Centers for Medicare and Medicaid Services (CMS) Research, Demonstrations and Evaluations (93.779)

 

Program

93.779 Centers for Medicare and Medicaid Services (CMS) Research, Demonstrations and Evaluations

 

Federal Agency

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.

 

Program Number

93.779

 

Last Known Status

Active

 

Objectives

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 2003 and 2004, the Centers for Medicare & Medicaid Services (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 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 (Cooperative Agreements).

 

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.

 

Application and Award Process

Preapplication Coordination

CMS research and demonstration projects are solicited by publication in the "Federal Register," requests of proposals for contracts in "FedBizOps," 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

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.

 

Program Accomplishments

There were 95 new cooperative agreements/grants funded and 48 new contracts funded in fiscal year 2002. In fiscal year 2003, it is estimated that there will be 71 new grants/cooperative agreements and 29 new contracts. In fiscal year 2004, it is estimated that it will be 52 new grants/cooperative agreements and 25 new contracts.

 

Financial Information

Account Identification

75-0511-0-1-550.

Obligations

(Grants, Cooperative Agreements, and Contracts)FY 02 $117,014,594; FY 03 est $73,711,739; and FY 04 est $63,400,000.

Range and Average of Financial Assistance

$25,000 to $1,000,000; $235,000.

 

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.

 

Related Programs

93.773, Medicare_Hospital Insurance; 93.774, Medicare_Supplementary Medical Insurance; 93.778, Medical Assistance Program.

 

Information Contacts

Regional or Local Office

Contact the appropriate CMS Regional Administrator. (See Appendix IV for Regional Offices.)

Headquarters Office

Stuart Guterman, 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) 786-0948. FTS is not available.

Web Site Address

http://www.cms.hhs.gov/contracts/

 

Examples of Funded Projects

Examples of funded projects in fiscal year 2002 include: (1) Real Choice System Change Grants; (2)Nursing Home Transition Initiative; (3) Medigap Monitoring Demo Grants (4) Grants to Historically Black Colleges and Universities; and (5) 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 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.