Early Identification and Intervention Demonstration Request for Applications; Program: Cooperative Agreements for Early Identification and Intervention Demonstrations (EIID); Program Announcement No. SSA-OPDR-07-01, 4049-4059 [E7-1347]

Agencies

• Social Security Administration

[Federal Register Volume 72, Number 18 (Monday, January 29, 2007)]
[Notices]
[Pages 4049-4059]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-1347]


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SOCIAL SECURITY ADMINISTRATION

[Docket No. SSA-2007-0006]


Early Identification and Intervention Demonstration Request for 
Applications; Program: Cooperative Agreements for Early Identification 
and Intervention Demonstrations (EIID); Program Announcement No. SSA-
OPDR-07-01

AGENCY: Social Security Administration.

ACTION: Funding Opportunity; Initial announcement of availability of 
cooperative agreement funds for FY 2006 and request for applications.

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SUMMARY: The Social Security Administration requests applications for 
cooperative agreement funding to support projects that will design and 
implement effective, replicable, and sustainable models which will 
increase the number of children (birth to age 5) who receive 
developmental screening and improve the early identification of 
children with developmental delays and/or disabilities.
    Authority: Section 1110 of the Social Security Act (the Act) 
authorizes the cooperative agreement funding described in this 
announcement.

DATES: The closing date for receipt of cooperative agreement 
applications under this announcement is March 14, 2007. Section IV of 
this announcement contains instructions for submitting applications 
under this announcement.
    Prospective applicants are also asked to submit, preferably by 
February 5, 2007, a fax, post card, letter, or e-mail of intent that 
includes (1) The program announcement number (SSA-OPDR-07-01) and title 
(Early Identification and Intervention Demonstrations (EIID)); (2) the 
name of the agency or organization that is applying; and (3) the name, 
mailing address, e-mail address, telephone number, and fax number for 
the organization's contact person.
    The notice of intent should be (1) E-mailed to 
Stephen.Evangelista@ssa.gov using ``EIID--Notice of Intent'' in the

[[Page 4050]]

subject line; (2) faxed to (410) 965-9063 to the attention of Stephen 
Evangelista or (3) mailed to Social Security Administration, Office of 
Disability and Income Security Programs, 6401 Security Boulevard, 
Altmeyer 107, Baltimore, MD 21235, Attention: Stephen Evangelista.
    The notice of intent is not required, is not binding, and does not 
enter into the review process of a subsequent application. The purpose 
of the notice is to allow SSA staff to estimate the number of technical 
reviewers needed and to avoid potential conflicts of interest in the 
review.

ADDRESSES: All applications for funding under this announcement must be 
submitted via https://www.grants.gov.
    Application Kit: Part VI of this announcement contains instructions 
for obtaining an application kit.

FOR FURTHER INFORMATION CONTACT: Stephen Evangelista, Office of 
Disability and Income Security Programs, 6401 Security Boulevard, 
Altmeyer 107, Baltimore, MD 21235, Stephen.Evangelista@ssa.gov, phone: 
410-965-6522; or Leola Brooks, Office of Program Development and 
Research, 400 Virginia Avenue, SW., Suite 700, Washington, DC 20024, 
leola.brooks@ssa.gov, phone: 202-358-6294. When sending a question, use 
the program announcement number (SSA-OPDR-07-01) and the date of this 
announcement.

SUPPLEMENTARY INFORMATION: This overview of the Early Identification 
and Intervention Demonstration project is included to allow potential 
applicants to quickly learn the contents of this announcement, and to 
decide whether they are eligible to apply for the funding opportunity 
described. It follows the outline of the full text of the three 
sections of the announcement.

Program Description

    The Social Security Administration (SSA) is making cooperative 
agreement funding available to support a project that will design and 
implement effective, replicable, and sustainable models which will 
increase the number of children (birth to age 5) who receive 
developmental screening and improve the early identification of 
children with developmental delays and/or disabilities.
    This cooperative agreement will target children from birth to age 5 
from the following populations: minority, unserved, underserved, native 
populations, homeless, premature infants, parental depression or 
serious emotional disturbance, foster care, low-income, inner city, 
rural, children affected by substance abuse or withdrawal symptoms 
resulting from prenatal drug exposure, and children involved in a 
substantiated case of child abuse. Applicants should show how they 
intend to assure that participants from diverse populations are served 
by the project. Applicants must specify the geographic area to be 
covered by the project.
    Awardees of cooperative agreement funding must design and implement 
a model system of early identification and intervention which increases 
developmental screening of children birth to age 5. Awardees must 
screen children from at least three of the target populations 
identified. The awardees and SSA will identify an agreed upon minimum 
set of screening instruments that can be supplemented depending on the 
needs of each child, which will be utilized in the project. If the 
screening reveals that a child has a potential disability or 
developmental delay, awardees will be required to provide appropriate 
assessment or refer the child for appropriate assessment. If an 
assessment reveals a disability or developmental delay, the awardees 
must provide appropriate early intervention services or refer the child 
for appropriate early intervention services. Awardees will also be 
required to provide transportation assistance through a case 
coordinator, have or develop relationships with providers of screening, 
assessment, and early intervention services and provide information to 
families regarding ombudsman or consumer advocacy services.
    Awardees will be required to submit monthly data on participants 
enrolled in the project. SSA will monitor the outcomes of the project. 
SSA is particularly interested in ensuring that everything possible is 
done to ensure that children with developmental delays, children with 
disabilities and children at risk are identified as early as possible 
and receive whatever early intervention services they need to achieve 
their highest potential.

Award Information

    SSA intends to fund two projects for up to 2 years subject to the 
availability of annual appropriations by Congress. SSA will fund 
project activities in year one and conduct data reporting activities in 
year two. SSA will award up to two cooperative agreements at up to 
$300,000 for the 2-year life of each cooperative agreement funded. 
These projects are authorized by section 1110 of the Act, and will be 
funded with cooperative agreements, which anticipate substantial 
involvement of the government in project design and operation.

Eligibility Information

    Public and private organizations, including educational, nonprofit, 
profit-making, and faith-based organizations, may apply for cooperative 
agreement funding made available under this announcement. SSA favors 
applicants that can demonstrate experience with the full range of needs 
of children and families to facilitate the provision of needed services 
and supports beyond developmental screening. The Organization that is 
awarded funding must: have existing expertise in developmental 
screening and assessment or demonstrate an ability to refer children 
for screening, full assessment, and early intervention services; and 
assist participants to follow through with recommended assessments and 
early intervention services. The Organization that is awarded funding 
must be able to provide culturally competent services that are fully 
accessible to the target populations, including individuals who require 
accommodations.
    Cooperative agreements may not be awarded to: any individual; 
Social Security Administration Field Offices (FO); State DDS offices; 
or any organization described in section 501(c)(4) of the Internal 
Revenue Code of 1968 that engages in lobbying (in accordance with 
section 18 of the Lobbying Disclosure Act of 1995, 2 U.S.C. 1611).
    All applications developed jointly by more than one agency or 
organization must identify only one organization as the lead 
organization and official applicant. The other participating agencies 
and organizations can be included as co-applicants, sub-grantees, or 
subcontractors. All applicants for Federal grants and cooperative 
agreements are required to provide a Dun and Bradstreet (D&B) Data 
Universal Number System (DUNS) number. The DUNS number will be required 
whether an applicant is submitting a paper application or using the 
government wide electronic portal (www.grants.gov). Organizations 
should verify that they have a DUNS number or take the steps needed to 
obtain one as soon as possible. Organizations can receive a DUNS number 
at no cost by calling the dedicated toll-free DUNS number request line 
at 1-866-705-5711.
    Federal cooperative agreement funds are not to be used to cover 
costs that are reimbursable under an existing public or private 
program. Awardees of SSA cooperative agreements are required to 
contribute a non-Federal match of at

[[Page 4051]]

least 5 percent toward the cost of each project. The cost of the 
project is the sum of the Federal share (up to 95 percent) and the non-
Federal share (at least 5 percent).

Table of Contents:

Section I. Funding Opportunity Description
    A. Introduction
    B. Data on Early Intervention
    C. Background
    D. Project Goals and Objectives
    E. Project Features
    1. Use of Cooperative Agreement Funds
    2. Standard Project Features
    F. Monitoring Outcomes
    Enrollment Guidelines
    G. Data Collection
    1. Data Elements
    2. Privacy
    3. Security Plan
Section II. Award Information
    A. Statutory Authority and Catalog of Federal Domestic 
Assistance Number
    B. Type of Award
    C. Number, Size and Duration of Projects
Section III. Eligibility Information
    A. Eligible Applicants
    B. Cost Sharing and Matching
    C. Target Populations
Section IV. Application and Submission Information
    A. Address to Request Applications
    B. Content and Form of Application Submission
    1. Application Process
    2. Application Requirements
    C. Submission Dates and Times
    D. Funding Restrictions
    E. Other Submission Requirements
Section V. Application Review Information
    A. Criteria
    1. Capability
    2. Project Design
    3. Resources and Management
    B. Review and Selection Process
    C. Anticipated Announcement and Award Date
    D. Application Approval
Section VI. Award Administration Information
    A. Award Notices
    B. Administrative and National Policy Requirements
    C. Reporting
    D. Monitoring
    E. Technical Assistance
Section VII. Agency Contacts
Section VIII. Other Information

Section I. Funding Opportunity Description (CFDA No. 96.007)

A. Introduction

    The Federal government has recognized the importance and value of 
early intervention for children with disabilities. In the Individuals 
with Disabilities Education Improvement Act of 2004 (IDEA) Congress 
found, among other things, an urgent and substantial need:
    1. To enhance the development of infants and toddlers with 
disabilities, to minimize their potential for developmental delay, and 
to recognize the significant brain development that occurs during a 
child's first 3 years of life;
    2. To reduce the educational costs to our society, including our 
nation's schools, by minimizing the need for special education and 
related services after infants and toddlers with disabilities reach 
school age;
    3. To maximize the potential for individuals with disabilities to 
live independently in society; and
    4. To enhance the capacity of families to meet the special needs of 
their infants and toddlers with disabilities.
    Part C of IDEA provides financial assistance to States to, among 
other things, develop and implement statewide, comprehensive, 
coordinated, multidisciplinary, interagency systems that provide early 
intervention services for infants and toddlers with disabilities and 
their families.
    IDEA defines an infant or toddler with a disability as an 
individual under age 3 who needs early intervention services because 
the individual is experiencing developmental delays, as measured by 
appropriate diagnostic instruments and procedures in one or more of the 
areas of cognitive development, physical development, communication 
development, social or emotional development, and adaptive development; 
or has a diagnosed physical or mental condition that has a high 
probability of resulting in developmental delay and may also include, 
at a State's discretion, at-risk infants and toddlers. The term also 
includes children with disabilities who are eligible for services under 
section 619 and who previously received services under this part until 
such children enter or are eligible under State law to enter, 
kindergarten or elementary school, as appropriate.
    An at-risk infant or toddler is defined as an individual under age 
3 who would be at risk of experiencing a substantial developmental 
delay if early intervention services were not provided.
    Early intervention services are defined in Public Law 108-446 as 
developmental services that are provided under pubic supervision; are 
provided at no cost except where Federal or State law provides for a 
system of payments by families, including a schedule of sliding fees; 
and are designed to meet the developmental needs of an infant or 
toddler with a disability, in one or more of the following areas: 
physical development; cognitive development; communication development; 
social or emotional development; or adaptive development.
    Early intervention services include: family training, counseling, 
and home visits; special instruction; speech-language pathology and 
audiologist services, sign language and cued language services; 
occupational therapy; physical therapy; psychological services; 
coordination services; medical services only for diagnostic or 
evaluation purposes; early identification, screening, and assessment 
services; health services necessary to enable the infant or toddler to 
benefit from the other early intervention services; social work 
services; vision services; assistive technology devices and assistive 
technology services; and transportation and related costs that are 
necessary to enable the child or the child's family to receive another 
early intervention service. Services are to be provided by qualified 
personnel and to the maximum extent appropriate provided in natural 
environments, including the home, and community settings in which 
children without disabilities participate, and provided according to 
the individualized family service plan.
    Part B of the IDEA also provides grants to assist States in 
providing special education and related services to children with 
disabilities age 3 through 5.
    Developmental screening is a procedure designed to identify 
children who should receive more intensive assessment or diagnosis, for 
potential developmental delays and is critical to increasing the 
opportunity of more children to benefit from early intervention.
    Many children with developmental delays are not being identified 
early. In the U.S., 17 percent of children have a developmental or 
behavioral disability such as autism, mental retardation, and 
attention-deficit/hyperactivity disorder. Moreover, many children have 
delays in language and other areas of development which impact school 
readiness. Yet, less than 50 percent of these children are identified 
as having a problem before starting school, by which time significant 
delays in development may already have occurred and opportunities for 
treatment missed.\1\
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    \1\ Department of Health and Human Services, Centers for Disease 
Control, National Center on Birth Defects and Developmental 
Disabilities, September 20, 2005--https://www.cdc.gov/ncbddd/child/
improve.htm.
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    Many developmental screening tools are available. According to the 
American Academy of Pediatrics:

    There is no universally accepted screening tool appropriate for 
all populations and all ages. Currently available screening tools 
vary

[[Page 4052]]

from broad general developmental screening tools to others that 
focus on specific areas of development, such as motor or 
communication skills. Their psychometric properties vary widely in 
characteristics such as their standardization, the comparison group 
used for determining sensitivity and specificity, and population 
risk status.;* * * Screening tests should be both reliable and 
valid, with good sensitivity and specificity.\2\

    \2\ American Academy of Pediatrics, Council on Children With 
Disabilities; Section on Developmental Behavioral Pediatrics; Bright 
Futures Steering Committee; and Medical Home Initiatives for 
Children With Special Needs Project Advisory Committee. Policy 
Statement: Identifying Infants and Young Children With Developmental 
Disorders in the Medical Home: An Algorithm for Developmental 
Surveillance and Screening, Pediatrics, 2006; 416.
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    SSA has a strong interest in ensuring that everything possible is 
done to ensure children with developmental delays, children with 
disabilities, and children at risk are identified as early as possible 
and receive whatever early intervention services they need to achieve 
their highest potential. In October 2006, 1,084,000 children were 
receiving Supplemental Security Income (SSI) payments due to 
disability, representing 14.9 percent of the more than 7 million SSI 
beneficiaries.\3\ That same month there were 1,635,000 childhood 
disability beneficiaries who received Social Security Disability 
Insurance (SSDI) benefits based upon the account of a parent (who 
receives benefits due to disability or retirement, or who is 
deceased).\4\ In December 2005, more than 1,036,000 children with 
disabilities were receiving SSI payments.\5\ Fifteen percent of these 
children were younger than five years old. The remaining 85 percent 
were fairly evenly distributed by age.\6\ More than 66 percent had a 
mental disorder, and the largest proportion of this group (20 percent) 
had mental retardation.\7\ Many children receiving SSI/SSDI benefits 
stay on the benefit rolls for life. In December 2005, the SSI rolls 
also included almost 681,000 adult recipients who first became eligible 
for SSI payments before age 18, 22 percent of whom first became 
eligible during the 1974-1980 period, indicating that they have been 
receiving SSI for much of their lives.\8\ The earlier interventions are 
provided to address their needs, the more likelihood there is of better 
outcomes and less dependence on Federal support.
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    \3\ U.S. Social Security Administration, Office of Policy, 
Monthly Statistical Snapshot, October 2006, Table 3.
    \4\ U.S. Social Security Administration, Monthly Statistical 
Snapshot, October 2006, Table 2.
    \5\ Social Security Administration, Children Receiving SSI, 
2004, SSA Publication No 13-11830, Released July 2005, page 1.
    \6\ Ibid.
    \7\ Ibid.
    \8\ Ibid, page 2.
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B. Data on Early Intervention

    In 2001, nearly 250,000 children were identified as being at risk 
or having a developmental delay or disability before 36 months of age 
and were enrolled in Part C Early Intervention programs nationwide.
    The National Early Intervention Longitudinal Study (NEILS) \9\ is 
the first study of Part C of the IDEA EI system with a nationally 
representative sample of infants and toddlers with disabilities. 
According to NEILS \10\ the variability in children in the EI system is 
marked by high proportions of children from low-income families, ethnic 
minorities, those in foster care, and males. Nearly one-third (32 
percent) are low birth weight, four times the rate in the general 
population. Infants and toddlers in EI are eight times more likely to 
be rated as having fair or poor general health. Children enter at all 
ages across the first 3 years of life, but those eligible because of 
developmental delays enter as toddlers, in comparison with those 
eligible because of diagnosed conditions or subject to biological or 
environmental risk factors, who tend to enter in the first year of 
life. The variability of the infants and toddlers in EI indicates that 
there is no typical child in EI.
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    \9\ Scarborough, A.A., Spiker, D., Mallik, S., Hebbler, K.M., 
Bailey, D.B., & Simeonsson, R.J. (2004). A National Look at Children 
and Families Entering Early Intervention. Exceptional Children, 70, 
(4), 469-483.
    \10\ Scarborough, A.A., Spiker, D., Mallik, S., Hebbler, K.M., 
Bailey, D.B., & Simeonsson, R.J. (2004). A National Look at Children 
and Families Entering Early Intervention. Exceptional Children, 70, 
(4), 469-483.
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    The research and data to date show that the reasons for a child's 
eligibility for services and the child's age at entry are significantly 
related. In general, infants and toddlers with diagnosed medical 
conditions, and those subject to environmental and biomedical factors, 
are at risk for developmental delays. In most cases, eligibility 
related to developmental delay requires that a child be old enough to 
show a notable discrepancy between development and age-expected skill 
mastery.

C. Background

    SSA administers two programs that provide cash benefits for 
individuals with disabilities: SSDI and SSI.
    SSDI Benefits. SSDI benefits are based on worker contributions to 
the Disability Insurance Trust Fund. There are two types of SSDI 
benefits: disability and dependents of those with disabilities. 
Individuals may be eligible for benefits based on their own 
contributions to the DI Trust Fund, or based on contributions of a 
family member. The amount of the benefit is based on the amount of the 
insured worker's contributions.
    Individuals who receive SSDI benefits are eligible for Medicare 
after a 24-month entitlement period. Coverage under Medicare Part A 
(Hospital Insurance) is automatic. Beneficiaries must pay a premium to 
be covered by Part B, which pays for outpatient services, as well as 
certain medical supplies. Some beneficiaries may qualify for the State 
Medicaid program to pay their Medicare Part B premium.
    SSI. The SSI program is financed from general federal revenue and 
provides monthly benefit payments to the elderly, blind, and 
individuals with disabilities who have limited resources and income. 
The maximum Federal benefit rate (FBR) is adjusted annually. Effective 
January 1, 2006, the Federal benefit rate is $603 for an individual and 
$904 for a couple. In addition, many States supplement the FBR. The 
supplementary benefit amounts and the categories of individuals 
eligible for these benefits vary from State to State. In most States, 
SSI beneficiaries are eligible for Medicaid; however, in a few States, 
individuals must file a separate application for Medicaid.
    An individual or couple may have earned or unearned income and 
still may be eligible for the SSI program. Under numerous provisions, a 
certain amount of income is excluded in determining eligibility and 
computing the SSI benefit amount. People who live in a State that 
supplements the Federal payment may have higher amounts of income and 
still may qualify for some benefits.
    Concurrent Eligibility. Some individuals may be eligible for 
benefits under both SSDI and the SSI program. Many individuals who 
receive SSDI benefits, who also have low incomes and limited assets, 
may qualify for Medicaid, or may qualify for their State Medicaid 
program to pay their Medicare premiums.
    Disability Benefits. In December 2005, about 7.5 million people 
received Social Security disability benefits as disabled workers, 
disabled widow(er)s, or disabled adult children. As of December 2005, 
the number of SSI recipients was 7.1 million. Of this total, 4.1 
million were between the ages of 18 and 64, 2 million were aged 65 and 
older, and 1 million were under age 18.
    The Act establishes a stringent eligibility standard for benefits 
that applies to both SSDI/SSI claims. For individuals aged 18 or older, 
disability is defined as an inability to ``engage in

[[Page 4053]]

substantial gainful activity (SGA) by reason of any medically 
determinable physical or mental impairment(s) which can be expected to 
result in death, or which has lasted or can be expected to last for a 
continuous period of not less than 12 months.'' SGA refers to earnings 
from work. The amount of earnings that constitutes SGA is increased 
annually. In 2006, the SGA amount was $860 per month for individuals 
with a disability. The SGA amount for statutorily blind individuals for 
2006 was $1,450 per month.
    Individuals under age 18 may qualify for SSI benefits based on 
disability. To be eligible, a child must have a medically determinable 
physical or mental impairment or combination of impairments that causes 
marked and severe functional limitations. The impairment(s) must last 
or be expected to last 12 months or more, or to result in death. A 
child may not be considered eligible if he or she has earnings 
considered to be SGA.
    SSA works cooperatively with the States, who are responsible for 
making eligibility determinations through their Disability 
Determination Services (DDS) offices. SSA takes a detailed medical 
history from the claimant during the initial interview and sends that 
information to the DDS. The DDS then secures medical records and, if 
needed, schedules additional examinations, called consultative 
examinations (CE). Based upon this evidence and in combination with 
other evidence, such as vocational factors (age, education, and work 
history) a disability or blindness determination is made.

D. Project Goals and Objectives

    The goal of this cooperative agreement will be to design and 
implement effective, replicable, and sustainable models which will 
increase the number of children with disabilities who receive 
developmental screening; improve the early identification of children 
with developmental delays and/or disabilities; and increase the self 
sufficiency of these children. This cooperative agreement will target 
children from birth to age 5.
    The core objective of the project is to screen children (from birth 
to age 5), in the following general categories: Minority; unserved, 
underserved, native populations, homeless, premature infants, parental 
depression or serious emotional disturbance, foster care, low-income, 
inner city, rural, children affected by substance abuse or withdrawal 
symptoms resulting from prenatal drug exposure; and children involved 
in substantiated cases of child abuse. In collecting data on race and 
ethnicity, the study will follow the Provisional Guidance on the 
Implementation of the 1997 Standards for the Collection of Federal Data 
on Race and Ethnicity.
    SSA is interested in learning the degree to which increased 
provision of screening, early identification, and early intervention 
services to children improves developmental outcomes including: Quality 
of life (full integration and inclusion in the community), educational 
outcomes, independence, employment, and overall self sufficiency. 
Improved developmental outcomes can be evaluated by tracking services 
received, educational placement, and special education services after 
initial screening and services.

E. Project Features

    The Early Identification and Intervention Demonstration project 
will help SSA demonstrate the feasibility of special approaches to 
increasing the screening, early identification, and early intervention 
services and supports to children and determine how these services 
improve developmental outcomes. While SSA expects the grantee to make 
referrals and assist the screened children and their families in 
obtaining appropriate early intervention services, the focus of the 
cooperative agreement project is to increase the number of children 
(birth to age 5) who are screened for developmental delays and/or 
disabilities from the target populations identified.
1. Use of Cooperative Agreement Funds
    The awardees must use cooperative agreement funds to address the 
goals and objectives described in Section I. D. To that end, SSA is 
interested in applications from public and private organizations, 
including educational, nonprofit, profit-making, and faith-based 
organizations.
    SSA favors applicants that can demonstrate experience with the full 
range of needs of children and families to facilitate the provision of 
needed services and supports beyond developmental screening. SSA will 
allow latitude in developing and implementing effective models of early 
identification and intervention; however, there are standard features 
that SSA would like to test. Applicants may choose to add other 
features to make the demonstrations more effective and several examples 
are given in this regard.
2. Standard Project Features
    The awardees who receive funds under this announcement must design 
and implement models of early identification and intervention. 
Specifically, the awardee must:
    Screening
     Design a model system which increases the developmental 
screening of children birth to age 5, and uses quality screening tools 
as agreed upon with SSA.
     Screen for cognitive development, physical development, 
communication development, social or emotional development, and 
adaptive development and be culturally sensitive and linguistically 
appropriate. Screening must be done by a qualified professional who has 
been trained in the specific screening instruments that are being used 
and is credentialed in their State to do such a screening.
     Screen each child participating. If a child is screened 
and no potential disability is identified, the child shall have follow-
up screening as necessary, but at least annually, through the duration 
of the project. After the final screening, a copy of the child's 
screening record shall be given to his/her family with any 
recommendation for future screening and referrals if appropriate.
     Screen children from at least three of the target 
populations identified;
     If a screening reveals that a child has a potential 
disability or developmental delay, provide an appropriate assessment or 
refer the child for an appropriate assessment.
    Assessments
     If an assessment reveals a disability or developmental 
delay, provide appropriate early intervention services and support or 
refer the child for appropriate early intervention services and 
supports;
    Support Services
     Provide transportation assistance via case coordinator. 
Assist with follow-through for assessments, appointments, and other 
actions necessary to obtain needed information and/or services and 
supports.
     Have a collaborative relationship with providers of 
screening, assessment, and early intervention services or develop such 
relationships in order to provide those screened with follow-ups.
     Provide information regarding ombudsman or consumer 
advocacy services at the beginning of a family's participation in the 
project for assistance with any future problems which may arise in 
connection with the project.

F. Monitoring Outcomes

    The awardee shall design a model system which increases the 
developmental screening of children

[[Page 4054]]

(birth to age 5) and includes a quality screening tool(s). The awardee 
and SSA will identify an agreed upon minimum set of screening 
instruments that can be supplemented depending on the needs of each 
child, which will be utilized in the project. The screening instruments 
must be normed. If they are not normed, SSA and the awardee will 
develop and agree upon a method for comparing the project results to 
national screening data. The awardee will also be required to submit 
all screening instruments and assessment tools through OMB clearance. 
The awardee must make all data collected in the projects available to 
SSA.
    The information obtained will be used to assist SSA in identifying 
possible changes in policies or procedures that could enhance service 
to the public or otherwise improve administration of either disability 
program. The reports will be disseminated to others involved in 
providing community-based services and early identification and 
intervention services to children with developmental delays and/or 
other disabilities and their families.
    The cooperative agreement shall collect information discussed in 
paragraph G.1., which will help to answer questions including, but not 
limited to:
     How many children are screened?
     What is the frequency with which each screening instrument 
is used, and the relevant characteristics of the children being 
screened with the instrument (e.g., age, gender, target population, and 
other agreed upon information.)?
     How many children are referred for assessments based upon 
positive screening results, and the relevant characteristics of these 
children (e.g., age, gender, target population, and other agreed upon 
information)?
     How many children assessed are subsequently identified as 
having a developmental delay or disability?
     What delays or disabilities are identified and what are 
the relevant characteristics of these children (e.g., age, gender, 
target population, and other agreed upon information)?
     What early intervention services and supports are the 
children identified as having a developmental delay or disability 
referred for?
     How may children referred for early intervention services 
and supports successfully receive services upon referral?
     How many children screened are currently receiving SSI 
and/or SSDI benefits;
     The number of parents who are currently receiving SSI and/
or SSDI benefits;
     Of the children identified as having a developmental delay 
or disability, how many subsequently apply for and are determined 
eligible for SSDI and/or/SSI benefits?
     Of the children identified as having a developmental delay 
or disability, how many subsequently receive services under IDEA?
Enrollment Guidelines
    The awardee is required to enroll and screen at least 50 children 
(birth to age 5), in each of the target populations selected to be 
screened. SSA encourages the grantee to serve large numbers of 
individuals to improve data collection. The goal is to serve children 
who are in the target populations described in paragraph D. above.

G. Data Collection

1. Data Elements
    Grantees will submit a monthly project enrollees list by no later 
than the 15th of each month. This will be sent over a secure message 
server to SSA.
    The initial list should contain all currently enrolled 
participants. Thereafter, monthly updates should list only participants 
newly enrolled or disenrolled during the previous calendar month.
    All data elements are to be reported using precise definitions, 
which will be developed by SSA based upon the needs discussed above, as 
well as program data needed to monitor the program. Adherence to such 
definitions is crucial to the comparability of the data to national 
norms. The awardee must report these elements on the monthly ``project 
enrollees list.'' Specific instructions will be available at the time 
that the project begins enrollment. The data elements below will be 
provided to the grantees in a template format.
     Enrolled child's name, date of birth, and Social Security 
number (report only at time of enrollment);
     Percentages/numbers in each target population screened;
     Percentages/numbers identified for services using a 
screening tool;
     Primary/secondary disabilities identified;
     Percentages/numbers of families that complete an 
Individual Family Services Plan;
     Percentages/numbers of families that do not complete an 
Individual Family Services Plan and the reasons identified;
     Percentages/numbers identified that do not follow up at a 
local SSA field office and the reasons identified;
     SSA disability determination time;
     Percentages/number that follow up with collaborative 
referral sources;
     Referral number that enter Early Childhood Special 
Education (ECSE) services/programs, levels of ECSE used; and
     Referral sources utilized; e.g., housing, medical, 
educational, etc.
    Each grant recipient employee or subcontractor employee who will 
work on this cooperative agreement and will have access to Personally 
Identifiable Information of clients serviced by this project will have 
to complete Personnel Suitability Determination forms and be cleared 
through SSA prior to your organization collecting Personally 
Identifiable Information while working on this cooperative agreement. 
Those organizations awarded under this cooperative agreement will 
receive the necessary Personnel Suitability Determination forms as a 
part of any issued Notice of Award.
    Definition of Personally Identifiable Information (PII). PII is 
defined as information that can be used, alone or in conjunction with 
any other information, to identify a specific individual. In short, any 
information that can be used to search for or identify individuals, or 
can be used to access their files, is PII. Examples of PII may include: 
name, Social Security Number, Social Security benefit data, date of 
birth, official State or Government issued driver's license or 
identification number, alien registration number, Government passport 
number, employer or taxpayer identification number, home address and 
medical information.

    Note: Due to the fact that grantees will have access to 
confidential beneficiary information they are subject to SSA 
conducted background checks and fingerprinting in accordance with 
SSA personnel suitability requirements. SSA will distribute the 
necessary forms and consents for completion upon award.

2. Privacy
    All personal information collected by grantees is protected by the 
Privacy Act of 1974, as amended. All projects must adhere to SSA's 
Privacy and Confidentiality Regulations (20 CFR Part 401) for 
maintaining records of individuals, as well as provide specific 
safeguards surrounding participant information sharing paper/computer 
records data, and other issues potentially arising from a team approach 
to Early Identification Services. At a minimum, all paper records must 
be kept in locked file cabinets or desk drawers and all computer 
records must be secure password-protected files. All applications must 
describe proposed

[[Page 4055]]

practices for addressing clients' privacy and obtaining informed 
consent for any disclosure. The plan described in the applicant's 
project description must address the following elements:
     The development and use of a consent form that will allow 
the grantee to disclose clients' personal information to SSA. SSA will 
provide a suggested format for the consent form, which may either be 
adopted by the grantee, or tailored to include any State or agency-
level requirements. Applicants selected under this announcement must 
provide SSA with a copy of the consent form. The Project Officer must 
approve this consent form prior to the enrollment of any project 
participants.
     The use of Form SSA-827, Authorization to Disclose 
Information to the Social Security Administration. This form is 
required as written authorization from a claimant for SSA to obtain 
information required for processing an application for disability 
benefits.
     The use of Form SSA-3288, Social Security Administration's 
Consent for Release of Information. This form will allow SSA to give 
information concerning the client to the grantee and to the evaluation 
contractor.
     If necessary, the awardee will obtain the approval of 
their Institutional Review Board (IRB), and furnish SSA with a copy of 
the approval document. Copies of the SSA-827 and SSA-3288 forms can be 
obtained on-line through the SSA Web site: https://
www.socialsecurity.gov/.
3. Security Plan
    All projects must write a security plan and reference the following 
elements. All plans must document how you are ensuring the security of 
Social Security records, all data files, including confidential 
information such as name, home address, social security number, or 
other personally identifiable information. Data is recorded information 
regardless of form or the media on which it may be recorded. The term 
includes computer software and information of a scientific or technical 
nature.
SSA Security Plan Elements
     Access Control--there must be logical access control 
utilizing a minimum two factor authentication (i.e., PIN and password) 
protocol. Administration of access control authorization must involve 
two or more management personnel who are in a position to recognize and 
understand the duties of individuals seeking access to the SSA 
information, and who have the authority necessary to assure employment 
suitability requirements have been met prior to granting authorization. 
PINs and passwords must conform to SSA requirements as to length, 
acceptable characters and cyclical changes. Password administration 
also must have enforceable procedures for suspending/terminating access 
privileges when appropriate or necessary.
     Audit Trails--there must be a system for capturing audit 
trail information identifying the data accessed by authorized users, 
the time and date of their access, and whether they changed, copied or 
deleted information from the database. Audit trail records should be 
stored securely, be unalterable, and be accessible only to individuals 
with a ``need to know''.
     Encryption--SSA information stored on a mainframe, network 
server or workstation computer must be encrypted to prevent 
unauthorized access. SSA's (and the Federal Government's) standard for 
minimum encryption strength is DES-3 or greater. If any link of an 
intranet or extranet utilizes the public Internet, and SSA information 
will be transmitted from one site to another, it must be encrypted 
while in transit.
     Security Awareness and Employee Sanctions--security 
awareness training should occur prior to granting any employee access 
to SSA information, and repeated periodically as needed. Administrative 
procedures should be in place for sanctioning employees who violate 
data security policies or procedures, or who use SSA information 
inappropriately.
     Management Oversight--(see 1. above) In addition to the 
process described above for authorizing access to SSA information, 
projects must designate an official to be responsible for ongoing 
management oversight of these technical security requirements to ensure 
that only authorized employees have access to SSA information and to 
ensure there is compliance with the technical and procedural security 
requirements of the agreement with SSA.

Section II. Award Information

A. Statutory Authority and Catalog of Federal Domestic Assistance 
Number

    The project derives its authority from section 1110 of the Act. The 
regulatory requirements that govern the administration of SSA awards 
are in the Code of Federal Regulations, Title 20, Parts 435 and 437. 
Applicants are urged to review the requirements in the applicable 
regulations. This program will be listed in the Catalog of Federal 
Domestic Assistance under Program No. 96.007, Social Security 
Administration--Research and Demonstration.

B. Type of Awards

    Funding made available under this announcement will be in the form 
of a cooperative agreement between the government and the awardee. A 
cooperative agreement is a legal instrument reflecting a relationship 
between the U.S. Government and a recipient when the principal purpose 
is to transfer a thing of value to the recipient and substantial 
involvement is expected between the Agency and the recipient when 
carrying out the activity contemplated by the agreement. Involvement 
will include collaboration or participation by SSA in the management of 
the activity as determined at the time of the award. For example, SSA 
will be involved in decisions involving data collection and monitoring 
outcomes, grantee training, deployment of resources, release of public 
information materials, quality assurance, and coordination of 
activities with other offices.
    SSA has chosen to use cooperative agreements for funding projects 
to serve children with possible developmental delays and/or 
disabilities in order to assure accountability for funding and to 
maintain the ability to successfully monitor and evaluate projects.

C. Number, Size, and Duration of Projects

    SSA intends to enter into two cooperative agreements for up to 2 
years, subject to the availability of annual appropriations by 
Congress. SSA will fund project activities in the first year and will 
conduct data reporting activities in the second year.
    SSA may suspend or terminate any cooperative agreement, in whole or 
in part, at any time before the date of expiration, whenever it 
determines that the awardee has materially failed to comply with the 
terms and conditions of the cooperative agreement. SSA will promptly 
notify the awardee in writing of the determination and the reasons for 
suspension or termination, together with the effective date.
    SSA plans to fund two projects, with an award of up to $300,000.

Section III. Eligibility Information

A. Eligible Applicants

    Public and private organizations, including educational, nonprofit, 
profit-making, and faith-based organizations, may apply for cooperative 
agreement funding made available under this announcement.

[[Page 4056]]

    The Organization that is awarded funding must:
     Have existing expertise in developmental screenings and 
assessments or demonstrate an ability to refer children for screening, 
full assessment and early intervention services, and assist 
participants to follow through with recommended assessments and early 
intervention services; and
     Be able to provide culturally competent services that are 
fully accessible to the target populations, including individuals who 
require accommodations. Cooperative agreements may not be awarded to:
     Any individual;
     Social Security Administration FOs;
     State DDS offices; or
     Any organization described in section 501(c)(4) of the 
Internal Revenue Code of 1968 that engages in lobbying (in accordance 
with section 18 of the Lobbying Disclosure Act of 1995, 2 U.S.C. 1611).
    All applications developed jointly by more than one agency or 
organization must identify only one organization as the lead 
organization and official applicant. The other participating agencies 
and organizations can be included as co-applicants, sub-grantees, or 
subcontractors. All applicants for Federal grants and cooperative 
agreements are required to provide a Dun and Bradstreet (D&B) Data 
Universal Number System (DUNS) number. The DUNS number will be required 
whether an applicant is submitting a paper application or using the 
government wide electronic portal (www.grants.gov). Organizations 
should verify that they have a DUNS number or take the steps needed to 
obtain one as soon as possible. Organizations can receive a DUNS number 
at no cost by calling the dedicated toll-free DUNS number request line 
at 1-866-705-5711.

B. Cost Sharing or Matching

    Awardees of SSA cooperative agreements are required to contribute a 
non-Federal match of at least 5 percent toward the cost of each 
project. The cost of the project is the sum of the Federal share (up to 
95 percent) and the non-Federal share (at least 5 percent). For 
example, an entity that is awarded a cooperative agreement of $100,000 
(95 percent) would need a non-Federal share of at least $5,263 (5 
percent). The non-Federal share may be cash or in-kind (property or 
services) contributions.

C. Targeted Populations

    Congress recognizes the need for early intervention services 
through the New Freedom Initiative. President George W. Bush has also 
recognized the need to work to ensure that all Americans have the 
opportunity to learn and develop skills, engage in productive work, 
choose where to live, and participate in community life.\11\ Therefore, 
this cooperative agreement will target: children (birth to age 5) who 
are minority, unserved, underserved, native populations, homeless, 
premature infants, parental depression or serious emotional 
disturbance, foster care, low-income, inner city, rural, children 
affected by illegal substance abuse or withdrawal symptoms resulting 
from prenatal drug exposure, and children involved in a substantiated 
case of child abuse.
---------------------------------------------------------------------------

    \11\ New Freedom Initiative, President George W. Bush, announced 
February 1, 2001.
---------------------------------------------------------------------------

    The cooperative agreement awardee must make concerted and assertive 
efforts to provide appropriate services for screened infants and 
toddlers and their families with limited English proficiency, those who 
need accommodations related to a disability, and those who have needs 
for culturally sensitive services. In particular, applicants should 
show how they intend to assure that participants from diverse 
populations are served by the project.
    Applicants must specify by district, county, municipality, or State 
the geographic area to be covered. If more than one site is proposed, 
the geographic area for each must be specified.

Section IV. Application and Submission Information

A. Address To Request Applications

    An electronic application must be submitted through www.grants.gov 
for Funding Opportunity Number SSA-OPDR-07-1 unless submission of a 
paper application has been approved in writing by SSA. The 
www.grants.gov, Getting Started webpage is available to help explain 
the registration and application submission process. Additional helpful 
information is available in the Application Procedure section of the 
SSA Grants Web site at https://www.socialsecurity.gov/oag/grants/
ssagrant_info.htm. If you experience problems with the steps related 
to registering to do business with the Federal government or 
application submission, your first point of contact is the Grants.gov 
support staff at support@grants.gov, 1-800-518-4726. If your 
difficulties are not resolved, you may also contact the SSA Grants 
Management Team for assistance: Gary Stammer, 410-965-9501 or Audrey 
Adams, 410-965-9469.
    The www.grants.gov Web site is the primary means recommended for 
obtaining an application kit under this program announcement. Detailed 
procedures for completing and submitting applications are explained at 
www.grants.gov.
    However, in the rare instances when an organization may not have 
access to the Internet, an application kit may be obtained by writing 
to: Grants Management Team, Office of Operations Contracts and Grants, 
OAG, Social Security Administration, 7111 Security Blvd., Suite 100, 
Baltimore, Maryland 21244.

B. Content and Form of Application Submission

1. Application Process
    The cooperative agreement application process consists of a one-
stage, full application. Independent reviewers will competitively 
review and score the application, using the evaluation criteria 
specified in this announcement. (See Section V).
2. Application Requirements
    Applications will be initially screened for responsiveness to this 
announcement. If judged irrelevant, the application will be returned. 
Also, applications that do not meet the applicant eligibility criteria 
in Section III.A above will not be accepted.
    a. Number of Copies: Not applicable for applications submitted 
through Grants.gov. When approved to submit a paper application (see 
section VI), the applicant must submit one original signed and dated 
application and a minimum of two copies. The submission of seven 
additional copies is optional and will be appreciated, but will not 
affect the evaluation or scoring of the application.
    b. Length: A project abstract of not more than one page must 
precede the narrative of each application. The program narrative 
portion of the application may not exceed 30 double-spaced typed pages 
(or 15 single-spaced pages) on one side of the paper only, using 
standard (8\1/2\ x 11) size paper, and 12-point font. The attachments 
to support the program narrative count towards the 30-page limit. 
Resumes, job descriptions, and letters of cooperation/collaboration do 
not count in the 30-page limit. Section VI.B contains a detailed 
checklist for the application format.
    c. Project Narrative: Each application must include a brief project 
abstract that does not exceed one page in length

[[Page 4057]]

before the narrative. The application narrative must not exceed 30 
pages. Applicants must identify targeted age group(s) and location of 
the targeted service area(s) (e.g., district, municipality or county, 
and/or independent city). The narrative must include an implementation 
plan that shows how the applicant will:
    1. Report data elements;
    2. Develop and submit quarterly reports that contain progress and 
status toward achieving goals and objectives to the Office of 
Acquisition and Grants (OAG);
    3. Develop and submit semi-annual financial reports to SSA, OAG;
    4. Meet with SSA Project Staff for an initial teleconference, 
within the first 90 days following award;
    5. Begin to screen children (birth to age 5) for this project 
within 120 days after award;
    6. Provide a description of any planned changes to the project 
design for approval by SSA prior to implementation;
    7. Cooperate with SSA in scheduling and conducting site visits; and
    8. Conduct activities designed to improve organizational capacity, 
gradually reduce reliance on cooperative agreement funds, and sustain 
the project activities after cooperative agreement funding is no longer 
available.

C. Submission Dates and Times

    A complete application package must be received electronically by 
the Grants.gov portal no later that 11:59 p.m. Eastern Time on or 
before March 14, 2007. Applications that do not meet the above criteria 
are considered late applications. SSA will not waive or extend the 
deadline for any application unless the deadline is waived or extended 
for all applications. SSA will notify each late applicant that its 
application will not be considered.

D. Funding Restrictions

    Federal cooperative agreement funds may be used for allowable costs 
incurred by awardees in conducting required and optional project 
activities, as described in Section I and paragraph E.1. These costs 
could include administrative and overall project management costs 
within the limitations established in this announcement.
    Federal cooperative agreement funds are not intended to cover costs 
that are reimbursable under an existing public or private program, such 
as social services, rehabilitation services, or education. No SSDI/SSI 
beneficiary can be charged for any service delivered under an Early 
Identification and Intervention cooperative agreement. Cooperative 
agreement funds may not be used to create new benefits or extensions of 
existing benefits.

E. Other Submission Requirements

    All applications for funding under this announcement must be 
submitted via www.grants.gov, the process that the Federal government 
has established for electronic submission of applications for grant and 
cooperative agreement funding. If you experience technical difficulties 
related to the application submission, first contact Grants.gov support 
staff at support@grants.gov, 1-800-518-4726. If your difficulties are 
not resolved you may contact: Gary Stammer, SSA Grants Management 
Officer, at 410-965-9501 or gary.stammer@ssa.gov. In exceptional cases 
where submission through www.grants.gov is not possible, the applicant 
should contact the Grants Management Team (via specified contact 
information) to request approval and instructions for the submission of 
a paper application package.

Section V. Application Review Information

A. Criteria

    There are three categories of criteria used to score applications: 
Capability; relevance/adequacy of project research design; and 
resources and management. The total points possible for an application 
are 100, and sections are weighted. The score for each application is 
the sum of its parts. Although the results from the independent panel 
reviews are the primary factor used in making funding decisions, they 
are not the sole basis for making awards. The Commissioner will 
consider other factors as well when making funding decisions.
    The following are the evaluation criteria that SSA will use in 
reviewing all applications (relative weights are shown in parentheses). 
The application narrative should include the following sections in this 
order.
1. Capability (30 Points Total)
    These criteria will be used to assess the applicant's capability to 
develop and manage a project. SSA will consider the following:
     Evidence of successful previous experience related to 
early identification and intervention (5 points).
     Evidence that the applicant will be able to successfully 
develop a model which increases developmental screening on children 
(birth to age 5) (10 points).
     Documentation of experience of the Project Director and 
key staff (5 points).
     Description of the qualifications, including relevant 
training and experience, of key project personnel, and the 
qualifications, including relevant training and experience, of project 
consultants or subcontractors, if built into project design (5 points).
     In determining the quality of project personnel, the 
extent to which the applicant encourages applications for employment 
from persons who are members of groups that have traditionally been 
underrepresented based on race, color, national origin, age, or 
disability (5 points).
2. Project Design (30 Points Total)
    The adequacy of project design will be judged by:
     A description of the project, including: How the project 
will be managed, the target populations, specific methods to be used, 
and a description of problems that may arise and specific measures that 
will be taken to mitigate them (e.g., how dropouts and inadequate 
numbers of participants will be handled) (10 points).
    The extent to which the project design reflects careful 
consideration of the potential for achieving successful outcomes and 
for project replication. This includes evidence of:
     An approach to outreach and early identification and 
intervention that can reasonably be expected to be successful, given 
the characteristics and needs of the target population; measurable 
methods for recruiting and serving the target population; service 
delivery to populations with special cultural or language requirements; 
consideration of the desired outcomes identified by SSA; and 
accessibility of facilities and service delivery methods that eliminate 
or reduce barriers to participation by individuals with disabilities 
(10 points).
     The extent to which goals, objectives, and outcomes to be 
achieved by the proposed project are clearly specified and measurable 
as indicated by a description of: project goals and objectives; outcome 
measures; time frames for accomplishing project milestones; and the 
relationship of proposed activities to the stated project goals (10 
points).
3. Resources and Management (40 points total)
    Resources and management will be judged by:
     A description of how the applicant will ensure that the 
perspectives of families of children at risk for disabilities or having 
developmental delays or disabilities influence the

[[Page 4058]]

operation of the project (e.g., representation on a project or 
organizational advisory board) (5 points).
     Evidence that the applicant has a working knowledge of 
Federal, State, and local programs that serve children at risk for 
disabilities or having developmental delays or disabilities or other 
underserved individuals (5 points).
     Evidence of facilities, equipment, supplies, and other 
resources, from the applicant organization that are adequate to achieve 
project goals (5 points).
     Evidence that the applicant works cooperatively with other 
community-based service providers, as well as local and State funders/
regulators (5 points).
     Evidence that the applicant directly provides or assists 
clients through referral and advocacy, a wide variety of services that 
lead to the early identification of developmental delays and/or 
disabilities and early intervention services for these children and 
their families, including, but not limited to:
    [cir] Developmental screening; assessments; case coordination; 
early intervention services; other services and supports for children 
and families (10 points);
    [cir] The extent to which the budget is adequate to support the 
proposed project (5 points); and
    [cir] The extent to which the applicant has included plans for 
sustaining project activities after cooperative agreement funding ends 
(5 points).

B. Review and Selection Process

    All applications that meet the deadline for application submission 
March 14, 2007 will be screened to determine completeness and 
conformity to the requirements of this announcement. Complete and 
conforming applications will then be evaluated. The results of this 
review and evaluation will assist the Commissioner in making award 
decisions.
    Although the results of this review are a primary factor considered 
in making award decisions, the review score is not the only factor 
used. In selecting eligible applicants to be funded, consideration also 
may be given to achieving an equitable distribution of assistance among 
geographic regions of the country and to diverse populations.
    Applications that are complete and conform to the requirements of 
this announcement will be reviewed competitively against the evaluation 
criteria specified in Section V.A. of this announcement.
    Applications that pass the screening process will be independently 
reviewed by at least three individuals who will evaluate and score the 
applications based on the evaluation criteria specified in Section V.B.

C. Anticipated Announcement and Award Dates

    Announcement of awards are anticipated on or before June 1, 2007.

D. Application Approval

    A cooperative agreement award will be made pursuant to the 
availability of funds and at the discretion of SSA. The official award 
document is the Notice of Cooperative Agreement Award, which will 
provide the amount and purpose of the award, the duration of the 
agreement, the total project period for which support is contemplated, 
applicable reporting requirements, the amount of financial 
participation required from the applicant, and