Examination of Methods for Assessing Comprehensive Community Change Initiatives

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary

Examination of Methods for Assessing Comprehensive Community

Change Initiatives

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

HHS.

ACTION: Request for applications to conduct research to examine methods

for assessing comprehensive community change initiatives.

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SUMMARY: The Department seeks applications from not-for-profit or for-

profit organizations or entities to conduct research to examine methods

for assessing comprehensive community change initiatives and to develop

possible solutions to assessment problems for these initiatives. The

Primary goal of the proposed research is to further the understanding

of the problems confronted in assessing the impact of comprehensive

community change initiatives. It is anticipated that one ``Cooperative

Agreement'' of $50,000 for 12-17 months will be awarded.

DATES: Closing date: The closing date for submitting an application is

July 15, 1994.

ADDRESSES: Send applications to Grants Officer, Office of the Assistant

Secretary for Planning and Evaluation, Department of Health and Human

Services, 200 Independence Avenue SW., room 405F, Hubert H. Humphrey

Building, Washington, DC 20201.

FOR FURTHER INFORMATION CONTACT:Grants Officer at above address, phone

(202) 401-3951.

SUPPLEMENTARY INFORMATION:

PURPOSE OF THE SOLICITATION

Pursuant to section 1110 of the Social Security Act, the Assistant

Secretary for Planning and Evaluation (ASPE) is seeking applications

from not-for-profit or for-profit organizations or entities to conduct

research to examine methods for assessing comprehensive community

change initiatives and to develop possible solutions to assessment

problems for these initiatives. It is anticipated that a ``Cooperative

Agreement'' will be awarded as a result of this announcement.

The primary goal of the proposed research is to further the

understanding of the problems confronted in assessing the impact of

comprehensive community change initiatives. These initiatives have

several features that do not correspond to traditional assessment

methods: (1) They rely on a complex interaction of components, (2) they

are intended to produce impacts in several different spheres, (3) they

are purposefully flexible and variable rather than standardized, (4)

they saturate a community, affecting all members of the community, and

(5) they involve contexts and systems that are in a continuous process

of change. Given these difficulties, an examination is needed of how

assessment of these initiatives can be improved.

A. Type of Application Requested

1. Background

ASPE has a long history of interest in comprehensive human services

efforts and the methods of assessing the impact of such efforts. This

includes an interest in service integration projects, as well as an

interest in community-based human services reform. The office has

funded assessments of individual projects and clearinghouses for

information on comprehensive strategies.

Several private foundations have recently created initiatives that

attempt to change human service and other systems in communities. These

initiatives attempt to work across systems, involving the social

services, the health care system, the schools, and economic and

physical redevelopment. They are generally focused on one or more urban

communities. Examples of foundation initiatives include several

foundation-sponsored efforts such as the Annie E. Casey foundation's

New Futures Initiative, the Pew Charitable Trust's Children's

Initiative, and the Ford Foundation's Neighborhood and Family

Initiative. Recent federal initiatives, such as the Empowerment Zone

and Enterprise Community Initiative, include similar features.

2. Research Approach

As a background for further work, the organization should

investigate and document how comprehensive community change initiatives

have been assessed in the past, how they are now being assessed, and

the problems and successes encountered in assessing these initiatives.

Many problems in assessing comprehensive initiatives are not new and

are not confined to any one set of social reform efforts. Such an

investigation would identify similarities and differences in the types

of assessments underway, the processes being described, and the

outcomes being measured, cataloging topics requiring attention for the

next generation of initiatives and for assessment of the current

generation and creating a research agenda for the field.

Possible topics and research activities of interest may include the

following:

Articulating the assumptions and hypotheses underlying

existing comprehensive community change initiatives. This work would

clarify the causal connections that assessments of initiatives should

explore. Such work might include collaborating with a specific

initiative to map the assumptions and expected causal relationships.

The creation of an outline of assumptions, hypotheses, and causal

connections should involve many different perspectives, including the

funders, developers, technical assistance providers, and community

participants of initiatives.

Generating, based on the improved articulation of

assumptions and hypotheses, a set of interim progress indicators with

clear links to the ultimate goals of the initiative.

Identifying gaps in measurement that hold back assessment

and working to improve measurement tools. This work could involve

participating with an initiative to test methods. Results would then be

summarized for the field.

Developing suggestions for improved assessment practice.

For example, developing methods appropriate for initiatives that

saturate a community, making it impossible to randomly select

individuals in treatment and control groups.

Other topics as defined by the work group.

3. Awardee and Government Responsibilities

A. Awardee Responsibilities

1. Establish a work group of experts and knowledgeable

practitioners to assist the project. The work group should include

people with the following backgrounds:

direct experience in developing and conceptualizing

comprehensive community change initiatives

direct experience in assessing comprehensive community

change initiatives

direct experience in managing or overseeing comprehensive

community change initiatives

direct experience in assessment and measurement of social

programs.

2. Plan and conduct a series of meetings in which the work group

develops key issues to be addressed.

3. Submit a final work plan that updates the work plan submitted in

the original application. This work plan should include a plan for

dissemination of research findings.

4. Conduct one or more small studies to explore the key issues

identified by the work group.

5. Prepare a final report describing the procedures, findings, and

other relevant information in a form that will maximize the

dissemination and use of the findings, and a set of papers addressing

the research topics. A draft of this report will be delivered to the

Federal project officer within 15 months of the date the award is made.

The Department will return comments within one month. A final report

will be delivered to the Federal project officer within 17 months of

the date the award.

6. Participate in a wrap-up meeting involving Federal officials and

other key audiences.

B. Federal Government Responsibilities

1. Assist in the selection of members of the work group,

2. Participate in all work group meetings,

3. Provide input into the final work plan, including the

dissemination plan.

4. Assist in developing the wrap-up meeting.

3. Application

This announcement seeks applications from organizations or entities

that will enter into a cooperative agreement with ASPE to create a

process to examine issues in the assessment of community change

initiatives. One cooperative agreement will be awarded.

A. Applicant Qualifications

Applicants must demonstrate experience with the issues confronted

in comprehensive community change initiatives, as well as experience

with issues related to the measurement and assessment issues of such

initiatives.

Applicants must demonstrate an ability to manage a complex multi-

activity research project involving an oversight work group.

Applicants must demonstrate connections to key audiences for

dissemination. Audiences include federal, state, and local policy

makers, foundation officials, local and community leaders, and the

research community.

Applicants must demonstrate access to matching funds at a 2 to 1

ratio of private or local funding to federal funding.

B. Content and Organization of the Application

The application must begin with a cover sheet followed by the

required application forms and an abstract (of not more than one page).

Failure to include the abstract may result in delays in processing the

application. The application must contain the required Federal forms,

title page, table of contents, and the sections listed below. All pages

of the narrative should be numbered.

The application must include the following elements:

Goals and Objectives

Present the goals of the effort and related objectives.

Workplan

Describe the planned activities (e.g., meetings of the work group

or research activities). Outline the rationale for undertaking those

activities, and note the timing of the activities over the period of

the cooperative agreement.

Corporate Capacity

Describe the organizational character of the applicant and how the

applicant meets the qualifications outlined in Section 3A above.

Staffing

List primary staff and the activities they will perform on this

project. Curriculum Vitae or job descriptions for key staff must be

appended.

Work Group

List proposed members of the work group. Descriptions of their

affiliations, their relevant experiences, and evidence of arrangements

that have been made to assure their participation in the work group.

Budget

Submit a request for federal funds using Standard Form 424A. In

addition, include a detailed breakdown of all Federal line items along

with a brief narrative description or justification for these line

items. This detailed breakdown should separate items for which Federal

funds are requested from items to be provided by other sources, with

those other sources identified. Documentation must be included which

substantiates the existence of a commitment to provide the required

non-Federal share. (See Section IV, paragraph C below for specific

requirements regarding this non-Federal local contribution.) All costs

fees for services of the work group and travel by the work group should

be included in the budget.

B. Applicable Regulations

1. ``Grants Programs Administered by the Office of the Assistant

Secretary for Planning and Evaluation'' (45 CFR part 62)

2. ``Administration of Grants'' (45 CFR part 74)

C. Effective Date and Duration

The cooperative agreement awarded pursuant to this announcement is

expected to be made on or about September 9, 1994.

In order to avoid unnecessary delays in the preparation and receipt

of applications, this notice is effective immediately. The closing date

for applications is specified in Section G.

The cooperative agreement will be awarded for a 12-17 month period.

D. Statement of Funds Available and Matching Funds Requirement

HHS intends to award one cooperative agreement resulting from this

announcement. $50,000 has been set aside for one cooperative agreement

to be awarded in FY 1994. Funds will be obligated fully at the time of

award.

This cooperative agreement will require a 2 to 1 match of private

or local funding to federal funding. For example, to receive $50,000 of

federal funds, an organization must have $100,000 of private or local

funding.

Nothing in this application should be construed as committing the

Assistant Secretary to make an award.

E. Application Processing

1. Applications will be initially screened for relevance to the

interests and needs defined in Section A. If judged relevant, the

application will be reviewed by a government review panel. Three (3)

copies of each application are required. Applicants are encouraged to

send an additional seven (7) copies of their application to ease

processing, but applicants will not be penalized if these extra copies

are not included.

2. Applications will be judged according to the criteria set forth

in item 5 below.

3. An unacceptable rating on any individual criterion may render

the application unacceptable. Consequently, applicants should take care

to ensure that all criteria are fully addressed in the application.

4. Applications should be as brief and concise as possible.

Applicants are encouraged to respond within 15 double-spaced types

pages, exclusive of forms, abstract, curriculum vitae, and proposed

budget. They should neither be unduly elaborate nor contain voluminous

supporting documentation.

5. Criteria for Evaluation. Evaluation of applications will employ

the following criteria. The relative weights are shown in parentheses.

A. Goals, Objectives, and Need for Assistance. (10 points).

i. Rationale.

Is there a clear rationale for the project, including a documented

need?

ii. Goals and Objectives.

Are the goals and objectives presented in observable, measurable

terms, and how well do they reflect the specific program requirements

delineated in the announcement?

B. Project Design and Approach. (40 points).

i. Strategic Plan.

Do the planned activities match clearly with the needs of the

field? Is there a clear mechanism for linking together the activities

in the project? Is there a clear dissemination strategy?

C. Organization and Staffing. (40 points).

I. Staff.

Are the number and type of staff positions sufficient to achieve

project objectives? Do the staff have experience with comprehensive

community change initiatives and with assessment issues? Does the work

group represent the necessary perspectives? Does the work contain

people with extensive expertise in this area?

ii. Organizational Capacity.

Does the organization demonstrate experience with the issues

confronted in comprehensive community change initiatives? experience

with issues related to the measurement and assessment issues?

Does the organization demonstrate an ability to manage a complex

multi-activity research project?

Does the organization demonstrate connections to key audiences for

dissemination?

D. Budget. (10 points).

Is the proposed budget reasonable and sufficient to ensure

implementation?

Are the required matching funds being provided and is this

commitment reliable?

Is evidence provided that the matching costs represent an

additional effort and not a reallocation of existing resources?

F. Deadline for Submittal of Applications

The closing date for submittal of applications under this

announcement is 60 days after publication in the Federal Register.

Applications must be postmarked or hand delivered to the application

receipt point no later than 5:30 p.m. on the day 60 days after

publication in the Federal Register. Hand-delivered applications will

be accepted Monday through Friday, excluding Federal holidays during

the working hours of 9:00 a.m. to 5 p.m. in the lobby of the Hubert H.

Humphrey building located at 200 Independence Avenue SW., in

Washington, DC. When hand-delivering an application, call (202) 401-

3951 from the lobby for pick up. A staff person will be available to

receive applications. Faxed applications will not be accepted.

An application will be considered as meeting the deadline if it is

either: (1) received at, or hand-delivered to, the mailing address on

or before 60 days after publication in the Federal Register, or (2)

postmarked before midnight of the deadline date 60 days after

publication in the Federal Register and received in time to be

considered during the competitive review process.

When mailing applications, applicants are strongly advised to

obtain a legibly dated receipt from a commercial carrier (such as UPS,

Federal Express, etc.) or from the U.S. Postal Service as proof of

mailing by the deadline date. If there is a question as to when an

application was mailed, applicants will be asked to provide proof of

mailing by the deadline date. When proof is not provided, an

application will not be considered for funding. Private metered

postmarks are not acceptable as proof of timely mailing.

Applications which do not meet the deadline are considered late

applications and will not be considered or reviewed in the current

competition. DHHS will send a letter to this effect to each late

applicant.

DHHS reserves the right to extend the deadline for all proposals

due to natural disasters, such as floods, hurricanes or earthquakes; or

if there is a widespread disruption of the mail; or if DHHS determines

a deadline extension to be in the best interest of the government.

However, DHHS will not waive or extend the deadline for any applicant

unless the deadline is waived or extended for all applicants.

G. Disposition of Applications

1. Approval, disapproval, or deferral. On the basis of the review

of the application, the Assistant Secretary will either (a) approve the

application as a whole or in part; (b) disapprove the application; or

(c) defer action on the application for such reasons as lack of funds

or a need for further review.

2. Notification of disposition. The Assistant Secretary will notify

the applicants of the disposition of their applications. If approved, a

signed notification of the award will be sent to the business office

named in the ASPE checklist.

H. Application Instructions and Forms

Copies of applications should be requested from and submitted to:

Grants Officer, Office of the Assistant Secretary for Planning and

Evaluation, Department of Health and Human Services, 200 Independence

Avenue SW., room 405F, Hubert H. Humphrey Building, Washington, DC

20101, Phone (202) 401-3951. Questions concerning the preceding

information should be submitted to the Grants officer at the same

address. Neither questions nor requests for applications should be

submitted after 60 days after publication in the Federal Register.

Applications will not be faxed.

I. Federal Domestic Assistance Catalog

This program is not listed in the Catalog of Federal Domestic

Assistance.

J. State Single Point of Contact (E.O. 12372)

DHHS has determined that this program is not subject to Executive

Order 12372, ``Intergovernmental Review of Federal Programs,'' because

it is a program that is national in scope and does not directly affect

State and local governments. Applicants are not required to seek

intergovernmental review of their applications within the constraints

of EO. 12372.

K. Components of a Complete Application

A compete application consists of the following items in this

order:

1. Application for Federal Assistance (Standard Form 424);

2. budget Information--Non-Construction programs (Standard Form

424A);

3. Assurances--Non-Construction Programs (Standard Form 424B);

4. Table of contents;

5. Budget Justification for Section B Budget Categories;

6. Proof of Non-profit Status, if appropriate;

7. Copy of the applicant's Approved Indirect Cost Rate Agreement,

if necessary;

8. Project Narrative Statement;

9. Any appendices or attachments;

10. Certification Regarding Drug-Free Workplace;

11. Certification Regarding Debarment, Suspension, or other

Responsibility Matters;

12. Certification and, if necessary, disclosure Regarding Lobbying;

13. Supplement to Section II--Key Personal;

14. Application for Federal Assistance Checklist.

Dated: May 5, 1994.

David T. Ellwood,

Assistant Secretary for Planning and Evaluation.

[FR Doc. 94-11842 Filed 5-13-94; 8:45 am]

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