    [cir] understand the need to sign application and other forms 
needed to process the application;
    [cir] complete application paperwork; and
    [cir] communicate effectively with SSA staff when filing a claim.
    [sbull] Assist claimants with finding necessary documentation, 
including proof of identity, financial records, and medical records. 
Many homeless individuals lose identity documents. Grantees will assist 
homeless individuals in establishing identity, and replacing lost 
immigration paperwork. Grantees will also help homeless claimants to 
document past medical treatment, and assist the DDS in obtaining 
evidence of past treatment. Finally, grantees will help claimants to 
find relevant financial records, including documenting and reporting 
any income and resources obtained throughout the disability application 
and appeal process.
    [sbull] Provide existing medical evidence in the grantee's medical 
records.
    [sbull] Perform any necessary medical examinations, arrange for 
such examinations, and/or establish a collaborative relationship with 
an organization that will perform any examinations needed to make a 
disability determination. Cooperative agreement funds may be used to 
pay for examinations conducted by psychologists, psychiatrists, general 
practitioners, or specialist physicians.
    [sbull] Assist claimants with attending consultative examinations, 
when necessary. In general, evidence from treating sources that have an 
on-going relationship with claimants is preferred, and the DDS attempts 
to get such information before scheduling a ``consultative 
examination'' (CE) with a medical provider, who examines a claimant, 
and provides a report to the DDS. As noted above, the grantee may use 
cooperative agreement funding to arrange for an examination with a 
qualified provider; however, in some areas, grantees may have 
difficulty establishing such relationships with medical providers. In 
such cases, the grantee will notify the DDS immediately, so that the 
DDS examiner will know that a CE will be necessary. The DDS will pay 
for such examinations, when necessary, and the grantee will enable the 
claimant to attend the examination.
    [sbull] Provide information regarding the effect that a claimant's 
impairment has on the ability to perform work. SSA needs information 
about how impairments limit a claimant's functioning, including 
restrictions in exertional activities, such as bending and lifting, as 
well as non-exertional factors, such as the ability to concentrate and/
or persist in the performance of tasks. Grantees will provide 
information about claimants' ability to complete activities of daily 
living and instrumental activities of daily living, with and without 
assistance.
    [sbull] Maintain contact with the claimant throughout the 
determination process, and help the claimant to respond to requests for 
further information. A key responsibility of grantees will be to help 
SSA maintain contact with claimants. This may include serving as an 
authorized ``representative'' for a claimant, but can also include 
informal steps, such as establishing a contact within the grantee 
agency for claimants served by the grantee.
    [sbull] Assist claimants with filing reconsiderations and appeals. 
Claimants have appeal rights when they receive denials or partially 
favorable decisions. Appeal rights are described in SSA's publication, 
the The Appeals Process (SSA Publication No. 05-10041, April 1999) 
which can be found at http://www.ssa.gov/pubs/10041.html. If a claimant 
disagrees with SSA's decision on their initial claim, the grantee will 
assist the claimant in filing a timely reconsideration. If the claimant 
disagrees with a reconsideration decision, the grantee will assist the 
claimant in filing a timely request for a hearing.
    [sbull] Collaborate with and make referrals to other organizations 
to ensure favorable outcomes for claimants and beneficiaries, including 
working with agencies that provide:
    [cir] Mental health services;
    [cir] supportive housing;
    [cir] community-based health care providers;
    [cir] employment rehabilitation services;
    [cir] job placement;
    [cir] benefit planning assistance and outreach;
    [cir] veteran's health benefits;
    [cir] substance abuse treatment;
    [cir] translation and/or interpreter services; and
    [cir] services to parolees and those in work-release programs
    [sbull] Assist claimants with participating in SSA electronic 
application and case processing initiatives. SSA is moving in the 
direction of establishing an electronic disability claims process, 
known as ``eDib.'' While not every applicant will be capable of or 
required to file claims via SSA's electronic claims process, SSA will 
be establishing an electronic claim folder for all claimants. SSA plans 
to implement this new way of doing business in stages, by rolling out 
the process gradually in some locations. When possible, grantees should 
assist claimants to complete the Disability Report form (SSA i3368 or 
SSA i3820) on the internet, and claimants for disability insurance to 
complete the application form on-line.

[[Page 55703]]

Applicants should note that they may use cooperative agreement funds, 
as noted in Section I, Section E.1.B, to improve their capacity to 
operate in an electronic environment.
    [sbull] Attend training designed to improve the quality of core 
activities. Required training is described in Section I.E.2.
    [sbull] Plan for project continuation when cooperative agreement 
funding ends. SSA is interested in funding projects which focus on 
developing their organizational capacity to serve disability benefit 
claimants, and which make use of partnerships with other community 
service providers, and which leverage existing funding and resources to 
achieve outcomes.
    B. Optional Activities--Cooperative agreement funds may also be 
used to perform other functions, particularly those that will help 
homeless individuals with disabling impairments to attain stable 
supportive housing, recover, attain employment, and use benefits to 
meet basic needs. Funds may be used to:
    [sbull] Develop and improve representative payee services. Grantees 
may assume the responsibilities of a representative payee (payee), or 
may recruit and train volunteer payees. Examples of how funding may be 
used include setting up an accounting system; working with a local bank 
to establish a group and/or individual accounts; and training grantee 
staff, family members of clients, or community volunteers to provide 
payee services. Applicants may wish to refer to information for 
organizational payees available at http://www.ssa.gov/payee/organ.htm 
in order to get ideas about how to use funds to improve representative 
payment.
    [sbull] Screen claimants for ``presumptive disability (PD).'' Under 
SSA program rules, an SSI claimant may receive payments, for up to six 
months, based on a presumption of disability (PD). SSA or the DDS must 
have enough evidence that the claimant will meet SSA's strict 
definition of disability in order to make a PD determination. Federal 
regulations require SSA to make a final medical determination within 
six months following application. Applicants that propose to conduct PD 
screenings for SSA must include a description of the activities they 
will undertake to ensure the quality of the screening mechanism, 
including a description of the clinical qualifications of the screener. 
SSA is interested in achieving a low ``reversal rate'' for PD 
decisions. A PD reversal occurs when an individual is allowed PD 
payments, and then is formally denied SSI disability benefits after 
final medical development. Within these projects, SSA will actually 
make the PD determination; a grantee can do no more than make a PD 
recommendation. SSA will provide training in current agency PD rules to 
all grantees. Prior to implementing any additional presumptive 
disability procedures in cooperative agreement projects, SSA will 
establish guidelines to protect the integrity of the PD process. 
Grantees that choose to exercise the option to include a PD element in 
their project will work with SSA program staff, and local field office 
and DDS representatives, after award, to establish and implement any 
project-specific procedures that may be deemed necessary by SSA.
    [sbull] Establish and implement pre-release procedures. Individuals 
who leave institutions, particularly state mental hospitals, prison, 
and institutions for the care of persons with mental retardation, are 
at high risk of becoming homeless. Projects may use cooperative 
agreement funds to establish and conduct discharge planning activities 
that include making arrangements to establish eligibility prior to 
discharge. Note that such arrangements are possible under current SSA 
rules, but that program rules do not allow for benefits to be paid 
prior to release or discharge. Individuals who had received SSI 
benefits that were suspended require a redetermination of eligibility 
prior to release or discharge so that SSA can determine current living 
arrangements and any other changes that might affect eligibility. If an 
applicant chooses to use project funds to conduct such activities, they 
may serve those who have never received disability benefits, as well as 
those whose benefits are in suspense, and those whose benefits have 
terminated.
    [sbull] Improve electronic services and information sharing. As 
noted in the bulleted items under ``Core Activities'' (Section 
I.E.1.A), SSA is moving to an electronic disability application and 
case processing environment. All grantees will be required to make 
attempts to cooperate with the roll-out of this initiative, to the 
extent possible. But SSA encourages applicants to consider ways to work 
more effectively with SSA as the agency develops its electronic case 
processing initiatives. Grantees may use cooperative agreement funds to 
strengthen their ability to operate in this new environment, including 
purchasing scanners, fax machines, and laptop computers to be used by 
outreach workers in the field to complete forms with applicants. 
Grantees may also use cooperative agreement funding to establish 
internet service that will allow for the transfer of medical records to 
a secure Web site, when this option becomes available.
    [sbull] Develop a work entry/return-to-work program. Disability 
benefits can provide income support that can help an individual obtain 
housing, and begin a recovery process. But many individuals with 
disabilities want the opportunity to work, and improve their quality of 
life. Grantees may choose to focus on helping homeless individuals to 
make a transition to independence, by focusing on rehabilitative, 
vocational, and other activities that help them work. The Ticket to 
Work and Work Incentives Improvement Act of 1999 directed SSA to 
establish the Ticket Program. Under the Ticket program, beneficiaries 
may receive employment services, vocational services, or other services 
from Employment Networks (ENs). ENs are public or private providers, or 
consortiums of providers, of such services. Grantees may become ENs, 
either on their own, or in cooperation with other organizations. For 
more information about the Ticket to Work program, and ENs, visit: 
http://www.yourtickettowork.com/. This Web site is maintained by 
Maximus, Inc., a private company that is helping SSA to manage the 
Ticket Program.
2. Training and Technical Assistance
    Grantees must identify project staff to participate in training 
provided by SSA, DDS, and/or SSA training contractors. The training is 
designed to improve the ability of grantee organizations to assist 
claimants. Grantees will pay for all costs associated with attending 
training sessions, and may use cooperative agreement funds to pay these 
costs.
    SSA will develop a standardized training curriculum, which will be 
delivered initially in group training sessions. SSA and DDS staff will 
deliver the training, which will be coordinated and supported through 
contractor assistance. While grantees are encouraged to send all 
project staff to training, they must identify one person who will 
attend all SSA training, and who will be responsible for training other 
grantee agency personnel. SSA believes this is necessary, because:
    [sbull] Some grantees may find it impossible for all staff involved 
in the project to attend training, without interrupting critically 
important services;
    [sbull] some grantee organizations may organize services in such a 
way that it is impractical to provide in-depth training to all staff 
who may assist project enrollees; and

[[Page 55704]]

    [sbull] grantee organizations may experience turnover during 
project operation.
    For the purposes of establishing a training travel budget, grantees 
should assume that all employees who attend the training will be 
required to travel for two days to the city in which their SSA Regional 
Office is located. Applicants can determine which SSA region they are 
in by visiting http://www.ssa.gov/otherssasites/, and scrolling down to 
the menu for Regional Offices, or by calling SSA's toll-free number at 
(800)-772-1213.
    Grantees that have physicians on staff are strongly encouraged to 
require those physicians to review materials prepared by SSA's Office 
of Provider Relations, specifically, a publication and video entitled, 
``Understanding Social Security Disability.'' The American Academy of 
Family Physicians has certified this material for continuing medical 
education credits (CME).
    SSA, through its training and technical assistance contractor, will 
provide on-going technical assistance to grantees. When preparing a 
project plan and budget, applicants should assume that some staff time 
will be required to receive technical assistance, but no travel will be 
required.
3. Conferences
    In addition to the group training sessions, grantees will be 
required to attend one two-day start-up conference in the Washington, 
DC, area, and to attend a two-day conference in the same location at 
the end of each project year. Minimally, the project director is 
expected to attend both conferences. Other project staff may attend, as 
well. Project budgets should assume that conference participants will 
need to stay in Washington for at least three nights, and that they 
will not receive any special room rates.
4. Meetings
    The project director of each grant project will participate in 
monthly conference calls during the first six months of the project 
with a SSA Federal project officer (FPO) from the Office of Program 
Development and Research. Representatives from SSA regional offices, 
FOs, and other headquarters components, as well as DDS representatives, 
will participate as necessary.
    Grantees will be expected to meet with representatives from SSA, 
including the local SSA FO and the state DDS after award notification, 
to discuss project start-up and procedures. SSA FPOs will participate 
in person or by conference calls in initial meetings. In general, 
project procedures will not require any deviation from existing 
operating procedures in FOs, or DDSs, although FOs and DDSs may work 
with grantees to create special procedures, particularly those that 
might lead to reductions in case processing time.
    Grantees and SSA FOs and/or DDSs may establish a memorandum of 
understanding, or other written document designed to formalize 
agreements regarding case processing. If this type of activity occurs, 
grantees will consult with the SSA FPO, as well as the field office or 
DDS. Applicants are prohibited from seeking letters of intent or 
agreement from local FOs, other SSA offices, or from state DDS offices 
prior to award notification.
    For the purposes of establishing a budget for meetings, applicants 
should assume monthly visits to the SSA field office(s) that serve 
project participants, as well as at least two meetings annually at the 
state DDS office.

Section II. Award Information

A. Statutory Authority and Catalog of Federal Domestic Assistance 
Number

    These projects derive their authority from section 1110 of the 
Social Security Act (the Act). The regulatory requirements that govern 
the administration of SSA awards are in the Code of Federal 
Regulations, Title 20, Parts 435 and 437. Applicants are urged to 
review the requirements in the applicable regulations. This program 
will be listed in the Catalog of Federal Domestic Assistance under 
Program No. 96.007, Social Security Administration--Research and 
Demonstration.

B. Type of Awards

    Funding made available under this announcement will be in the form 
of cooperative agreements between the government and the awardee. 
Cooperative agreements are a legal instrument reflecting a relationship 
between the U.S. Government and a recipient when the principal purpose 
is to transfer a thing of value to the recipient and substantial 
involvement is expected between the Agency and the recipient when 
carrying out the activity contemplated by the agreement. Involvement 
will include collaboration or participation by SSA in the management of 
the activity as determined at the time of the award. For example, SSA 
will be involved in decisions involving data collection and evaluation, 
grantee training, deployment of resources, release of public 
information materials, quality assurance, and coordination of 
activities with other offices.
    SSA has chosen to use cooperative agreements for funding projects 
to serve homeless individuals in order to assure accountability for 
funding, and to maintain the ability to successfully monitor and 
evaluate projects.

C. Number, Size, and Duration of Projects

    Congress appropriated $8 million in FY 2003 for SSA to conduct this 
set of outreach projects. SSA intends to fund projects over a period of 
three years, with initial awards being made by January 2004. SSA 
intends to enter into cooperative agreements for 4 years, subject to 
the availability of annual appropriations by Congress, and will fund 
project activities in years 1-3, with only data reporting activity in 
year four. No additional funds will be awarded in year four, so 
applicants must budget for year four activities in year 3, and conduct 
the data collection in year 4. SSA anticipates that projects will 
require a higher level of funding in the first year following award, in 
order to fund start-up activities. SSA plans to gradually reduce 
funding to projects over the 4 year period, so that additional projects 
may be funded.
    Project budgets should reflect a reduction in dependence on 
cooperative agreement funding over the three year funding period, with 
a 25% reduction in the total budget in year two, and a 50% reduction in 
year three. Renewals of project funding will be determined annually, 
dependent on the availability of funding, and the determination that 
the award is in the best interest of the Government. SSA also expects 
projects to report follow-up data in the year following the conclusion 
of the project.
    SSA may suspend or terminate any cooperative agreement, in whole or 
in part, at any time before the date of expiration, whenever it 
determines that the awardee has materially failed to comply with the 
terms and conditions of the cooperative agreement. SSA will promptly 
notify the awardee in writing of the determination and the reasons for 
suspension or termination, together with the effective date.
    SSA has reserved a portion of the $8 million appropriation to fund 
training and technical assistance to grantees and to evaluate the 
projects. Approximately $6.5 million will be available for awards under 
this announcement. SSA plans to fund approximately 30 projects, with 
awards of up to $200,000 annually. The exact number of awards will be 
determined by the size of awards.

[[Page 55705]]

D. Awardee Share of the Project Costs

    Awardees of SSA cooperative agreements are required to contribute a 
non-Federal match of at least 5 percent toward the cost of each 
project. The cost of the project is the sum of the Federal share (up to 
95 percent) and the non-Federal share (at least 5 percent). For 
example, an entity that is awarded a cooperative agreement of $200,000 
would need a non-Federal share of at least $10,526. The non-Federal 
share may be cash or in-kind (property or services) contributions.

Section III. The Application Process

A. Eligible Applicants

    Public and private organizations, including nonprofit, profit-
making, and faith-based organizations, may apply for cooperative 
agreement funding made available under this announcement. Organizations 
that are awarded funding must:
    [sbull] Have existing expertise and capacity for outreach to 
homeless and other underserved groups;
    [sbull] be able to provide culturally competent services that are 
fully accessible to the target population, including individuals that 
require accommodations;
    [sbull] be a direct provider of health care services or provide 
referrals and assistance to clients in obtaining health care services.
    Cooperative agreements may not be awarded to:
    [sbull] Any individual;
    [sbull] Social Security Administration FOs;
    [sbull] State DDS offices; or
    [sbull] Any organization described in section 501(c) (4) of the 
Internal Revenue Code of 1968 that engages in lobbying (in accordance 
with section 18 of the Lobbying Disclosure Act of 1995, 2 U.S.C. 1611).
    All applications developed jointly by more than one agency or 
organization must identify only one organization as the lead 
organization and official applicant. The other participating agencies 
and organizations can be included as co-applicants, subgrantees or 
subcontractors.
    All applicants for Federal grants and cooperative agreements are 
required to provide a Dun and Bradstreet (D&B) Data Universal Number 
System (DUNS) number on or after October 1, 2003. The DUNS number will 
be required whether an applicant is submitting a paper application or 
using the government-wide electronic portal (Grants.gov). Organizations 
should verify that they have a DUNS number or take the steps needed to 
obtain one as soon as possible. Organizations can receive a DUNS number 
at no cost by calling the dedicated toll-free DUNS number request line 
at 1-866-705-5711.

B. Targeted Population

    Congress intended funding made available by SSA under this 
announcement be used to provide outreach to homeless and ``other under-
served'' populations. President George W. Bush also established a goal 
to end chronic homelessness, and has directed Federal agencies to 
cooperate to achieve that goal. Therefore, this set of cooperative 
agreements will target homeless adults and children who have physical 
and/or mental impairments that might qualify them as ``disabled'' under 
Social Security's rules. Under-served homeless individuals include, but 
are not limited to, persons:
    [sbull] With serious mental illness;
    [sbull] with HIV infection;
    [sbull] with limited English proficiency;
    [sbull] with cognitive impairments; and
    [sbull] who are disabled veterans.
    Although SSA intends for most projects funded under this 
announcement to serve individuals who need assistance with applications 
for SSI benefits, projects may assist disabled or elderly homeless 
persons who are insured for disability, retirement and/or survivors 
benefits.
    Cooperative agreement awardees must make concerted and assertive 
efforts to provide appropriate services for project participants with 
limited English proficiency, those who need accommodations related to a 
disability, and those who have needs for culturally sensitive services. 
In particular, applicants should show how they intend to assure that 
participants from diverse populations are served by the project.
    Applicants must specify by district, county, municipality, or state 
the geographic area to be covered (if more than one site is proposed, 
the geographic area for each must be specified).

C. Costs

    Federal cooperative agreement funds may be used for allowable costs 
incurred by awardees in conducting required and optional project 
activities, as described in Section I, Section E.1. These costs could 
include administrative and overall project management costs, within the 
limitations established in this announcement.
    Federal cooperative agreement funds are not intended to cover costs 
that are reimbursable under an existing public or private program, such 
as social services, rehabilitation services, or education. No Social 
Security or SSI beneficiary can be charged for any service delivered 
under a HOPE cooperative agreement. Cooperative agreement funds may not 
be used to create new benefits or extensions of existing benefits.

Section IV. Program Requirements

A. General Requirements

    Each application must include a brief project abstract that does 
not exceed one page in length before the narrative. The application 
narrative must not exceed 30 pages. Applicants must identify targeted 
age group(s) and location of the targeted service area(s) (e.g., 
district, municipality or county, and/or independent city). The 
narrative must include an implementation plan that shows how the 
applicant will:
    1. Finalize the management information (MI) system data collection 
elements and procedures with SSA and the evaluation contractor, 
described in Section IV.B, within 90 days after award;
    2. Report data elements, as described in Section IV.B and C.
    3. Develop and submit quarterly reports that contain progress and 
status toward achieving goals and objectives, and MI data updates to 
the Office of Acquisition and Grants (OAG);
    4. Develop and submit quarterly financial reports to SSA, OAG;
    5. Meet with SSA Project Staff and other grantees for an initial 2 
day meeting/conference in Washington, DC, within the first 90 days 
following award;
    6. Begin to enroll participants within 120 days after award;
    7. Provide a description of any planned changes to the project 
design for approval by SSA prior to implementation;
    8. Cooperate with SSA and any contractor in connection with these 
projects in scheduling and conducting site visits;
    9. Implement an ongoing management and quality assurance process 
that uses MI data;
    10. Conduct activities designed to improve organizational capacity, 
gradually reduce reliance on cooperative agreement funds, and sustain 
the project activities after cooperative agreement funding is no longer 
available.
    11. Attend an annual SSA conference in Washington, DC, participate 
in panel and small group discussions, and make project presentations; 
and
    12. Coordinate project activities with SSA's FO and the DDS in the 
grantee's state. (Applicants should not request

[[Page 55706]]

letters of intent or commitment from SSA FOs. SSA will secure FO 
cooperation.)

B. Evaluation

    The projects will work with an evaluation contractor who will 
conduct an independent evaluation of outcomes, impacts, and benefits of 
the HOPE projects. Grantees must make data collected in the projects 
available to the evaluation contractor, as specified by the evaluation 
contractor under the direction of SSA.
    The purpose of the evaluation is to assess the extent to which the 
projects are successful in achieving the goals, objectives, and 
outcomes of the projects.
    The evaluation results will be used to assist SSA in identifying 
possible changes in policies or procedures that could enhance service 
to the public or otherwise improve administration of the program. The 
evaluation reports will be disseminated to others involved in providing 
community-based services to individuals who are homeless or members of 
under-served populations. To the extent possible, project data will be 
used to conduct cost-benefit analyses, which will help SSA to answer 
not only the question of whether the activities conducted in the 
project affect outcomes for program claimants, but how much they affect 
outcomes, and at what cost.
1. Enrollment Guidelines
    Each grantee is required to enroll at least 50 individuals in their 
project. SSA encourages grantees that serve large numbers of homeless 
individuals attempt to achieve higher enrollment numbers. In order to 
be considered a project participant, and to receive services as a 
participant of any HOPE project, an individual must be enrolled by the 
grantee, using the reporting mechanism described in Section II.C.1.
    Grantees may enroll individuals who have not yet filed an initial 
application, as well as those whose benefits are in suspense or 
terminated. Grantees may not enroll individuals who have pending 
applications with SSA, nor those who have already filed for a 
reconsideration or appeal of a denial or partially favorable decision. 
The grantee may, of course, continue to serve such individuals, but for 
the purposes of enrollment and data collection, grantees must follow 
these guidelines. Individuals who are served by the grantee that are 
not enrolled are not eligible to receive any special case processing 
consideration that is accorded enrollees. Allowing for enrollment of 
those whose benefits are suspended or terminated will allow projects 
that focus primarily on pre-release activities to meet enrollment 
targets.
    Grantees may enroll individuals that they have already had contact 
with prior to award of the cooperative agreement, provided that the 
individual has not already filed a claim. The grantee may provide 
services to individuals who refuse to sign the consent forms described 
in Section II.C.2, but they may not enroll or report data to SSA on 
individuals who refuse to sign forms indicating that they authorize 
release of personal information.

C. Data Collection

1. Data Elements
    SSA's evaluation contractor will develop and maintain a secure 
interactive Web site to collect evaluation information from the 
grantees. Grantees will log-on to the Web site and input information on 
each project enrollee monthly, which will then be readily accessible to 
the contractor and to SSA. ``Project enrollees'' are defined in Section 
II.B.1.
    All data elements are to be reported using precise definitions, 
which will be developed by the evaluation contractor and approved by 
SSA. Adherence to such definitions is crucial to the comparability of 
the data across project sites. Grantees must report these elements on 
the secure Web site established by the contractor.
    Specific instructions will be available at the time that the 
projects begin enrollment. The data elements below will be entered on 
the secure Web site monthly, except as noted:
    [sbull] The project enrollee's name, date of birth, and social 
security number (report only at time of enrollment);
    [sbull] Time (in hours) spent developing the medical evidence;
    [sbull] Time (in hours) spent providing other forms of application 
assistance;
    [sbull] The date of all grantee contacts with SSA during the 
application process, identification of an issue category, and an 
indication of whether the issue was resolved, or if further follow-up 
will be necessary;
    [sbull] The date the project enrollee received notice of the 
determination;
    [sbull] Whether a recommendation for presumptive disability (PD) 
benefits was made by the grantee;
    [sbull] If so, whether SSA adopted the PD recommendation;
    [sbull] A description of the living situation of the project 
enrollee on the date that the individual files a claim for benefits, to 
include:
    [sbull] A description of the living situation of the project 
enrollee on the date that the individual files a claim for benefits, to 
include:
    [sbull] Dwelling type:
    [sbull] Living on the street (in doorways, on sidewalks, etc.);
    [sbull] Other outdoor location;
    [sbull] Other place not meant for human habitation (e.g., abandoned 
buildings);
    [sbull] Living with friends or relatives;
    [sbull] Foster care;
    [sbull] Halfway house or group home;
    [sbull] Correctional facility;
    [sbull] Institution;
    [sbull] Emergency or transitional shelters;
    [sbull] Housing units containing people living doubled up with 
family members or friends;
    [sbull] Other
    [sbull] Unknown
    [sbull] A description of the living situation of the project 
enrollee, one year following the date that the individual files a claim 
for benefits, and eighteen months following application, to include:
    [sbull] Dwelling type:
    [sbull] Living on the street (in doorways, on sidewalks, etc.);
    [sbull] Other outdoor location;
    [sbull] Other place not meant for human habitation (e.g., abandoned 
buildings);
    [sbull] Living with friends or relatives;
    [sbull] Foster care;
    [sbull] Halfway house or group home;
    [sbull] Correctional facility;
    [sbull] Institution;
    [sbull] Emergency or transitional shelters;
    [sbull] Housing units containing people living doubled up with 
family members or friends;
    [sbull] Other
    [sbull] Unknown
    [sbull] Representative Payee information
    [sbull] Did the grantee recommend a payee (report when 
recommendation is made, and any changes)
    [sbull] When benefits start, report if the grantee is the payee, or 
if the grantee found another payee.
2. Privacy
    All personal information collected by SSA is protected by the 
Privacy Act of 1974. All projects must adhere to SSA's Privacy and 
Confidentiality Regulations (20 CFR 401) for maintaining records of 
individuals, as well as provide specific safeguards surrounding 
beneficiary information sharing and storage of paper/computer records/
data. All applications must describe proposed practices for addressing 
clients' privacy and obtaining informed consent for any disclosure. The 
plan described in the applicant's project description must address the 
following elements:
    [sbull] The development and use of a consent form that will allow 
the grantee to disclose clients'' personal

[[Page 55707]]

information to SSA. SSA will provide a suggested format for the consent 
form, which may either be adopted by the grantee, or tailored to 
include any state or agency-level requirements. Applicants selected 
under this announcement must provide SSA with a copy of the consent 
form. The Federal Project Officer must approve this consent form prior 
to the enrollment of any project participants.
    [sbull] The use of Form HIPAA SSA-827, Authorization to Disclose 
Information to the Social Security Administration. This form is 
required as written authorization from a claimant for SSA to obtain 
information required for processing an application for disability 
benefits.
    [sbull] The use of Form SSA-3288, Social Security Administration's 
Consent for Release of Information. This form will allow SSA to give 
information concerning the client to the grantee and to the evaluation 
contractor.
    [sbull] If necessary, the grantee will attain the approval of their 
Institutional Review Board (IRB), and furnish SSA with a copy of the 
approval document.
    Copies of Forms HIPAA SSA-827 and SSA-3288 can be obtained on-line 
through the SSA Web site: http://www.socialsecurity.gov/.
3. Training Data
    Grantee staff that attend training will complete a pre-training 
test of knowledge regarding the disability program, as well as a post-
training test. They will also complete a training evaluation form at 
the time of training. The pre and post training tests will provide 
measures of the impact of training on knowledge about the disability 
application and decision process. The participant evaluation will 
provide a measure of the perceived value and quality to the training.

D. Reporting

    Grantees will be required to submit quarterly reports to SSA, OAG, 
within 30 days following the end of each quarter (using the initial 
award date as the project start date). These reports will assist SSA in 
providing proper oversight and technical assistance to grantees.
Quarterly Report Format
    [sbull] Description of the project (first quarter report only);
    [sbull] Actions taken during the quarter;
    [sbull] Planned activities for upcoming quarter(s);
    [sbull] Number of project participants enrolled, to date, and at 
the close of the report period;
    [sbull] Number of individuals who refused to enroll;
    [sbull] Any problems or proposed changes in the project; and
    [sbull] Additional summary information.

E. Monitoring

    SSA FPOs will be responsible for ensuring the effective 
implementation of each cooperative agreement. SSA project personnel 
(SSA FPO and/or other staff) expect to visit each project at least once 
in each year of the cooperative agreement. In addition, Regional or 
field office personnel may accompany SSA FPOs on site visits. The 
design of this project anticipates frequent interaction between the 
local FO, the state DDS office, and the grantee. SSA project staff will 
hold conference calls on a national, regional, and/or local basis at 
least once monthly during start up of the projects (six months 
following award), and at least quarterly during the rest of the project 
period. The purpose of these calls will be to coordinate activities 
across the project sites, resolve problems, and provide oversight, 
support, and technical assistance to all parties.

F. Technical Assistance

    SSA will provide technical assistance to the grantees and will 
monitor and evaluate the progress of the projects. Technical assistance 
will be provided with the support and assistance of a contractor. 
Awardees will be informed of the procedures for accessing technical 
assistance within 60 days following award. Grantees will be notified by 
email about any changes in or additions to technical assistance 
procedures.

Section V. Application Review Process and Evaluation Criteria

A. Application Process

    The cooperative agreement application process consists of a one-
stage, full application. Independent reviewers will competitively 
review and score the application, using the evaluation criteria 
specified in this announcement (see Section V).

B. Application Requirements

    Applications will be initially screened for responsiveness to this 
announcement. If judged irrelevant, the application will be returned. 
Also, applications that do not meet the applicant eligibility criteria 
in Section III.A above will not be accepted.
    1. Number of Copies: The applicant must submit one original signed 
and dated application and a minimum of two copies. The submission of 
seven additional copies is optional and will be appreciated, but will 
not affect the evaluation or scoring of the application.
    2. Length: A project abstract of not more than one page must 
precede the narrative of each application. The program narrative 
portion of the application (Section III of the SSA-96-BK) may not 
exceed 30 double-spaced typed pages (or 15 single-spaced pages) on one 
side of the paper only, using standard (8\1/2\'' x 11'') size paper, 
and 12-point font. The attachments to support the program narrative 
count towards the 30-page limit. Resumes, job descriptions and letters 
of cooperation/collaboration do not count in the 30-page limit.
    Section VI.B contains a detailed checklist for the application 
format.

C. Review and Evaluation

    All applications that meet the deadline for application submission 
November 25, 2003, will be screened to determine completeness and 
conformity to the requirements of this announcement. Complete and 
conforming applications will then be evaluated. The results of this 
review and evaluation will assist the Commissioner in making award 
decisions.
    Although the results of this review are a primary factor considered 
in making award decisions, the review score is not the only factor 
used. In selecting eligible applicants to be funded, consideration also 
may be given to achieving an equitable distribution of assistance among 
geographic regions of the country and to diverse populations.
    Applications that are complete and conform to the requirements of 
this announcement will be reviewed competitively against the evaluation 
criteria specified in Section V.B. of this announcement. Applicants 
must complete the Form SSA-96-BK. See Section VI for instructions on 
obtaining Form SSA-96-BK.
    Applications that pass the screening process will be independently 
reviewed by at least three individuals (primarily qualified persons 
from outside of SSA), who will evaluate and score the applications 
based on the evaluation criteria specified in Section V.B.

D. Application Approval

    Cooperative agreement awards will be made pursuant to the 
availability of funds and at the discretion of SSA. The official award 
document is the ``Notice of Cooperative Agreement Award,'' which will 
provide the amount and purpose of the award, the duration of the 
agreement, the total project period for which support is contemplated, 
applicable reporting requirements, the amount of financial 
participation required from the applicant, and any special terms and 
conditions of the cooperative agreement.

[[Page 55708]]

E. Evaluation Criteria

    There are three categories of criteria used to score applications: 
Capability; relevance/adequacy of project research design; and 
resources and management. The total points possible for an application 
is 100, and sections are weighted. The score for each application is 
the sum of its parts. Although the results from the independent panel 
reviews are the primary factor used in making funding decisions, they 
are not the sole basis for making awards. The Commissioner will 
consider other factors as well when making funding decisions. For 
instance, the need to assure a proper geographic distribution of 
projects, or the need to target geographic regions with high rates of 
chronic homelessness may influence award decisions.
    The following are the evaluation criteria that SSA will use in 
reviewing all applications (relative weights are shown in parentheses). 
The application narrative should include the following sections in this 
order.
1. Capability (30 points total)
    These criteria will be used to assess the applicant's capability to 
develop and manage a project. SSA will consider the following:
    [sbull] Evidence of successful previous experience related to 
services to individuals who experience chronic homelessness. (5 points)
    [sbull] Evidence that the applicant will be able to provide or 
assist SSA in finding medical evidence to allow SSA to evaluate 
disability claims of project participants. (10 points)
    [sbull] Documentation of experience of the Project Director and key 
staff. (5 points)
    [sbull] Description of the qualifications, including relevant 
training and experience, of key project personnel, and the 
qualifications, including relevant training and experience, of project 
consultants or subcontractors, if built into project design. (5 points)
    [sbull] In determining the quality of project personnel, the extent 
to which the applicant encourages applications for employment from 
persons who are members of groups that have traditionally been 
underrepresented based on race, color, national origin, age, or 
disability. (5 points)
2. Project Design (30 points total)
    The adequacy of project design will be judged by:
    [sbull] A description of the project, including:
    [sbull] How the project will be managed;
    [sbull] The target population;
    [sbull] Specific methods to be used, and
    [sbull] A description of problems that may arise and specific 
measures that will be taken to mitigate them (e.g., how dropouts and 
inadequate numbers of participants will be handled). (10 points)
    [sbull] The extent to which the project design reflects careful 
consideration of the potential for achieving successful outcomes and 
for project replication. This includes evidence of:
    [sbull] An approach to potential SSDI/SSI claimants that can 
reasonably be expected to be successful, given the characteristics and 
needs of the target population;
    [sbull] Measurable methods for recruiting and serving the target 
population;
    [sbull] Service delivery to populations with special cultural or 
language requirements;
    [sbull] Consideration of the desired outcomes identified by SSA; 
and
    [sbull] Accessibility of facilities and service delivery methods 
that eliminate or reduce barriers to participation by individuals with 
disabilities. (10 points)
    [sbull] The extent to which goals, objectives, and outcomes to be 
achieved by the proposed project are clearly specified and measurable 
as indicated by a description of:
    [sbull] Project goals and objectives;
    [sbull] Outcome measures;
    [sbull] Time frames for accomplishing project milestones; and
    [sbull] The relationship of proposed activities to the stated 
project goals. (5 points)
    [sbull] A description of how the applicant will organize to 
effectively work with SSA in the new electronic disability application 
environment. This may include, but is not limited to:
    [sbull] Completing on-line forms;
    [sbull] Using technology in outreach efforts; and
    [sbull] Sending electronic medical evidence (files created in an 
electronic format compatible with SSA systems, or scanned files). (5 
points)
3. Resources and Management (40 points total)
    Resources and management will be judged by:
    [sbull] A description of how the applicant will ensure that the 
perspectives of homeless individuals and persons with disabilities 
influence the operation of the project (e.g. representation on a 
project or organizational advisory board) (5 points)
    [sbull] Evidence that the applicant has a working knowledge of 
Federal, State, and local programs that serve homeless or other under-
served individuals (5 points)
    [sbull] Evidence of facilities, equipment, supplies, and other 
resources, from the applicant organization that are adequate to achieve 
project goals (5 points)
    [sbull] Evidence that the applicant works cooperatively with other 
community-based service providers, as well as local and state funders/
regulators (5 points)
    [sbull] Evidence that the applicant directly provides, or assists 
clients through referral and advocacy, to obtain a wide variety of 
services that lead to stabilization, recovery, and full independence, 
including, but not limited to:
    [sbull] Primary health care services;
    [sbull] Substance abuse and mental health treatment;
    [sbull] Referrals for housing and supports to maintain housing;
    [sbull] Employment and rehabilitation services;
    [sbull] Job placement;
    [sbull] Benefit planning assistance and outreach;
    [sbull] Translation and/or interpreter services; and
    [sbull] Services to parolees and those in work-release programs, 
when appropriate (10 points)
    [sbull] The extent to which the budget is adequate to support the 
proposed project (5 points)
    [sbull] The extent to which the applicant has included plans for 
sustaining project activities after cooperative agreement funding ends 
(5 points).

Section VI. Instructions for Obtaining and Submitting an Application

A. Availability of Forms

    The Internet is the primary means recommended for obtaining an 
application kit under this program announcement. An application kit 
containing all of the prescribed forms and instructions needed to apply 
for a cooperative agreement under this announcement may be obtained at 
the following Internet address: http://www.socialsecurity.gov/oag/grants.
    However, in the rare instances when an organization may not have 
access to the Internet, an application kit may be obtained by writing 
to: Grants Management Team, Office of Operations Contracts and Grants, 
OAG, Social Security Administration, 1-E-4 Gwynn Oak Building, 1710 
Gwynn Oak Avenue, Baltimore, Maryland 21207-5279.
    Requests submitted by mail should include two return address 
labels. Also, please provide the name, title and telephone number of 
the individual to contact; and the organization's name, street address, 
city, state and ZIP code.
    To ensure receipt of the proper kit, please include program 
announcement number (OPDR-03-02) and the date of this announcement in 
the request.

[[Page 55709]]

B. Checklist for a Complete Application

    The checklist below is a guide to ensure that the application 
package has been properly prepared.
    [sbull] An original, signed and dated application plus at least two 
copies are required. Seven additional copies are requested.
    [sbull] The program narrative portion of the application (Section 
III of the SSA-96-BK) may not exceed thirty double-spaced pages (or 
fifteen single-spaced pages) on one side of the paper only, using 
standard (8\1/2\[sec] x 11[sec]) size paper, and 12-point font. 
Attachments, that support the program narrative, count towards the 30-
page limit. (Resumes and letters of cooperation or intent do not count 
within the 30 page limit.)
    [sbull] Attachments/Appendices, when included, should be used only 
to provide supporting documentation. Please do not include books or 
videotapes as they are not easily reproduced and are therefore 
inaccessible to reviewers.
    [sbull] A complete application, which consists of the following 
items in this order:
Part I
    [sbull] (Face page)--Application for Federal Assistance (SF 424, 
REV 4-88)
    [sbull] Table of Contents
    [sbull] Project Abstract (not to exceed one page)
Part II
    [sbull] Budget Information, Sections A through G (Form SSA-96-BK)
    [sbull] Budget Justification (in Section B Budget Categories, 
explain how amounts were computed), including complete subcontract 
organization budgets;
Part III
    [sbull] Application Narrative and Appendices
Part IV
    [sbull] Additional Assurances and Certifications--regarding 
lobbying and drug-free workplace; and
    [sbull] Form SSA-3966-PC--acknowledgement of receipt of application 
(applicant's return address must be inserted on the form).

C. Guidelines for Application Submission

    All applications for cooperative agreement projects under this 
announcement must be submitted on the prescribed forms included in the 
application kit. The application shall be executed by an individual 
authorized to act for the applicant organization and to assume for the 
applicant organization the obligations imposed by the terms and 
conditions of the cooperative agreement award.
    In item 11 of the Face Sheet (SF 424), the applicant must clearly 
indicate the application submitted is in response to this announcement 
(SSA-OPDR-03-02). The applicant also is encouraged to select a SHORT 
descriptive project title.
    Applications must be mailed or hand-delivered to: Grants Management 
Team, DCFAM, Office of Operations Contracts and Grants, OAG, Social 
Security Administration, Attention: OPDR-03-02, 1-E-4 Gwynn Oak 
Building, 1710 Gwynn Oak Avenue, Baltimore, MD 21207-5279.
    Hand-delivered applications are accepted between the hours of 8 
a.m. and 5 p.m., Monday through Friday. An application will be 
considered as meeting the deadline if it is either:
    1. Received on or before the deadline date at the above address; or
    2. Mailed through the U.S. Postal Service or sent by commercial 
carrier on or before the deadline date and received in time to be 
considered during the competitive review and evaluation process. 
Packages must be postmarked by November 25, 2003. Applicants are 
cautioned to request a legibly dated U.S. Postal Service postmark or to 
obtain a legibly dated receipt from a commercial carrier as evidence of 
timely mailing. Private-metered postmarks are not acceptable as proof 
of timely mailing.
    Applications that do not meet the above criteria are considered 
late applications. SSA will not waive or extend the deadline for any 
application unless the deadline is waived or extended for all 
applications. SSA will notify each late applicant that its application 
will not be considered.

Paperwork Reduction Act

    This notice contains reporting requirements. However, the 
information is collected using form SSA-96-BK, Federal Assistance 
Application, which has the Office of Management and Budget clearance 
number 0960-0184.

    Dated: September 22, 2003.
Jo Anne B. Barnhart,
Commissioner of Social Security.
[FR Doc. 03-24306 Filed 9-25-03; 8:45 am]
BILLING CODE 4191-02-P