[Federal Register Volume 63, Number 118 (Friday, June 19, 1998)]
[Notices]
[Pages 33668-33675]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-16362]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Office of the Secretary


Assistant Secretary for Planning and Evaluation; Notice Inviting 
Applications for New Award for Fiscal Year 1998; Grants to States to 
Support Child Indicator Initiatives

AGENCY: The Office of the Assistant Secretary for Planning and 
Evaluation (ASPE).

ACTION: Announcement of the availability of grant funds and request for 
applications from states to make advancements in developing and using 
indicators of children's health and well-being in state and local 
policy work.

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SUMMARY: The Office of the Assistant Secretary for Planning and 
Evaluation

[[Page 33669]]

announces the availability of funds for a program of small grants and 
invites applications from states to participate in technical assistance 
opportunities and make advancements in developing and using indicators 
of children's health and well-being in state and local policy work. The 
overall aims are (1) to promote state efforts to develop and monitor 
indicators of the health and well-being of children as welfare reform 
and other policy changes occur and (2) to help to institutionalize the 
use of indicator data in state and local policy work. Our intent is to 
award funds to states with a range of experience, including states not 
already engaged in substantial work in this area, based on their 
readiness to make advancements. Applications are invited from 
partnerships of state agencies and, where appropriate, other state 
governance groups such as children's councils or committees which have 
responsibilities for addressing children's issues. The proposed 
partnership should have a designated lead agency, ability to identify 
state goals for enhancing children's health and well-being, and ability 
to direct work with existing or new sources of data to produce child 
indicators. Technical assistance opportunities will be provided for 
states to work with one another, research and policy experts, and 
federal staff. Separate funding is being provided to Chapin Hall, at 
the University of Chicago, to convene grantee meetings, to promote the 
exchange of ideas and knowledge among states, and to organize and 
coordinate technical assistance from a network of experts from a 
variety of organizations. Assistance will be provided on issues in 
conceptualizing and measuring child indicators and institutionalizing 
the use of indicators in policy processes. Approximately ten grants 
will be awarded in FY98 for up to $50,000 for a one-year budget period. 
Continuation funding on a noncompetitive basis may be available for a 
second-budget year, and applicants should use a two-year project period 
in developing their plans (for a total award of up to $100,000). Awards 
may be made to additional applicants in FY99, depending on the 
availability of funds and the interest of the government.

CLOSING DATE: The deadline for submission of applications under this 
announcement is August 10, 1998.

MAILING ADDRESS: Application instructions and forms should be requested 
from and submitted to: Grants Officer, Office of the Assistant 
Secretary for Planning and Evaluation, Department of Health and Human 
Services, 200 Independence Avenue, SW., Room 405F, Hubert H. Humphrey 
Building, Washington, D.C. 20201, Telephone: (202) 690-8794. Requests 
for forms and administrative questions will be accepted and responded 
to up to five working days prior to the closing date for the receipt of 
applications. Application submissions may not be faxed.
    Copies of this program announcement and many of the required forms 
may also be obtained electronically at the ASPE World Wide Web Page 
http://aspe.os.dhhs.gov. You may fax your request to (202) 690-6518 to 
the attention of the Grants Officer. Application submissions may not be 
faxed or sent electronically.
    The printed Federal Register notice is the only official program 
announcement. Although reasonable efforts are taken to assure that the 
files on the ASPE World Wide Web Page containing electronic copies of 
this program announcement are accurate and complete, they are provided 
for information only. The applicant bears sole responsibility to assure 
that the copy downloaded in any other source is accurate and complete.
    Request for forms and questions administrative and technical will 
be accepted and responded to up to five days prior to the closing date 
for the receipt of applications.

FOR FURTHER INFORMATION CONTACT: Administrative questions should be 
directed to the grants officer at the address or phone number listed 
above. Technical questions should be directed to Martha Moorehouse, 
Ph.D., Office of the Assistant Secretary for Planning and Evaluation, 
Department of Health and Human Services, 200 Independence Avenue, S.W., 
Room 450G, Hubert H. Humphrey Building, Washington, D.C. 20201. 
Telephone: (202) 690-6461. Questions may be faxed to (202) 690-5514 or 
emailed to <a href="/cdn-cgi/l/email-protection#b2dfdfddddc0d7daddf2ddc1d3c1c2d79cd6dadac19cd5ddc4"><span class="__cf_email__" data-cfemail="731e1e1c1c01161b1c331c00120003165d171b1b005d141c05">[email protected]</span></a>. Consult the final section of the 
report for information on obtaining any of the publications referenced 
in the document.

Part I. Supplementary Information

Legislative Authority

    This activity is authorized by Section 1110 of the Social Security 
Act (42 U.S.C. 1310) and awards will be made from funds appropriated 
under PL 105-78 Department of Health and Human Services Appropriations 
Act, 1998.

Eligible Applicants

    This competition is open only to states. Eligible applicants 
include states not already engaged in substantial work in this area and 
those with well-established efforts. A state applicant should propose a 
partnership among state agencies and, where appropriate, other state 
public governance groups (e.g., a cabinet-level children's council or 
committee) which have responsibilities for addressing children's 
issues.
    The proposed partnership should have a designated lead agency. The 
partnership also should have the ability to identify state goals for 
enhancing children's health and well-being, to direct work with 
existing or new sources of data to produce child indicators, and to 
influence the use of indicators in policy work. At a minimum, the 
partnership should include (1) the state health and human service 
agencies with lead responsibilities for children's programs, including 
children's health programs, and the welfare and income support programs 
and (2) any state agencies or governance groups (e.g., a cabinet-level 
children's council or committee), already working to develop and use 
child indicators. Involvement of the state education agency is strongly 
encouraged.
    States also are invited to propose additional partners such as city 
or county agencies, research institutions, or other state or local 
groups as part of a well-designed strategy to promote work on child 
indicators. Public or private nonprofit organizations, including 
research institutions, may collaborate with states in submitting 
applications, but states will be the principal grantees. Private for-
profit organizations may also participate, with the recognition that 
grant funds may not be paid as profit to any recipient of a grant or 
subgrant.

Available Funds

    ASPE anticipates awarding approximately ten grants of up to $50,000 
for each budget year of an up to two-year project period (for a total 
award of up to $100,000). The budget period is the interval of time 
into which the project period is divided for funding and reporting 
purposes. The project period is the total time for which a project has 
been programmatically approved, and two years is the expected length of 
the project period for these awards. Applications for continuation 
grants funded under these awards beyond the one-year budget period, but 
within a two-year project period, will be entertained in the subsequent 
year on a noncompetitive basis, subject to the availability of funds, 
satisfactory progress of the grantee and

[[Page 33670]]

determination that continued funding would be in the best interest of 
the government. Awards to additional applicants may be made in FY99, 
depending on the availability of funds and the interest of the 
government.

Part II. Purpose and Background

    Indicators of children's health and well-being are the focus of 
increased attention at national, state, and local levels in a variety 
of initiatives. There are significant new national initiatives to 
monitor key trends in child health and well-being on a yearly basis in 
order to identify areas of progress and concern. At a variety of 
levels, there is interest in using indicators to monitor aspects of 
children's well-being that are most likely to be affected by welfare 
reform or by a combination of changes in key policies for children like 
those also occurring in child welfare or access to health care 
services. In addition, indicators are used increasingly in initiatives 
to set goals and establish benchmarks related to policies for children 
and to assess program performance through child outcome measures, 
though indicators cannot directly demonstrate causal effects of 
programs or policies.
    ASPE is interested in building on existing activities and 
encouraging new work by states. The aim is to support states in making 
committed efforts to assess key trends in children's health and well-
being and to improve the use of this information in policy development 
and implementation. ASPE is interested in promoting indicators as a 
monitoring tool for states to track broadly the status of low-income 
children in relation to other groups and to monitor changes for 
children as policy shifts occur in a number of key policy areas 
(welfare reform, child welfare, child care, health care). An additional 
purpose is to help states focus on areas where children's well being 
may be affected--positively or negatively--by welfare policies. ASPE is 
especially interested in encouraging state welfare agencies to work 
closely with other agencies to develop and use indicators as part of a 
strategy to monitor the health and well-being of children whose 
families leave the welfare rolls. The focus of the small grants is on 
supporting approximately ten states with varying degrees of experience 
in these areas to participate in technical assistance opportunities and 
make advancements.

Building on Federal Initiatives to Establish National Indicators of 
Children's Health and Well-Being

    There is a new national commitment to using indicators to document 
trends in the health and well-being of America's children. The Federal 
Interagency Forum on Child and Family Statistics was formally 
established by Presidential Executive Order in 1997. The Forum works to 
coordinate and improve the collection and reporting of national data on 
children, and ASPE is an active member. The Forum's new charge is to 
report each year on the most important indicators of children's well-
being so that policy decisions for children are based on better 
information.
    The first report, America's Children: Key National Indicators of 
Children's Well-Being, was issued in 1997. The report offers a succinct 
portrait of what we do and do not know about the health and well-being 
of children in our nation. Using twenty-five indicators, the report 
shows how children from infancy through adolescence are faring in 
critical areas such as mortality, poverty, and health care coverage. 
Gaps in the report reflect areas where national data sources are 
inadequate. One gap is in the area of producing positive outcomes for 
children; most existing indicators are problem focused. Certain key 
areas such as school readiness are also missing. In producing future 
reports, the Forum will document change and stability for children 
using existing indicators and will seek to fill in some of the missing 
pieces through improvements in data collections.
    ASPE is sponsoring additional projects as part of a program of work 
to promote the development and use of child indicators for purposes of 
monitoring policy outcomes and identifying new policy needs. ASPE 
supports the production of a much more extensive annual report on 
national trends in children's well being. The second edition of Trends 
in the Well-Being of America's Children and Youth: 1997 presents the 
most recent and reliable estimates on more than 80 indicators of well-
being. The indicators cover five broad areas: population, family and 
neighborhood; economic security; health conditions and health care; 
social development, behavioral health, and teen fertility; and 
education and achievement. The report also calls attention to the areas 
where better national data--reliably and regularly measured--are 
needed.
    In light of these national developments, this project seeks to 
promote a committed effort by states to regularly monitor key 
indicators for children. Working toward a common core of indicators 
that have comparability across states is valued, but the first emphasis 
will be on indicators of interest to each of the participating states.
    Good data sources for producing state indicators on a year-to-year 
basis are scarce. Data from national surveys, which are used to produce 
the national indicators, have gaps in what they cover and use a 
sampling frame which does not readily yield estimates for most states. 
Data can be combined over multiple years, an approach used to produce 
certain indicators for the well known national Kids Count Data Book 
published by the Annie E. Casey Foundation. However, yearly trends 
cannot be tracked with this approach. Information on the strengths and 
limitations of national data sources is provided in The Guide to State 
and Local-Level Indicators of Child Well-Being Available Through the 
Federal Statistical System produced by Child Trends.
    Administrative data bases, state surveys, and state supplements of 
national surveys are potential data sources for producing state child 
indicators with each of these sources having particular strengths and 
weaknesses. A number of states have begun to produce indicator reports 
using a variety of sources. This project is intended to build on and 
stimulate such efforts by states.
    A goal of the present project is to establish indicators projects 
within the state governance structure and to support states' efforts to 
institutionalize the production and use of indicators using state 
funds. In addition to funding the national Kids Count Data Book, the 
Casey Foundation has funded state-level Kids Count grantees to produce 
more detailed state and local indicator profiles of children's well-
being on a yearly basis. Relationships between state governments and 
Kids Count grantees are highly varied. In some states, grantees are a 
part of state government or have established common goals and close 
working relationships. In other states, relationships are distant or 
problematic. States are encouraged to take stock of the base of 
technical experience accumulated by these grantees and compatibility of 
goals and determine the best relationship to establish between these 
existing efforts and the proposed project. Areas where this project may 
provide a different focus or add value include: creating or refining 
indicators based on states' goals for children's health and well-being, 
accessing

[[Page 33671]]

additional sources of state data, developing methods for tracking 
indicators year-to-year rather than over longer periods, and leveraging 
state resources for institutionalizing the production and use of 
indicator information.

Linking Child Indicators to Monitoring of Welfare Reform and Other 
Policy Changes

    Children's indicators are an important tool for monitoring changes 
in children's health and well-being as welfare reforms are implemented 
in response to passage of the Personal Responsibility and Work 
Opportunity Reconciliation Act of 1996 (PRWORA). Census Bureau surveys 
will provide a major source of data for producing national indicators 
for children and for conducting analyses of welfare impacts. As part of 
implementing the 1994 Welfare Indicators Act, ASPE will work with the 
Census Bureau and other federal agencies to produce annual reports 
which focus on indicators of welfare dependence and the well-being of 
children and adults. With the advice and recommendations of the 
bipartisan Advisory Board on Welfare Indicators and the assistance of 
other Federal agencies, an interim and first annual report to Congress 
entitled Indicators of Welfare Dependence.
    Sources are more limited for producing state-specific indicators, 
especially for indicators which can be tracked at regular intervals. 
Under the PRWORA, using a methodology to be established by DHHS, states 
will report annually on changes in child poverty. ASPE is interested in 
assisting states with the development of indicators which go beyond 
child poverty. With the Administration on Children and Families and 
other funding partners, ASPE is supporting the Project on State-Level 
Child Outcomes (PCO). The primary focus of this project is supporting 
states in adding child outcome measures to welfare waiver evaluations. 
A second focus is indicator development. State welfare agencies have 
been encouraged to work with other state agencies to create or improve 
capacities for monitoring indicators of children's well-being which are 
most likely to be affected by welfare reforms. We have found that 
welfare agencies often were not connected to existing indicator 
initiatives, but were able to establish connections with the support of 
the project. Descriptions of the focus on indicators and states' 
activities are provided in a report summarizing the third meeting of 
the planning phase, Indicators of Children's Well-Being: From Construct 
to Application, prepared by Child Trends. From this experience, the 
present project seeks to strengthen the involvement of state welfare 
agencies in work on children's indicators. If appropriate, states may 
designate the welfare agency to lead the project. However, for most 
states, we anticipate that leadership will come from another agency 
which is promoting work on children's indicators or which has lead 
responsibilities for children's policies and programs.
    In relation to welfare monitoring, the purpose is to help states 
focus on areas where children's well being may be affected--positively 
or negatively--by welfare policies. ASPE is especially interested in 
encouraging states to work on indicator strategies for monitoring the 
health and well-being of children whose families leave the welfare 
rolls. The Project on State-Level Child Outcomes worked with states 
during the planning phase to develop a common conceptual framework of 
the linkages between welfare reforms and potential child outcomes. The 
resulting matrix identifies ways in which welfare reform provisions may 
produce changes for adults (e.g., welfare dependence, income changes, 
work participation) which would affect family processes (e.g., 
residential stability, family routines, parental depression and 
behavior) and children's participation in child care (e.g., use of 
care, amount, type, stability, quality) which would in turn affect 
child outcomes (health and safety, education, social and emotional 
adjustment). The conceptual matrix and related measures are presented 
in the report From Constructs to Measures prepared by Child Trends.
    A number of the state officials participating in the Project on 
State-Level Child Outcomes also participate in the Midwest Welfare Peer 
Assistance Network (WELPAN), a group of senior welfare officials who 
began meeting in October 1996 on welfare reform issues, with the Family 
Impact Seminar providing coordination. This group's recent report, 
Welfare Reform: How Will We Know If It Works?, presents a similar 
framework and outlines the process the group followed to select and 
refine goals and measures. The ultimate outcomes identified for 
children are affected by much more than welfare reform, as the report 
notes. Recognizing, therefore, that no one agency can be held solely 
accountable for broad outcomes, the process of identifying ultimate 
outcomes should lead to better coordination across policies and 
programs and to improvements for children.
    WELPAN's report notes that choosing outcomes and the appropriate 
measures is only the first step, and recommends that states invest in 
sufficient resources to ensure that the right data are available and 
that the measures are used and interpreted objectively. A purpose of 
this project is to help states to consider multiple data sources and 
make progress in accessing data, developing new data sources, and 
analyzing and reporting indicator data.
    The Assessing New Federalism Study, conducted by the Urban 
Institute, is producing profiles of a limited set of policy variables 
and social indicators for the 50 states. The health and well-being of 
children and families is being monitored in 13 states with surveys in 
1997 and 1999. Along with the efforts described above, the data and 
methods from this project can provide a base for states to use in 
considering designs for longer-term monitoring efforts.
    As states are implementing welfare reforms, changes are occurring 
in other key policies for children including those related to health 
care, child care, and child welfare. A number of states are also making 
innovations in early childhood and educational policies. Innovations 
are likely to continue at national, state, and local levels in a number 
of these key policy areas for children and their families. Individually 
and in combination these changes may affect a number of important 
health and well-being outcomes for children.
    This project aims to support states' efforts to develop indicator 
systems which can serve as a tool for monitoring how children are 
faring as multiple policy changes occur. Though indicators cannot be 
used to attribute changes in well-being to specific changes in policy, 
they can signal whether changes are moving in positive, negative, or 
neutral directions. Good indicator systems also can help identify unmet 
needs and inform policy development in new areas.

Linkages With Performance Measurement Initiatives

    Indicators are seeing increasing use in national, state, and local 
initiatives to set goals and establish benchmarks in policies for 
children and to measure the performance of programs by assessing 
whether outcomes for children are achieved. DHHS and other federal 
agencies are in the process of implementing the Government Performance 
and Results Act of 1993 (GPRA). GPRA requires federal agencies to set 
long-term strategic goals, link goals to specific program activities, 
identify indicators, and develop the information systems and measures 
to produce the required data.

[[Page 33672]]

    Examples of federal performance measurement efforts that have a 
primary focus on children include those underway for Head Start, 
immunizations (tracking rates at national and state levels through the 
National Immunization Survey), the Maternal and Child Health Block 
Grants (with measures established in partnership with states), and the 
new Children's Health Insurance Program (with measures selected by 
states). These efforts are at an early stage, and it is yet to be seen 
how well these programmatically-focused efforts will be able to inform 
policy development and produce improvements in key areas of children's 
health and well-being. An aim of the technical assistance component of 
this project is to help apply the lessons emerging from the successes 
and failures of these efforts.
    Another effort of DHHS is Healthy People 2000 which provides a 
framework for measuring performance by outcomes. It specifies 
objectives for 22 priority areas, including areas focusing on children. 
The overarching goals are to increase years of healthy life, reduce 
disparities in health among different population groups, and achieve 
access to preventive health services. All but a few states have 
developed their own Healthy People 2000 plans tailored to their own 
needs. Planning for Healthy People 2010 is underway and will address 
emerging issues, such as changing demographics, advances in preventive 
therapies and new technologies.
    Through legislative or management initiatives, a number of states 
are implementing a variety of performance measurement efforts. The 
Harvard Family Research Project has published the Resource Guide of 
Results-Based Accountability Efforts. This 1996 report highlights the 
efforts of eighteen states which have developed systems focusing on 
children and families. Descriptions of the ways in which six states 
(California, Florida, Massachusetts, Minnesota, Oregon, and Vermont) 
are developing and using children's indicators are provided in the 1997 
report by Child Trends, Social Indicators of Child and Family Well-
being: A Profile of Six State Systems, published as an Institute for 
Research on Poverty Special Report.
    The most sensitive issue for performance measurement initiatives is 
how changes in indicators will be attributed to the good or poor 
performance of a specific program, and how program funds may be 
increased or decreased accordingly. Indicators can show changes in 
children's well-being, but cannot show the causes of changes. For 
states now using indicator data in policy processes, indicators are 
seeing more usage in setting overarching goals for children and their 
families, assessing baselines, and tracking whether changes are moving 
in the right direction. For example, Oregon and Vermont have used 
negative indicator data (a teenage pregnancy or birth rate that is 
higher in one county than in other counties) as a starting point for 
policy development and the provision of additional resources and 
technical assistance. It is this type of focus that the present project 
seeks to promote.
    The process of identifying indicators of program performance at 
federal, state and local levels can change the focus of policy making. 
This process should focus attention on the fact that outcomes of 
fundamental importance for children are interactive and cannot be 
accomplished by any one program alone. Vermont's experience shows the 
importance of considering sets of related indicators and their 
interactions with one another. For example, improvements in input 
indicators such as the percent of the population covered by health 
insurance, the percent of women with early prenatal care, the percent 
of newborns receiving home visits, have been followed by declines in 
teen birth rates, child abuse, and numbers of children needing special 
education (``The Importance of Indicators and What They Can Do'', by C. 
D. Hogan, Vermont Agency of Human Services, in Indicators of Children's 
Well-Being: From Construct to Application, prepared by Child Trends).
    The present project seeks to build on experiences at all levels and 
focus on helping to transfer knowledge, especially from state to state. 
States are encouraged to build on technical work that they are doing to 
develop specific performance measures. However, this project must have 
a focus on broader state-identified goals for children's health and 
well-being, as in the examples above, and thus go beyond the selection 
of specific performance measures for individual programs.

Technical Assistance

    This project will provide opportunities for states to work with one 
another and with research and policy experts to develop indicators and 
promote their use in policy. States should plan to fully participate in 
technical assistance opportunities and may use grant funds for travel 
to project meetings (see Budget section of the Application 
Instructions). Separate funding has been provided to Chapin Hall, at 
the University of Chicago, to convene grantee meetings, promote the 
exchange of ideas and knowledge among states, and organize and 
coordinate consultations with a broad network of experts (from a team 
at Chapin Hall and from a variety of other organizations). Areas of 
expertise include: policies and programs for children and their 
families, issues in conceptualizing and measuring different domains of 
children's health and well-being, data strategies for producing 
children's indicators, and appropriate ways of using indicator data in 
policy processes. Technical assistance will be oriented to the 
interests and needs of participating states and will support the 
purposes described in this announcement.

Part III. Application Preparation and Evaluation Criteria

    This section contains information on the preparation of 
applications for submission under this announcement, on the forms 
necessary for submission, and on the evaluation criteria under which 
the applications will be reviewed. Potential applicants should read 
this section carefully in conjunction with the information provided 
above. The application must contain the required Federal forms, title 
page, table of contents, and the sections listed below. All pages of 
the narrative should be numbered.
    Whatever the state's prior experience is this area, the application 
should clearly show that the state is motivated and prepared to make 
advancements in indicators work. States not already engaged in 
substantial work in this area are encouraged to apply and to propose 
plans for new work. States with substantial experience should focus on 
what new advancements will be made and what value will be added. 
Applications also should include plans to make full use of the 
opportunities to work with one another and with the broad network of 
research and policy experts to be arranged and coordinated by Chapin 
Hall.
    The application should include the following elements:
    1. Abstract: A one page summary of the proposed project.
    2. Authorship: Authors of the proposal and their planned role in 
the project.
    3. Goals: Focus on proposed advancements, and describe the goals 
and objectives to be achieved with regard to developing and using child 
indicators. Describe the expected contributions of participating 
agencies for achieving the identified goals and objectives, the 
proposed accomplishments and how they will be assessed, the value to be 
added to

[[Page 33673]]

existing state indicator initiatives, and knowledge and information to 
be gained from the project by the applicant, the government, and the 
research and policy communities.
    4. Background information on the lead agency and the partnership: 
Identify and provide background information on the participating 
agencies and their roles, responsibilities, and decision making 
authority. Explain the leadership structure. Describe existing 
collaborations pertinent to the project. Indicate previous experience 
in coming to agreement on goals for children (and key indicators, if 
applicable), with sharing information and data across agencies and in 
disseminating indicators publicly. If experience is limited, provide 
clear and specific plans for working collaboratively in these areas. 
Provide attachments documenting interagency agreements. At a minimum, 
the partnership should include (1) the state governmental agencies with 
lead responsibilities for children's programs, including children's 
health programs, and the welfare and income support programs and (2) 
any state agencies or governance groups, (e.g., a Governor's Office on 
Children or a cabinet-level children's council or committee), already 
working to develop and use child indicators. Involvement of the state 
education agency is strongly encouraged. States also are invited to 
propose additional partners, including city or county agencies, 
research institutions, and other state and local groups, as part of a 
well-designed strategy to promote work on child indicators. As 
applicable, describe the planned roles for other organizations, 
including research institutions. Demonstrate the capacity of the 
partnership for institutionalizing the production and use of indicators 
within the state public governance structure. Demonstrate a commitment 
from senior leadership in the state.
    5. Experience, capacity, qualifications, and use of staff for the 
lead agency and partnering agencies: Describe the organizational 
capabilities of the lead agency and its experience in conducting 
related projects. Show capability to direct work with existing or new 
sources of data to produce child indicators. Provide specific examples 
of work with data that can be applied to this project. Identify the key 
staff who are expected to carry out the project and provide a resume or 
curriculum vitae for each person. Provide a discussion of how key staff 
will contribute to the success of the project. Describe their normal 
duties and indicate how time will be allocated to work on this project. 
Show commitment to staffing this project from policy, program, and 
research and planning areas. Provide similar information on partnering 
agencies in sufficient depth to understand how the proposed project 
will be accomplished.
    6. Work plan outline: Provide sufficient information to show that 
the applicant is prepared to engage in a sequence of tasks and 
activities that will enable meaningful progress to be made in 
accomplishing the identified goals and objectives. There should be a 
clear relationship between the work plan and the identified roles and 
responsibilities described for the participating agencies and key 
staff. The work plan should anticipate a project start date of no later 
than September 30, 1998, and outline plans for a two-year period, 
providing more detail for the first year. It is expected that plans 
will evolve over the course of the project and in response to 
participation in technical assistance opportunities. Information on 
areas of interest for technical assistance (that Chapin Hall will 
provide or coordinate including opportunities to work with other 
states) should be indicated and the range of issues and preferred 
priorities should be described.
    The plan should indicate what will be most emphasized in relation 
to the following areas:
    Conceptualizing and Measuring Indicators: The process and 
activities that the partnership will undertake to choose a set of child 
indicators to be tracked at regular intervals. Work to be conducted to 
use existing data resources or develop new data resources for measuring 
the indicators. Where appropriate, data plans should build on existing 
technical work and resources, such as projects to link administrative 
data bases, to produce program performance measures, or ability to use 
national survey data or other major data bases (e.g., New Federalism). 
The focus should be on using these data sources to produce child 
indicators at regular intervals.
    Use of Indicators and Possible Products: The ways in which the 
appropriate use of indicators will be promoted through this project. 
Outline steps to be taken to institutionalize a commitment within state 
government to regularly produce and appropriately use child indicators. 
Possible products (reports, presentations, events, web postings, etc.), 
intended audiences, and value to be added over any existing efforts.
    7. Budget: Applicants must submit a request for federal funds using 
Standard Form 424A and include a detailed breakdown of all Federal line 
items. A narrative explanation of the budget should be included which 
explains fund usage in more detail and which makes clear the value to 
be added over any existing efforts. For budgeting purposes, states 
should plan for travel of four representatives to at least three 
meetings (of two days) using costs for Washington, D.C. for one meeting 
and Chicago, IL for two meetings.
    ASPE anticipates awarding approximately ten grants of up to $50,000 
for each budget year of an up to two-year project period (for a total 
award of up to $100,000). The budget period is the interval of time 
into which the project period is divided for funding and reporting 
purposes. The project period is the total time for which a project has 
been programmatically approved, and two years is the expected length of 
the project period for these awards.
    On page 2 of SF 424A, Section E ``Budget Estimates of Federal Funds 
Needed for Balance of the Project.'' indicate the amounts estimated for 
the first and second funding (budget) periods. Applications for 
continuation grants funded under these awards beyond the one-year 
budget period, but within a two-year project period, will be 
entertained in the subsequent year on a noncompetitive basis, subject 
to the availability of funds, satisfactory progress of the grantee and 
determination that continued funding would be in the best interest of 
the government.
    Grantees must provide at least $5,000 of the total approved cost of 
the project. The total approved cost of the project is the sum of the 
Federal Share and the non-Federal Share. The non federal share may be 
met by cash or in-kind contribution. Therefore a project requesting 
$50,000 in Federal funds must include a match of at least $5,000 for a 
total approved project cost of $55,000.

Review Process and Funding Information

    A Federal panel will review and score all applications that are 
submitted by the deadline date and which meet the screening criteria 
(all information and documents as required by this Announcement). The 
panel will review the applications using the evaluation criteria listed 
below to score each application. These review results will be the 
primary element used by the ASPE in making funding decisions. The 
Department reserves the option to discuss applications with other 
Federal or State staff, specialists, experts and the general public. 
Comments from these sources, along with those of the

[[Page 33674]]

reviewers, will be kept from inappropriate disclosure and may be 
considered in making an award decision.

State Single Point of Contact (E.O. No. 12372)

    DHHS has determined that this program is not subject to Executive 
Order 12372, ``Intergovernmental Review of Federal Programs.'' 
Applicants are not required to seek intergovernmental review of their 
applications within the constraints of E.O. 12372.

Deadline for Submission of Applications

    The closing date for submittal of applications under this 
announcement is August 10, 1998. Hand-delivered applications will be 
accepted Monday through Friday, excluding Federal holidays during the 
working hours of 9:00 a.m. to 4:30 p.m. in the lobby of the Hubert H. 
Humphrey building located at 200 Independence Avenue, SW. in 
Washington, D.C. When hand-delivering an application, call (202) 690-
8794 from the lobby for pick up. A staff person will be available to 
receive applications. Faxed applications will not be accepted.
    An application will be considered as meeting the deadline if it is 
either (1) received at, or hand-delivered to, the mailing address on or 
before August 10, 1998, or (2) postmarked before midnight August 10, 
1998 and received in time to be considered during the competitive 
review process (within two weeks of the deadline date).
    When mailing applications, applicants are strongly advised to 
obtain a legibly dated receipt from a commercial carrier (such as UPS, 
Federal Express, etc.) or from the U.S. Postal Service as proof of 
mailing by the deadline date. Applicants are cautioned that express/
overnight mail services do not always deliver as agreed. If there is a 
question as to when an application was mailed, applicants will be asked 
to provide proof of mailing by the deadline date. When proof is not 
provided, an application will not be considered for funding. Private 
metered postmarks are not acceptable as proof of timely mailing.
    Applications which do not meet the deadline are considered late 
applications and will not be considered or reviewed in the current 
competition. DHHS will send a letter to this effect to each late 
applicant.
    DHHS reserves the right to extend the deadline for all proposals 
due to natural disasters, such as floods, hurricanes, or earthquakes; 
or if there is a widespread disruption of the mail; or if DHHS 
determines a deadline extension to be in the best interest of the 
government. However, DHHS will not waive or extend the deadline for any 
applicant unless the deadline is waived or extended for all applicants.

Application Forms

    Copies of applications should be requested from and submitted to: 
Grants Officer, Office of the Assistant Secretary for Planning and 
Evaluation, Department of Health and Human Services, 200 Independence 
Avenue, SW., Room 405F, Hubert H. Humphrey Building, Washington, D.C. 
20201, Telephone: (202) 690-8794. Requests for forms and questions 
(administrative and technical) will be accepted and responded to up to 
5 working days prior to the closing date for receipt of applications. 
We will not accept faxed applications.
    Also see section entitled ``Components of a Complete Application.'' 
All of these documents must accompany the application package.
    Copies of this program announcement and many of the required forms 
may also be obtained electronically at the ASPE World Wide Web Page 
http://aspe.os.dhhs.gov. You may fax your request to (202) 690-6518 to 
the attention of the Grants Officer. Application submissions may not be 
faxed or sent electronically.
    The printed Federal Register notice is the only official program 
announcement. Although reasonable efforts are taken to assure that the 
files on the ASPE World Wide Web Page containing electronic copies of 
this program announcement are accurate and complete, they are provided 
for information only. The applicant bears sole responsibility to assure 
that the copy downloaded in any other source is accurate and complete.

Length of Application

    Applications should be as brief as possible but should assure 
successful communication of the applicant's proposal to the reviewers. 
In no case shall an application (excluding the resumes, appendices and 
other appropriate attachments) be longer than 20 single spaced pages. 
Applications should be neither unduly elaborate nor contain voluminous 
supporting documentation. Video tapes and cassette tapes may not be 
included as part of a grant application for panel review. A signed 
original and two (2) copies of each application are required. 
Applicants are encouraged to send an additional (2) copies of their 
application to ease processing, but applicants will not be penalized if 
these extra forms are not included. One of these copies must be 
unbound, suitable for photocopying; if only one is the original (has an 
original signature, is attached to a cover letter, etc.) it should not 
be this copy. The applicant's Form 424 must be signed by the 
applicant's representative authorized to act with the full authority on 
behalf of the applicant.

Selection Process and Evaluation Criteria

    Selection of the successful applicant will be based on the 
technical and financial criteria described in this announcement. 
Reviewers will determine the strengths and weaknesses of each 
application in terms of the evaluation criteria listed below, provide 
comments and assign numerical scores. The review panel will prepare a 
summary of all applicant scores and strengths/weaknesses and 
recommendations and submit it to the ASPE for final decisions on the 
award.
    The point value following each criterion heading indicates the 
maximum numerical weight that each section will be given in the review 
process. An unacceptable rating on any individual criterion may render 
the application unacceptable. Consequently, applicants should take care 
to ensure that all criteria are fully addressed in the applications.
    Two (2) copies of each application are required. Applicants are 
encouraged to submit a total of five (5) copies. One of these copies 
must be unbound, suitable for photocopying; if only one is the original 
(has the original signature, is attached to a cover letter, etc.) it 
should not be this copy.
    Applications will be judged according to the criteria set forth 
below:
    Goals and potential usefulness (25 points). The fit between the 
applicants' goals and the purposes described in this announcement, the 
value to be added through augmentation of any existing indicator 
initiatives, the potential usefulness of the proposed accomplishments, 
and the ways the anticipated results of the proposed project will 
advance the development and use of indicators by the state and 
contribute to the knowledge base in this area. ASPE seeks to fund a 
group of grantees with varying amounts of experience, and emphasis will 
be placed on the clarity of states' goals for advancing work on 
indicators rather than on the overall level of sophistication that 
states will be able to achieve.
    Qualifications and soundness of the partnership (25 points). The 
extent to which the partnership is able to meet or

[[Page 33675]]

exceed the requirements for which agencies and groups agree to 
participate and have well-defined roles, responsibilities, and decision 
making authority. There is a clear leadership structure. There is good 
evidence of an ability to work together or to create new and productive 
partnerships in the areas relevant to this project. There is evidence 
of capacity to help institutionalize the production and use of 
indicators within the state public governance structure, and an 
indication of commitment from senior leadership in the state.
    Qualifications of personnel and organizational capability (20 
points). The experience, training, and qualifications of proposed 
personnel for leading work on identifying indicators, directing work 
with data, and influencing the institutionalized use of indicators. The 
ability of designated staff to allocate time to the project. The 
capacity of the lead agency to provide the infrastructure and support 
necessary for the project. The lead agency's ability to collaborate 
effectively with other partnering agencies. The information provided 
about partnering agencies (staff commitments and organization 
capabilities) is sufficient to understand how the proposed project will 
be accomplished. Any planned role for other organizations, including 
research institutions, will add value to the effort.
    Quality and soundness of the work plan (20 points). The work plan 
will be evaluated on the extent to which the proposed plans will enable 
the state to make meaningful advancements on the goals it specifies in 
relation to (1) developing and monitoring indicators of the health and 
well-being of children overall and as welfare reform and other policy 
changes occur and (2) helping to institutionalize the use of indicator 
data in state and local policy work.
    4. Appropriateness of the budget. (10 points). Reviewers will 
examine how these specific funds will be used and ways they will 
enhance other committed resources.

Disposition of Applications

    1. Approval, disapproval, or deferral. On the basis of the review 
of the application, the Assistant Secretary will either (a) approve the 
application as a whole or in part; (b) disapprove the application; or 
<Copyright> defer action on the application for such reasons as lack of 
funds or a need for further review. However, nothing commits the 
Assistant Secretary to making an award or limits the ability to make 
multiple awards.
    2. Notification of disposition. The Assistant Secretary for 
Planning and Evaluation will notify the applicants of the disposition 
of their applications. If approved, a signed notification of the award 
will be sent to the business office named in the ASPE checklist.

Components of a Complete Application

    A complete application consists of the following items in this 
order:
    1. Application for Federal Assistance (Standard Form 424);
    2. Budget Information--Non-construction Programs (Standard Form 
424A);
    3. Assurances--Non-construction Programs (Standard From 424B);
    4. Table of Contents;
    5. Budget Justification for Section B Budget Categories;
    6. Proof of Non-profit Status, if appropriate;
    7. Copy of the applicant's Approved Indirect Cost Rate Agreement, 
if necessary;
    8. Project Narrative Statement;
    9. Any appendices or attachments;
    10. Certification Regarding Drug-Free Workplace;
    11. Certification Regarding Debarment, Suspension, or other 
Responsibility Matters;
    12. Certification and, if necessary, Disclosure Regarding Lobbying;
    13. Supplement to Section II--Key Personnel;
    14. Application for Federal Assistance Checklist.

Catalog of Federal Domestic Assistance

    The Catalog of Federal Domestic Assistance number is 93-239.

Reports

    Grantees must submit quarterly progress reports and annual summary 
reports. The specific format and content for these reports will be 
provided by the project officer.

Information on Obtaining Publications Referenced in the Document

Federal Publications

Healthy People 2000
Published by: Department of Health and Human Services (OPHS)
Websites: <a href="http://odphp.osophs.dhhs.gov/pubs/hp2000/
American">http://odphp.osophs.dhhs.gov/pubs/hp2000/
American</a>'s Children: Key National Indicators of Well-Being: 1997
Published by: National Center for Health Statistics
Website: http://www.cdc.gov/publications.htm
Copy Request: Fax all requests for copies to the attention of Lisa L. 
Franklin at (202) 690-5514
Trends In The Well-Being of America's Children and Youth: 1997
Published by: Department of Health and Human Services
Website: http:/aspe.os.dhhs.gov/hsp/trends/TOC.HTM
Copy Request: Fax all requests for copies to the attention of Lisa L. 
Franklin at (202) 690-5514
Indicators of Welfare Dependence: 1997
Published by: Department of Health and Human Services
Website: http://aspe.os.dhhs.gov/hsp/indicator/front.htm
Copy Request: Fax all requests for copies to the attention of Barbara 
Bishop at (202) 690-6562

Reports by Child Trends, Inc.

    <bullet> From Constructs To Measures.
    <bullet> Indicators of Children's Well Being: From Construct to 
Applications.
    <bullet> Social Indicators of Child and Family Well-Being.
    <bullet> A Profile of Six State Systems.
    <bullet> The Guide to State and Local-Level Indicators of Child 
Well-Being Available Through the Federal Statistical System.

Websites:
    http://Childtrends.org/research.htm (Synopsis of Publications)
    http://Childtrends.org/order.htm (Ordering Publications)
Copy Request: Child Trends, Inc., 4301 Connecticut Avenue, NW., 
Washington, D.C. 20008, Phone: (202) 362-5580 Fax: (202) 362-5533

Other Reports

Kids Count Data Book: 1998
Published by: The Annie E. Casey Foundation
Website: http://www.kidscount.org
Copy Request: (410) 223-2890
Resource Guide of Results Based Accountability Efforts
Copy Request: Harvard Family Research Project, 38 Concord Avenue, 
Cambridge, MA 02138
Welfare Reform: How Will We Know If It Works
Published by: Family Impact Seminar
Website:
    http://www.ssc.wisc.edu/irp
    http://www.ssc.welfareinfo.org
Copy Request Phone: (202) 496-1964 ext 12

    Dated: June 11, 1998.
Margaret A. Hamburg,
Assistant Secretary for Planning and Evaluation.
[FR Doc. 98-16362 Filed 6-18-98; 8:45 am]
BILLING CODE 4151-04-P


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