Policy Research and Evaluation Grants

To support research that is relevant to policy development and evaluation of current and proposed programs of interest to the Secretary, the Administration, and the Congress.

Priorities include: (1) Issues of long-term care, disability, and personal assistance services, including informal care
giving; (2) health care delivery issues including health care financing; (3) welfare reform outcomes and policies affecting children and youth; (4) community development; (5) science policy development; and (6) the reduction of poverty.

Examples of Funded Projects

In fiscal year 2005 grants were awarded to 4 States for closeout assistance of the State innovation grants.

Funding was also provided to the national and area poverty centers.

Agency - Department of Health and Human Services

The Department of Health and Human Services is the Federal government's principal agency for protecting the health of all Americans and providing essential human services, especially to those who are least able to help themselves.

Program Accomplishments


Uses and Use Restrictions

Funds may not be used for construction or renovation of buildings.

This program is subject to the provisions of 45 CFR 74, and 45 CFR 92 as well as OMB Circular No.

A-102 (Administrative Guidelines for States and Local Governments), and OMB Circular A-110 (Administrative Guidelines for Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations).

Eligibility Requirements

Applicant Eligibility

Assistance may be provided to State and local governments, institutions of higher education, nonprofit organizations and individuals.

Occasionally, awards are made to for-profit organizations when deemed by the Assistant Secretary to be consistent with the legislative intent and purpose of the program.

Beneficiary Eligibility

Federal, State and local governments will benefit. (Note: Projects do not usually provide any direct assistance to individuals.


Nonprofit organizations must provide evidence of tax-exempt status. When projects involve the collaborative efforts of more than one organization or require the use of services or facilities not under the direct control of the applicant, written assurances of specific support or agreements must be submitted by the affected parties.

Aplication and Award Process

Preapplication Coordination

No preapplication coordination is required.

This program is excluded from coverage under E.O.


Application Procedures

Applications are submitted in response to specific announcements published in the Federal Register. All applications must be submitted using the Department of Health and Human Services Standard Form 424. Each announcement provides specific additional instructions regarding the contents of the narrative description of the project, budget justification and other required information.

Award Procedures

Official notice of approved application is made through the issuance of a Notice of Grant Award or a Notice of Cooperative Agreement.


None. Each announcement specifies the due dates applicable to that announcement.


Social Security Act, Section 1110, 42 U.S.C. 1310.

Range of Approval/Disapproval Time

The range is from 60 to 90 days.




Extensions to the project period may be made if deemed appropriate by the Assistant Secretary for Planning and Evaluation.

Assistance Considerations

Formula and Matching Requirements

Awardees are required to share in the cost of projects, except where the grantee is exempt by Federal statute from cost-sharing requirements. Cost-sharing requirements are indicated in each grant announcement.

Length and Time Phasing of Assistance

Grants and cooperative agreements are generally funded on a 12-month basis. Support beyond the first year is contingent upon acceptable evidence of satisfactory progress, continuing program relevance, and the availability of funds.

Post Assistance Requirements


Grantees must submit annual progress reports.

Expenditure reports are required 90 days after the end of each budget period.

Comprehensive final reports are due no later than 90 days after the completion of the projects.


All fiscal transactions identifiable as Federal financial assistance are subject to audit by the DHHS audit agency.


In accordance with 45 CFR Part 74.53 and 45 CFR Part 92, grantees are to maintain accounting records for a minimum of 3 years after the end of a budget period. If any litigation, claim, negotiation, audit or other action involving the records has been started before the expiration of the 3-year period, the records shall be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular 3-year period, whichever is later.

Financial Information

Account Identification



(Grants) FY 07 est not available; FY 08 est not available; and FY 09 est not reported.

Range and Average of Financial Assistance

$300,000 to $1,200,000; $575,000.

Regulations, Guidelines, and Literature

Grant administration policies (45 CFR 74 and 92) and application kits may be obtained from the ASPE Grants Management Specialist, LTS, National Institute of Allergy and Infectious Diseases, NIH, DEA, DHHS, 6700B Rockledge Drive, Room 3220, Bethesda, MD 20892-7614. Additional information about the mission and activities of the Office of the Assistant Secretary for Planning and Evaluation is available on its website at http://aspe.hhs.gov .

Information Contacts

Regional or Local Office

Not applicable.

Headquarters Office

Grants Officer, Office of the Assistant Secretary for Planning and Evaluation; Department of Health and Human Services, Hubert H. Humphrey Bldg., Room 405F, 200 Independence Ave., SW., Washington, DC 20201. Telephone: (202) 690-8794.

Criteria for Selecting Proposals

The rating criteria and the weight attached to each criterion is included in the Federal Register announcement that requests project proposals. The criteria typically include such concerns as the significance and usefulness of the project; the appropriateness of the intervention/measurement methodology and design; the qualifications of personnel and the sponsoring organization; and the likelihood that the work plan and budget will produce the intended results.

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Edited by: Michael Saunders

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