Date: August 21, 2000
Awards to State Agencies on Aging for the Development of Model Performance
Outcome Measurement Systems in State and Community Programs on Aging
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, working in collaboration
with one or more Area Agencies on Aging. For state agencies that function
as a single planning and service area, applications must reflect substantial
collaboration with one or more provider agencies.
C. Level of Funding
There are two separate competitions under this program instruction.
For agencies currently involved in AoA’s performance outcomes
measures project, we expect to award no more than 11 grants for up to
For agencies not currently part of the ongoing project, we expect to
award up to 15 grants for up to $45,000 each.
We also expect to make available up to $20,000 to each of ten agencies
selected for cooperation with state health departments. The AoA has
been working with the Centers for Disease Control and Prevention on
the Behavioral Risk Factors Surveillance System (BRFSS). The BRFSS is
an annual survey conducted in each state. We are developing an "optional
module of state-sponsored questions" that relate to the performance
measures under AoA’s performance outcome measures project. Our
objective is for state aging agencies to make the $20,000 available
to the state health agencies to support data collection for the BRFSS
optional module. To be eligible for such consideration, applications
must reflect evidence of commitment to collaboration by state health
agency officials responsible for BRFSS data collection.
D. Program Priority Description
Model State Performance Outcomes Measurement Systems
The 1993 Government Performance and Results Act (GPRA or the "Results
Act") is significantly altering the way that the federal government
does business. All federal agencies are now required to identify strategic,
measurable outcomes and gear their work towards their achievement. Agency
budget proposals are tied to GPRA measures, which are used to determine
accomplishments. Through GPRA, Congress and the Executive Branch seek
to ensure that desired, significant results are being generated by activities
supported by federal monies.
The Administration on Aging began to build its budget requests in compliance
with the "Results Act" concomitant with the implementation
of the new National Aging Program Information System (NAPIS) and the
State Program Report (SPR). GPRA performance plans for fiscal year 1999
and 2000 relied heavily on information from the NAPIS / SPR system.
The NAPIS / SPR system provides State-level aggregate information about
the number of people who receive services under the Older Americans
Act. It also provides information on the number of units of services
they receive, the costs of services and – for certain "registered"
services – about the characteristics of people served. In GPRA
terms, this is program output information.
While output information describes programs, clients, and services,
the Government Performance and Results Act actually requires information
about program outcomes; that is, information about how services received
have helped the people who receive them and about how funding for service
systems is used to improve and modernize those systems.
To develop the required program outcome measures so that service outcomes
can be determined, AoA has undertaken the Performance Outcome Measures
Project, in partnership with the National Association of State Units
on Aging and the National Association of Area Agencies on Aging.
Nineteen state and area agencies are collaborating on the project,
the objective of which is to develop and field-test performance outcome
measures suitable for ongoing use in determining the effectiveness of
the aging network and the services we provide. An achievement of the
project to date has been the development of consensus among project
participants on outcome measures that are relevant to the performance
of the aging network. Further information about the project, and documentation
of the measures that have been developed, is available at the project
These measures emphasize individual outcomes related to the health
and psycho-social status of the people we serve – including their
nutritional risk, physical functioning, emotional well-being, social
functioning, and satisfaction with the services they receive. Other
measures look at the benefits of services that support caregivers, and
the degree that people are satisfied with the home care services they
receive. We are also developing the means to measure the performance
of the aging network in reducing barriers to services and building the
capacity of the aging services system.
AoA has contracted with researchers and academics to help develop data-collection
instruments in each of these areas that draw on the best research available.
The participating agencies and national associations are full partners
in the development of these instruments, and are now participating in
the field-testing of performance outcome measures.
2) Project Objectives and Activities
The effort described in this program instruction is intended to build
on AoA’s current performance outcomes measures project. The performance
outcome measures we have been developing with our state and area agency
partners rely on sampling methodology, rather than on the collection
of information from each person who participates in our programs. The
strategy of the Administration on Aging in regards to obtaining the
information that is vital to program administration and budget decisions
is to require only that information that cannot be obtained elsewhere,
and to rely on statistically-valid sampling methodologies where possible.
Expertise on sampling techniques and methodologies for data collection
and analysis on the basis of sampling are not widespread within the
The AoA, through this program instruction, seeks to support the development
of state-based systems to measure outcomes based on statistically-valid
Current grantees applying for continuation funding must:
- Continue to collect data in areas they’ve covered over the
initial years of the project;
- Expand, if necessary, to a minimum of six, the number of measures
- Work collaboratively to continue to refine the current measures;
- Work collaboratively to develop new measures in additional areas
as determined by consensus of agencies involved in the project, federal
staff and contractor staff; and
- Agree to share data with the Administration on Aging for use in
New applicants agree to:
- Adopt and test at least four measures previously developed under
the project, and share the data. Please refer to the documentation
at the website www.gpra.net
for a documentation on the current performance outcome measures now
- Participate in the refinement of existing measures and the development
of any new measures.
All applicants may apply for additional funding to support data collection
of the "state sponsored optional module" of questions under
CDC’s Behavioral Risk Factors Surveillance System. Such applications
must reflect evidence of collaboration with State health departments.
AoA has contracted with a national research corporation to support
the efforts of the performance outcome measures project. This corporation
provides research expertise in the development of the performance outcome
measures; technical assistance to project sites in sampling and data
collection methodology; tools – such as computerized data bases
– for uniform data storage and transfer; and data analysis services
for project sites and AoA. Current project sites have reported that
the support and assistance available through AoA and the research corporation
have been instrumental resources that have facilitated the development
of meaningful measures and the collection of useful data.
Consistency of measurement methodology, sampling and data collection
techniques is important to assure that data are comparable. Project
sites selected are expected to implement performance outcome measures
consistent with recommendations made by AoA and the research corporation,
as developed through consensus among current project sites. Descriptions
of sampling and data-collection methodologies, as well as the computerized
tools developed under the project, are available at the website www.gpra.net
Part II. Guidelines for Preparing and Submitting the Application
Part II contains guidelines for State Agencies on Aging in preparing
and submitting applications for funding under this program priority
competition, "Developing Model State Performance Outcomes Measurement
Systems in State and Community Programs on Aging." 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
b. Expert Review: Applications that conform to the requirements of
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 within 30 days after the deadline for submitting their
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 45 days after the
issuance of the PROGRAM INSTRUCTION to which these guidelines pertain.
Due Date: August 21, 2000
C. Grantee Share of the Project
Under this and comparable federal-state initiatives, the AoA does not
anticipate making awards for the entire project cost and welcomes SUA
participation in the funding of the project. State Agencies on Aging
are invited to contribute a minimum of one (1) dollar, secured from
non-federal sources, for every three (3) dollars received in federal
funding. Thus, if the SUA requests federal support for $75,000, its
match would be at least $25,000.
The non-federal share of total project costs for each budget period
may be in the form of grantee-incurred direct or indirect costs, third
party in-kind contributions, and/or project related income. Indirect
costs may not exceed those allowed under federal rules established,
as appropriate, by OMB Circulars A-21, A-87, and A-122.
D. Application Receipt Point
Applications can be either sent or hand-delivered to the address specified
below. Hand-delivered applications are accepted during the hours of
9:00 a.m. to 5:30 p.m., Monday through Friday.
Department of Health and Human Services
Administration on Aging
Office of Administration and Management
330 Independence Avenue, S.W., Room 4257
Washington, D.C. 20201
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
Applications will be evaluated by an independent review panel(s) of
at least three individuals. These reviewers, experts in the field, are
drawn from academic institutions, non-profit organizations, state and
local government, and federal government agencies other than the AoA.
Based on the specific programmatic considerations set forth above in
this program announcement, the reviewers will comment on and score the
applications, focusing their comments and scoring decisions on the criteria
In making final decisions, the Administration on Aging may take into
account such factors as geographic distribution of project sites; coverage
of minority and other priority populations; mix of urban, suburban and
rural areas; and features of a state’s program of services under
the Older Americans Act (to assure that services related to specific
performance outcome measures are available in a given state).
Applications are scored by assigning a maximum of 100 points across
1. Purpose and Need for Assistance Weight: 25 points
a. Does the proposed project proposal clearly and fully respond to
the substantive components of the program announcement regarding the
functions and activities of the program priority, "Model State
Performance Outcomes Measurement Systems"?
b. Does the project proposal adequately and appropriately describe
and document the key problem(s)/condition(s) relevant to its purpose?
Is the proposed project justified in terms of the most recent, relevant,
and available information and/or knowledge?
2. Approach /Method - Workplan and Activities Weight: 30 points
a. Is the project workplan clear and comprehensive? Does it systematically
include specific objectives and tasks in a feasible and effective
approach to accomplishing its purpose?
b. 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?
c. Are the roles and contributions of project staff, consultants,
and collaborative organizations clearly defined and linked to specific
objectives and tasks?
d. Does the workplan specify who would be responsible for such tasks
as: leadership of the project; preparation of reports and products;
communications with the AoA; and dissemination of project results/products?
3. Anticipated Outcomes and Dissemination Weight: 20 points
a. 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
contribute to the development of model state performance outcome measurement
b. Does the proposal include a plan for dissemination which is likely
to promote a timely awareness among interested parties of the project’s
activities and events during salient stages of the project? Is this
plan adequate for disseminating the project products to all appropriate
4. Level of Effort Weight: 25 points
a. Do the proposed Project director, key staff and consultants have
the background, experience, and other qualifications required to carry
out their designated roles? Is the time commitment of the proposed
director sufficient to assure proper direction and management of the
project? Is the time commitment of other key staff sufficient to assure
completion of the tasks proposed for the project?
b. Is the budget justified with respect to the adequacy and reasonableness
of resources requested? Are budget line items consistent with workplan
c. Are letters from participating organizations included, as appropriate,
and do they express the clear commitment and areas of responsibility
of those organizations, consistent with the workplan description of
their intended roles and contributions?
G. The Components of an Application
To expedite the processing of applications, we request that you arrange
the components of your application, the original and two copies, in
the following order:
o 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.
o Project summary description;
o Program narrative;
o Organizational capability statement and vitae;
o Letters of commitment from participating organizations and agencies;
Beginning with the page for the project summary description, pages
should be numbered sequentially. Please do not use covers or tabs. Do
not include extraneous materials such as agency promotion brochures,
slides, tapes, film clips, etc. It is not feasible to include such items
in the review process. They will be discarded if submitted as part of
H. Communications with the AoA
As appropriate, applicants will be notified (using the information
provided by the SF 424, item 5) of the receipt of their application.
Please contact the Office of Management by telephone at (202) 401-0838
if you are uncertain as to whether your application has been received
for review. Applicants are advised that, prior to reaching a decision,
the AoA will not release information to an applicant other than that
its application has been received and that it is being reviewed. Once
a decision is reached, the applicant will be notified as soon as possible
of the status of its 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
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 project; 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. Try not to exceed 10 to 12 words and 120 characters including
spaces and punctuation.
Item 12. Preprinted on form.
Item 13. Enter the desired start date for the project, September
1, 2000 and the end date for the project, one year later.
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
only the first 12 months of the project. The applicant should show
the federal support requested under sub-item 15a. Sub-items 15b-15e
are considered cost-sharing or "matching funds". Applicants
should review cost sharing or matching principles contained in Subpart
G of 45 CFR Part 74 before completing not just Item 15, but the Budget
Information Sections A, B and C that follow. It is important that
the dollar amounts entered in sub-items 15b-15f total at least 25
percent of the total project cost (total project cost is equal to
the requested federal funds plus funds from non-federal sources).
In general, costs borne by the applicant and cash contributions of
any and all third parties involved in the project, including sub-grantees,
contractors and consultants, are considered cash matching funds. Most
contributions from third parties will be non-cash (i.e. in-kind).
Examples include volunteered time and use of facilities to hold meetings
or conduct project activities. A third form of non-federal match,
is projected program income derived from activities of the project
such as participant fees and sale of publications. Only program income
which is to be used as part of the qualifying match should be shown
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 applicant
organization. A document attesting to that sign-off authority must
be on file in the applicant's office.
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 first 12 months of the project period.
On line 5, enter total federal Costs in column (e) and total non-federal
Costs (including third party in-kind contributions and any program income
to be used as part of the grantee match) in column (f). Enter the total
of columns (e) and (f) in column (g).
Section B - Budget Categories
Use only the last column under Section B, namely the column headed
Total (5), to enter the total requirements for funds (combining both
the federal and non-federal shares) by object class category.
A fuller explanation of the proposed budget should be provided in a
"budget justification" section. In that budget justification,
consider including an overall budget breakdown which shows in three
columns all of the budget cost items by federal, non-federal, and total
funds. The rest of this separate budget presentation should fully explain
and justify each of the major budget items: personnel, travel, other,
etc., as outlined below. The column for non-federal funds shown for
any of the budget line items in the budget justification sheet reflects
only cash match contributions (see instructions above for item 15 on
the face sheet of the 424 Form). Third party in-kind contributions and
program income designated as non-federal match contributions should
be identified and justified separately from the justification for the
budget line items. The full budget justification (allow up to four pages)
should be included in the application immediately follow the SF 424
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
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. For state and local governments, including federally
recognized Indian Tribes, "equipment" is 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. For all other grantees,
the threshold for equipment is $500 or more per unit.
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 must provide a completed copy
of Section B, Budget Categories for each contractor, along with supporting
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.
If a cost does not clearly fit under another category, and it qualifies
as an allowable cost, then rest assured this is where it belongs.
Line 6i - Total Direct Charges: Show the totals of Lines 6a through
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: Estimate
the amount of income, if any, expected to be generated from this project
which you wish to designate as match (equal to the amount shown in Item
15 (f) on SF 424) and combine that with any third party in-kind contributions.
Note: If program income is expected, but is not indicated as part of
the matching funds, do not include that portion here or on Item 15 (f)
of the SF 424 face sheet.
Non-match anticipated program income should be described in the Level
of Effort section of the Program Narrative.
Section C - Non-Federal Resources
Line 12 - Totals: Enter amounts of non-federal resources that will
be used in carrying out the proposed project. Do not include program
income unless it is used to meet match requirements.
Section D - Forecasted Cash Needs: Not applicable.
Section E - Budget Estimate of Federal Funds Needed
for Balance of the Project Complete this section since the total project
period encompasses two funding periods.
Line 20 - Totals: Enter the estimated required federal funds (exclude
estimates of the amount of cost sharing) for the period covering months
13 through 24 under column "(b) First," and leave blank the
column "(c) Second." Please note that funding for project
periods exceeding one year is contingent on the availability of funds.
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
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 Performance Outcomes
Measurement Systems." Please limit the summary description to one
page with a maximum of 1,200 characters, including words, spaces, and
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 manuals, data collection instruments, training packages, audio-visuals,
software packages). 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, care should be taken to produce a summary
which 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, pp. 2-5. 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). At the close of the project narrative, please
identify the author(s) of the proposal, their relationship with the
applicant, and the role they will play, if any, should the project be
7. Letters of Commitment From Participating Organizations and
Include confirmation of the commitments to the project (should it be
funded) made by collaborating organizations and agencies after the narrative
section of the application.
J. Points to Remember
1. Please send an original and two copies of an application.
2. The summary description (1,200 characters or less) should accurately
reflect the nature and scope of the proposed project.
3. Regarding cost sharing (see Section C above), you are requested
to match $1 for every $3 requested in federal funding. Thus, if your
request for federal funds is $75,000, the match or cost sharing is
4. 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.
5. 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.
6. Before submitting the application, have someone other than the
author(s) carry out a trial run review based upon the evaluative criteria.
Take the opportunity to consider the results of the trial run and
then make whatever changes you deem appropriate.
7. Applications are due no later than 45 days after the issuance
of the Program Instruction. They can be either sent or hand-delivered
to the address specified below. Hand-delivered applications are accepted
during the hours of 9:00 a.m. to 5:30 p.m., Monday through Friday.
Department of Health and Human Services
Administration on Aging
Office of Administration and Management
330 Independence Avenue, S.W., Room 4257
Washington, D.C. 20201