[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 [email protected]. 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
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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
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: http://odphp.osophs.dhhs.gov/pubs/hp2000/
American'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.
From Constructs To Measures.
Indicators of Children's Well Being: From Construct to
Applications.
Social Indicators of Child and Family Well-Being.
A Profile of Six State Systems.
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