The
Aging Network
Program Instructions
AOA-PI-98-06 - September 30, 1998
AOA-PI-98-06
-- Attachment: Grant Awards to State Agencies on Aging for the
Support of Model State Projects to Develop Medicare Information
and Referral Protocols and Reports
See also: Grants
to State Agencies on Aging for the Support of Information and
Referral for Medicare Beneficiaries
The closing date for submission
of applications has been extended
to: November 9, 1998.
Administration on Aging (AoA)
Grant Awards to State Agencies on Aging for the
Support of Model State Projects to Develop Medicare Information
and Referral Protocols and Reports
PROGRAM DESCRIPTION AND GUIDELINES FOR PREPARING AND SUBMITTING
APPLICATIONS
SUMMARY: These Guidelines have two parts.
Part I describes the program priority, Model State
Projects to Develop Medicare Information and Referral Protocols
and Reports under which the AoA is inviting State Agencies
on Aging to submit grant award applications for funding. Part
II describes the procedures for preparing and submitting the
application.
All of the forms (Standard Form 424), Assurances, and Certifications
necessary to complete the application are included following Part
II. The deadline date for the submission of applications is October
30, 1998.
Application receipt point: U.S. Department of Health and Human
Services, Administration on Aging, Office of Administration and
Management, 330 Independence Avenue, S.W., Room 4643, Washington,
DC 20201.
For further information contact, Department of Health and Human
Services, Administration on Aging, Office of State and Community
Programs, 330 Independence Avenue, S.W., Room 4747, Washington,
DC 20201, telephone: (202) 619-0011.
Part I. Background Information and Program Priority
A. Statutory Authority
The statutory authority for awards made under this program priority
is contained in the Older Americans Act, (42 U.S.C. 3001 et seq.),
as amended by the Older Americans Act Amendments of 1992, Pub.L.102-375,
September 30, 1992.
B. Eligible Applicants
Eligibility is limited to State Agencies on Aging.
C. Level of Funding
State Agencies on Aging awarded grants under this program competition
shall each receive up to $75,000 for a one (1) year project grant.
It is expected that five grant awards will be made.
D. Program Priority Description
Model State Projects to Develop Medicare Information and
Referral Protocols and Reports
1) Background
The Administration on Aging (AoA) is collaborating with
the Health Care Financing Administration (HCFA) in the implementation
of the M+C program required by the Balanced Budget Act of 1997.
HCFA has provided AoA with funding to enhance the capacity of
the aging network=s information and referral (I&R) systems to provide accurate information
and make appropriate referrals for M+C inquiries. Additional background
on M+C and Training support for the aging network=s I&R systems is addressed in the companion application announcement,
Information and Referral for Medicare Beneficiaries.
This model state projects announcement seeks proposals from State
Agencies on Aging to collect data on the number and type of M+C
inquiries made to I&R providers and to develop revised protocols
for handling such inquiries in subsequent years. AoA will make
up to five grants to support Model State Projects to Develop
Medicare Information and Referral Protocols and Reports.
2) Project Objectives and Activities
States may compete for Model State Projects to Develop
Medicare Information and Referral Protocols and Reports
to carry out the following core activities:
Collect, record, and report on the number of inquiries, the types
of referrals made, and other assistance provided to Medicare beneficiaries
during the opening months of the National Medicare Education Campaign
program.
On the basis of this experience with the M+C program, develop
model protocols for Area Agencies on Aging and service providers
to utilize in responding to beneficiary inquiries and handling
referrals concerning health plan choices.
Develop, as appropriate, other complementary information systems
that substantially enhance the ability of the aging network to
appropriately respond to Medicare beneficiaries.
States applying for these funds must develop and propose to implement
this grant in cooperation with at least one Area Agency on Aging.
States with no Area Agencies on Aging may propose to develop and
implement their grant in a substate region. However, a critical
evaluation criterion for all applicants is that the population
of the target area must be sufficient to identify with confidence
trends related to the types of M+C inquiries made to I&R services
by older people. Also, the volume of calls related to M+C
must be adequate to provide for the testing, evaluation, and refinement
of the new protocols, reporting systems, and methods of tracking
M+C inquiries.
In many cases, these protocols and tracking systems will be directly
added onto well established systems. The grant proposal and subsequent
reports should describe what was in place before the M+C demands
for service occurred and how the systems will be improved by both
the Information and Referral for Medicare Beneficiaries grant
and the Model State Project grant.
Medicare beneficiary choices will be limited in states that currently
have few or no Medicare managed care plans. Program complexity
and the potential for the development of instructive models will
be relatively limited in those cases. Therefore, preference will
be given in the awarding of grants to states where at least 10%
of Medicare beneficiaries are in a managed care plan. (Attached
to these application guidelines is a table showing the most recent
participation rates, by states, of Medicare beneficiaries in managed
care plans).
Data Collection Systems
AoA solicits state proposals to support data collection related
to Medicare beneficiary inquiries. Monthly data
collection for the model state projects must be initiated
with the receipt of this grant and include at a minimum:
C The number of
M+C related calls received by predetermined categories. A limited
number of categories, as approved by HCFA, will be provided to
grantees not later than the date that these grants are awarded.
C The numbers
of referrals made to State Health Insurance Assistance Programs,
Medicare Carriers, Medicare Fiscal Intermediaries, Social Security
District Offices, State Insurance Commissioners, and M+C Plans.
The first data report will be for the period 11/01/98 - 01/31/99;
the second for the period 02/01/99 - 04/30/99; and the third for
the period 05/01/99 - 07/31/99. These reporting requirements apply
only to model project granteees not to the Information
and Referral for Medicare Beneficiaries grantees.
Model Protocols The protocols developed under this grant
will focus primarily on the process that takes place when a Medicare
beneficiary contacts an information and referral specialist at
a State or Area Agency on Aging or located at an aging network
service provider. The protocols are expected to detail the answers
that will be given to specific questions and the circumstances
under which certain questions will be referred to other authoritative
respondents. The protocols should thoroughly describe any additional
steps that are used to assure that Medicare beneficiaries receive
complete, accurate, and helpful referrals responses to their questions.
In order to guide future users of the models, the protocols should
be accompanied by brief descriptions of activities necessary to
support this service. The supportive activities may include training,
quality assurance, information gathering, ongoing coordination
with other agencies, outreach, publicity, outcome measures, and
perhaps other activities.
A report on the development of the protocols is due at
the end of the seventh month. The report must describe improvements
to the state=s I&R protocol for handling
M+C requests, including a description of the protocols before
funding and how the system was improved to accommodate increases
in M+C calls, e.g. upgrading telephone system, training staff,
etc.
Part II. Guidelines for Preparing and Submitting
the Application
Part II contains guidelines for State Agencies on Aging in preparing
and submitting an original (and two copies) of their grant application
under the Model State Projects to Develop Medicare Information
and Referral Protocols and Reports competition. Application
forms are also provided along with instructions for preparing
the application package for submittal to the AoA.
A. General Information
1. Review Process and Considerations for Funding
a. Notification: All applicants will be notified of the
receipt of their application and informed of the identification
number assigned to it.
b. Expert Review: Applications responsive to this program
announcement will be reviewed and scored competitively against
the evaluation criteria specified in Section F, below. This independent
review of applications is performed by a panel consisting of qualified
persons from outside the federal government and knowledgeable
non-AoA federal government officials. The scores and judgments
of these expert reviewers are a major factor in making award decisions.
c. Decision-Making Process: After the panel(s) review
session, applicants may be contacted by AoA staff to furnish additional
information. Applicants who are contacted should not assume that
funding is guaranteed. An award is official only upon receipt
of the Financial Assistance Award.
d. Timeframe: The State Agencies on Aging approved for
funding will be notified as soon as is possible and within 20
days after the deadline for submitting their application.
2. Notification Under Executive Order 12372
This is not a covered program under Executive Order 12372.
B. Deadline for Submission of Applications
The closing date for submission of applications is October 30,
1998.
C. Grantee Share of the Project
Grantees are not required to share in the cost of these projects.
D. Application Screening Criteria
Applicants are expected to meet the following two screening criteria:
1. Applications must be either postmarked by midnight, October
30, 1998, or hand-delivered by 5:00 p.m., Eastern Time, on October
30, 1998 to:
Department of Health and Human Services
Administration on Aging
Office of Administration and Management
330 Independence Avenue, S.W., Room 4643
Washington, D.C. 20201
2. An application must be relevant and responsive to this program
announcement for Model State Projects to Develop Medicare
Information and Referral Protocols and Reports.
In addition, the applicant is asked to adhere to the following
guidelines in preparing the application:
- The body of the application should not
exceed twenty (20) pages, double-spaced. A suggested
arrangement of the substantive portions of the application follows:
- Summary description (suggested length: one page);
- Narrative (suggested length: ten pages);
- Vitae for key project personnel (suggested length: four+
pages) and;
- Letters of commitment and cooperation (suggested length:
three+ pages).
- The following forms/documents are excluded from the
20 page limitation: (1) Standard Form (SF) 424, SF 424A (including
a short budget justification) and SF 424B; (2) the certification
forms regarding lobbying; debarment, suspension, and other responsibility
matters; and drug-free workplace requirements.
E. Indirect Costs
As a state government agency, the SUA may include indirect charges
(costs) in its budget as determined in accordance with HHS requirements.
F. Evaluation Criteria
Based on the specific programmatic considerations set forth above
in this program announcement, an independent panel of at least
three reviewers will comment on and score the applications, focusing
their comments and scoring decisions on the criteria below.
Applications are scored against four criteria, as follows:
1. Capacity to Collaborate and Implement in a Short Timeframe:
Weight: 30 points
a. Does the state and its partner agencies for this project present
a viable plan with respect to the capacity to quickly initiate
the required minimum data collection for this project? Does the
state and its partner agencies describe in the plan how the data
will be used to develop and refine the I&R protocols? Does
the state and its partner agencies describe existing capacity
or readily available resources to implement their proposal for
this grant.
b Are the proposed collaborative roles of the state, area agencies,
service providers, State Health Insurance Programs, etc. substantially
established, described, and supported by documentation?
2. Approach /Method - Workplan and Activities: Weight:
30 points
a. Is the project workplan clear and comprehensive? Is a well-ordered
and sensible timeline for the accomplishment of tasks and objectives
presented? Are the sequence and timing of events logical and realistic?
b. Will the project be implemented in an area with sufficient
numbers of Medicare beneficiaries and managed care plans to demonstrate
the utility of the products of this grant and trends related to
older people seeking I&R related to M+C?
c. Are the roles and contributions of project staff and the collaborative
organizations clearly defined and linked to specific objectives
and tasks?
3. Anticipated Outcomes: Weight: 20 points
. Are the expected benefits/results clear, realistic, and consistent
with the objectives and purpose of the project? Are the anticipated
outcomes of the project likely to be achieved and will they significantly
benefit Medicare beneficiaries?
4. Level of Effort: Weight: 20 points
a. Do the proposed project director and key staff have the background,
experience, and other qualifications required to carry out their
designated roles?
b. Is the budget justified with respect to the adequacy and reasonableness
of resources requested? Are budget line items consistent with
workplan objectives?
G. The Components of an Application
Please arrange the components of your application in the following
order:
- SF 424, Application for Federal Assistance; SF 424A, Budget,
accompanied by your budget justification; SF 424B (Assurances);
and the certification forms regarding lobbying; debarment, suspension,
and other responsibility matters; and drug-free workplace requirements.
Note: The original copy of the application must
have an original signature in item 18d on the SF 424;
- Project summary description;
- Program narrative; and
- Letters of commitment from participating agencies.
H. Communications with AoA
All applicants will be notified (using the information provided
by the SF 424, item 5) of the receipt of their application and
informed of the identification number assigned to it. This number
should be referred to in all subsequent communication with AoA
concerning the application.
I. Completing the Application
In completing the application, please recognize that the set
of standardized forms is prescribed by the Office of Management
and Budget and is not perfectly adaptable to the particulars of
this program. If you need technical help in completing the forms,
please call Al Duncker at (202) 619-1269. Please prepare your
application consistent with the following guidance:
1. SF 424, Cover Page: Complete only the items specified
in the following instructions:
- Item 1. Preprinted on the form.
- Item 2. Fill in the date you submitted the application.
Leave the applicant identifier box blank.
- Item 3. Not applicable.
- Item 4. Leave blank.
- Item 5. Provide the legal name of the applicant; the
name of the primary organizational unit which will undertake
the assistance activity; the applicant address; and the name
and telephone number of the person to contact on matters related
to this application.
- Item 6. Enter the employer identification number (EIN)
of the applicant organization as assigned by the Internal Revenue
Service. Please include the suffix to the EIN, if known.
- Item 7. Preprinted on the form.
- Item 8. Preprinted on form.
- Item 9. Preprinted on form.
- Item 10. Leave blank.
- Item 11. The title should describe concisely the nature
of the project. Avoid repeating the title of the priority area
or the name of the applicant.
- Item 12. Preprinted on form.
- Item 13. Enter the desired start date for the project,
October 30, 1998 and the end date for the project, October 29,
1999.
- Item 14. List the applicant's Congressional District
and the District(s), if any, directly affected by the proposed
project.
- Item 15. All budget information entered under item
#15 should cover the 12 months of the project. The applicant
should show the federal support requested first under sub-item
15a and then again under 15g.
- Item 16. Preprinted on form.
- Item 17. This question applies to the applicant organization,
not the person who signs as the authorized representative. Categories
of debt include delinquent audit disallowances, loans and taxes.
- Item 18. To be signed by an authorized representative
of the State Agency on Aging.
2. SF 424A - Budget Information
This form (SF424A) is designed to apply for funding under more
than one grant program; thus, for purposes of this AoA program,
most of the budget item columns/blocks are superfluous and should
be regarded as not applicable. The applicant should consider and
respond to only the budget items for which guidance is provided
below.
Section A - Budget Summary and Section B - Budget Categories
should include both federal and non-federal funding for the proposed
project covering the 12 months of the project period.
Section A - Budget Summary
On line 5, enter total Federal Costs in column (e) and again
in column (g). The amount shown on line 5, column (g) should be
identical to that entered in Item 15 (g) Total on the SF 424 face
sheet.
Section B - Budget Categories
Use only the last column under Section B, namely the column headed
Total (5), to enter the total requirements for federal funds by
object class category. Show the totals in row 6-k, column 5.
A separate budget justification sheet(s) should be included
which shows the breakdown of budget cost items. This separate
budget presentation should fully explain the major budget items:
personnel, travel, other, etc., as outlined below. The full budget
justification should be included in the application immediately
follow the SF 424 budget forms.
Line 6a - Personnel: Enter total costs of salaries and
wages of applicant/grantee staff. Do not include the costs of
consultants, which should be included under 6h - Other.
Justification: Identify the project director, if known.
Specify the key staff, their titles, and time commitments in the
budget justification.
Line 6b - Fringe Benefits: Enter the total costs of fringe
benefits unless treated as part of an approved indirect cost rate.
Justification: Provide a break-down of amounts and percentages
that comprise fringe benefit costs, such as health insurance,
FICA, retirement insurance, etc.
Line 6c - Travel: Enter total costs of out-of-town travel
(travel requiring per diem) for staff of the project. Do not enter
costs for consultant's travel or local transportation.
Justification: Include the total number of trips, destinations,
length of stay, transportation costs and subsistence allowances.
Line 6d - Equipment: Enter the total costs of all equipment
to be acquired by the project. Equipment is defined as non-expendable
tangible personal property having a useful life of more than two
years and an acquisition cost of $5,000 or more per unit. If the
item does not meet the $5,000 threshold, include it in your budget
as part of supplies.
Justification: Equipment to be purchased with federal
funds must be justified as necessary for the conduct of the project.
The equipment, or a reasonable facsimile, must not be otherwise
available to the applicant or its sub-grantees. The justification
also must contain plans for the use or disposal of the equipment
after the project ends.
Line 6e - Supplies: Enter the total costs of all tangible
expendable personal property (supplies) other than those included
on line 6d.
Line 6f - Contractual: Enter the total costs of all contracts,
including (1) procurement contracts (except those which belong
on other lines such as equipment, supplies, etc.) and, (2) contracts
with secondary recipient organizations including delegate agencies.
Also include any contracts with organizations for the provision
of technical assistance. Do not include payments to individuals
on this line.
Justification: Attach a list of contractors indicating
the name of the organization, the purpose of the contract, and
the estimated dollar amount. If the name of the contractor, scope
of work, and estimated costs are not available or have not been
negotiated, indicate when this information will be available.
Whenever the applicant/grantee intends to delegate a substantial
part (one-third, or more) of the project work to another agency,
the applicant/grantee should provide a completed copy of Section
B, Budget Categories for each contractor, along with supporting
information.
Line 6g - Construction: Leave blank since new construction
is not allowable and federal funds are rarely used for either
renovation or repair.
Line 6h - Other: Enter the total of all other costs.
Such costs, where applicable, may include, but are not limited
to: insurance, medical and dental costs; noncontractual fees and
travel paid directly to individual consultants; local transportation
(all travel which does not require per diem is considered local
travel); space and equipment rentals; printing and publication;
computer use; training and staff development costs.
Line 6i - Total Direct Charges: Show the totals of Lines
6a through 6h.
Line 6j - Indirect Charges: Enter the total amount of
indirect charges (costs), if any. If no indirect costs are requested,
enter "none."
Line 6k - Total: Enter the total amounts of Lines 6i
and 6j.
Line 7 - Program Income/Third Party In-Kind Contributions:
Leave blank.
Section C - Non-Federal Resources: Leave blank.
Section D - Forecasted Cash Needs: Not applicable.
Section E - Budget Estimate of Federal Funds Needed for Balance
of the Project: Not applicable.
Section F - Other Budget Information
Line 21 - Direct Charges: Not applicable
Line 22 - Indirect Charges: Enter the type of indirect
rate (provisional, predetermined, final or fixed) to be in effect
during the funding period, the base to which the rate is applied,
and the total indirect costs.
Line 23 - Remarks: Provide any other explanations or
comments deemed necessary.
3. SF 424B - Assurances
SF 424B, Assurances--Non-Construction Programs, contains assurances
required of applicants. Please note that a duly authorized representative
of the applicant organization must certify that the applicant
is in compliance with these assurances.
4. Certification Forms
Certifications are required of the applicant regarding (a) lobbying;
(b) debarment, suspension, and other responsibility matters; and
(3) drug-free workplace requirements. Please note that a duly
authorized representative of the applicant organization must attest
to the applicant's compliance with these certifications.
5. Project Summary Description
The project summary description (page one) begins the substantive
part of the application. It should be headed by two identifiers:
(1) the name of the applicant organization as shown in SF 424,
item 5 and (2) the program priority, namely, Model State
Projects to Develop Medicare Information and Referral Protocols
and Reports.
Please be specific and succinct. Outline the objectives of the
project, the approaches to be used and the outcomes expected.
At the end of the summary, list major products that will result
from the proposed project (such as model protocols, model reporting
systems, and dat collection instruments). The project summary
description, together with the information on the SF 424, becomes
the project "abstract" which is entered into AoA's computer
data base. The project description provides the reviewer with
an introduction to the substantive parts of the application. Therefore
the summary should accurately and concisely reflects the proposal.
6. Program Narrative
The Program Narrative is the critical part of the application.
It should be clear, concise, and, of course, responsive to the
program priority as described above under Part I, Section D, The
narrative should cover: (A) the project's purpose(s), relevance,
significance, and responsiveness to the program priority; (B)
the workplan/ approach(es) the project will follow to achieve
its purpose(s); (C) the anticipated outcomes/results/benefits
of the project and how these will be disseminated and utilized,
and; (D) the level of effort needed to carry out the project,
in terms of the project director and other key staff, funding,
and other resources.
Please have the narrative typed, double-spaced, on one side of
8 1/2" x 11" plain white paper with 1" margins
on both sides. All pages of the narrative (including charts, tables,
etc.) should be sequentially numbered, beginning with "Objectives
and Need for Assistance" as page number two (2).
7. Letters of Commitment From Participating Organizations
and Agencies
Include confirmation of the commitments to the project (should
it be funded) made by collaborating agencies after the narrative
section of the application.
J. Points to Remember
- Please send an original and two copies of an application.
- The summary description should accurately reflect the nature
and scope of the proposed project.
- Be sure you are satisfied that your program narrative responds
fully and cogently to the four (4) evaluative criteria which
will be used by reviewers to evaluate and score all applications.
- Do not include testimonial letters which endorse the
project in general and perfunctory terms. In contrast, letters
which describe and verify tangible commitments to the project,
e.g., funds, staff, space, should be included.
- Before submitting the application, have someone other than
the author(s) carry out a trial run review based upon the evaluative
criteria. Consider the results of the trial run and then make
whatever changes you deem appropriate.
- The application must be mailed no later than October 30, 1998:
- Department of Health and Human Services
Administration on Aging
Office of Administration and Management
330 Independence Avenue, S.W., Room 4643
Washington, D.C. 20201
INQUIRIES: Inquiries should be addressed to Regional
Administrators on Aging, DHHS regional offices.
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