CENTERS
FOR MEDICARE AND MEDICAID SERVICES, DEPARTMENT OF HEALTH AND HUMAN
SERVICES
AUTHORIZATION:
Social
Security Act, Title XI, Sections 1110 and 1115; 42 U.S.C. 1310 and
1315(a); Title XVIII, Section 1875; 42 U.S.C. 1395 and 42 U.S.C.
1881 (f); Section 402, Public Law 90-248, as amended; Section 222,
Public Law 92-603; Small Business Innovation Development Act of
1982; Public Law 97-219, as amended; Small Business Innovation Research
Program Extension, Public Law 99-443.
To
support analyses, experiments, demonstrations and pilot projects
in efforts to resolve major health care financing issues and to
develop innovative methods for the administration of Medicare and
Medicaid. These awards are in the form of research grants and cooperative
agreements; small business grants; dissertation fellowship grants;
Hispanic health services grants; historical black colleges and university
grants. For fiscal years 2002 and 2003, the Centers for Medicare
and Medicaid Service (CMS) has identified a number of areas where
specific information or experience is necessary to improve program
effectiveness or guide decisions anticipated in the near future.
These priority areas for CMS's discretionary contracts, cooperative
agreements or grants are as follows: (1) Monitoring and evaluating
CMS's programs; (2) improving managed care payment and delivery;
(3) improving fee-for-service payment and delivery; (4) future trends
influencing our programs; (5) strengthening medicaid (SCHIP), and
State programs; (6) meeting the needs of vulnerable populations;
(7)outcomes, quality, and performance; and (8)building research
capacity.
TYPES
OF ASSISTANCE:
Project Grants. Place Cursor Here for Definition
USES
AND USE RESTRICTIONS:
Under
all authorizations, all applications must meet standards of excellence
in research or evaluation design. Funds may not be used for construction
or renovation of buildings. Funds authorized by Section 1115 of
the Social Security Act are limited to State agencies administering
the Medicaid program.
ELIGIBILITY
REQUIREMENTS:
Applicant
Eligibility: Grants or cooperative agreements
may be made to private, or public agencies or organizations, including
State agencies that administer the Medicaid program. Private profit
organizations may apply. For the Small Business Innovation Research
Grant Program, only for-profit organizations may apply. Awards cannot
be made directly to individuals.
Beneficiary
Eligibility: Contributing retirees or specially
entitled beneficiaries, the disabled or those with end stage renal
disease (for Medicare) the aged, and families with children and
youth (for Medicaid).
Credentials/Documentation:
Applicants should present written evidence of other agencies'
willingness to cooperate when the project involves collaborative
efforts or the utilization of non-CMS facilities or services.
Costs will be determined in accordance with OMB Circular No. A-102
for State and local governments. The standard forms, as furnished
by DHHS and required by OMB Circular No. A-102, must be used.
Pre-application
Coordination: CMS research and demonstration
projects are solicited by publication in the "Federal Register,"
requests of proposals for contracts in "Commerce Business Daily,"
targeted program announcements, and other appropriate means. Some
funds are used for creative, unsolicited proposals. Applicants should
maintain contact with Regional CMS Offices (see Appendix IV of the
Catalog for listing). The standard application forms, as furnished
by CMS, must be used for this program. This program is excluded
from coverage under E.O. 12372.
Application
Procedure: Application forms are submitted
to the Acquisition and Grants Group, CMS, 2-21-15 Central Building,
7500 Security Boulevard, Baltimore, MD 21244-1850. This program
is subject to the provisions of OMB Circular Nos. A-102 and A-110.
A letter of intent to file an application is necessary 30 days
prior to the closing date of each solicitation cycle.
Award
Procedure: Official notice of approved applications
is made through issuance of a Notice of Cooperative Agreement
or Grant Award.
Deadlines:
Established when grants/cooperative agreements are solicited by
publication in the Federal Register or a program announcement
for grants/cooperative agreements and by the individual Request
for Proposal for contracts. Unsolicited applications may be submitted
at any time.
Range
of Approval/Disapproval Time: Range from 150
to 180 days.
Appeals:
No formal appeals procedures. If an application is disapproved,
the reasons for disapproval will be fully stated. Applicants are
free to resubmit applications with attention to the changes suggested
by the reasons for disapproval. In the case of solicited proposals,
extensions may be allowed to prepare revisions which clarify various
aspects of projects.
Renewals:
Extensions and continuations of projects are available if formally
applied for and approved. If a grant/cooperative agreement application
is recommended for approval for 2 or more years, the awardee must
annually submit a formal request for continuation accompanied
by a progress report which will be evaluated prior to a recommendation
of continuation.
ASSISTANCE
CONSIDERATIONS:
Formula
and Matching Requirements: Awardees are required
to share in the cost of projects. Normally, the minimum cost-sharing
requirement is 5 percent of total project costs. This program has
no statutory formula, except in Section 1115 projects, where the
statutory formula is the same as that established for the Medicaid
Program, both administrative and operational.
Length
and Time Phasing of Assistance: Grants/cooperative
agreements are generally funded on a 12-month basis, with support
beyond the first year contingent upon acceptable evidence of satisfactory
progress, continuing program relevance, and availability of funds.
POST
ASSISTANCE REQUIREMENTS:
Reports:
Reports of progress and expenditures are required on all projects.
Comprehensive final reports are due no later than 90 days after
termination of projects.
Audits:
All fiscal transactions identifiable to Federal financial assistance
are subject to audit by DHHS audit agency.
Records:
Proper accounting records, identifiable by project number and
including all receipts and expenditures, must be maintained for
3 years. Subsequent to audit, they must be maintained until all
questions are resolved.
FINANCIAL
INFORMATION:
Account
Identification: 75-0511-0-1-550.
Obligations:
(Grants) FY 01 $138,002,406; FY 02 est $117,201,000; and FY 03
est $28,400,000.
Range
and Average of Financial Assistance:
$25,000 to $1,000,000; Average: $235,000.
There were 154 new cooperative agreements/grants funded and 56 new
contracts funded in fiscal year 2001. In fiscal year 2002, it is
estimated that there will be 105 new grants/cooperative agreements
and 46 new contracts. In fiscal year 2003, it is estimated that
it will be 24 new grants/cooperative agreements and 11 new contracts.
REGULATIONS,
GUIDELINES, AND LITERATURE:
Grants Administration policies (45 CFR 74 and 92) and application
kits may be obtained from the Office of Acquisition and Grants Group,
Centers for Medicare & Medicaid Services, Room C2-21-15, Central
Building, 7500 Security Boulevard, Baltimore, MD 21244-1850.
INFORMATION
CONTACTS:
Regional
or Local Office: Contact the appropriate CMS
Regional Administrator. (See Appendix IV for Regional Offices.)
Headquarters
Office: Thomas M. Kickham, Ph.D., Acting Director,
Office of Research, Development, and Information (ORDI), Centers
for Medicare & Medicaid Services, Department of Health and Human
Services, Room C-3-20-11, Central Building, 7500 Security Boulevard,
Baltimore, MD 21244-1850. Telephone: (410) 786-6503. FTS is not
available.
Web
Site Address: http://www.cms.hhs.gov/contracts/
EXAMPLES
OF FUNDED PROJECTS:
Examples of funded projects in fiscal year 2001 include: (1) Real
Choice System Change grants; (2) Community -integrated Personal
Assistance Services and Support grants; (3) Nursing Facility Transition
grants; (4) Dissertation Fellowship grants; (5) Grants to Historically
Black Colleges and Universities; and (6)grants to Hispanic serving
Institutions.
CRITERIA
FOR SELECTING PROPOSALS:
The review process for grants/cooperative agreements consists of
initially screening applications for completeness and relevancy
to CMS priority areas. If the application is not relevant to CMS
priority areas, it will be returned to the applicant. If accepted
as submitted it will be reviewed and evaluated. The review will
be conducted by a panel of not less than three experts. CMS Project
Officer will coordinate the panel's review, but will not vote. This
individual will also prepare the panel's recommendation to the Acting
Director, Office of Research, Development, and Information (ORDI).
The panel's recommendations will contain numerical ratings, rankings
of applications, and a written assessment of each application. The
recommendations will be based on published criteria as stated in
the Federal Register. The review process for applications is also
stated in the Federal Register Announcement.
