[Federal Register Volume 59, Number 189 (Friday, September 30, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-24192]


[[Page Unknown]]

[Federal Register: September 30, 1994]


-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES
Centers for Disease Control and Prevention
[Announcement 502]

 

Cooperative Agreement for National Organizations' HIV/AIDS 
Prevention and Health Communications Programs; Health Communications/
Behavioral and Social Science Evaluation; and Technical Assistance 
Efforts in Support of Social Marketing and Health Communications

Introduction

    The Centers for Disease Control and Prevention (CDC) announces the 
anticipated availability of fiscal year (FY) 1995 funds for a 
cooperative agreement program with national organizations to support 
HIV/AIDS prevention and health communications programs; health 
communications/behavioral and social science evaluation; and technical 
assistance efforts--all in support of social marketing and health 
communications. These activities should be designed to increase the 
reach, effectiveness, and impact of HIV prevention efforts.
    This announcement continues the HIV/AIDS prevention collaboration 
between CDC and national organizations that was initiated in 1989 under 
Announcement 904, Cooperative Agreements for National Organizations and 
Consortiums to Develop and Implement Effective AIDS Information, 
Education, and Programs among Constituents.
    A cooperative agreement is a legal agreement between CDC and the 
recipient in which CDC provides financial and other assistance to, and 
has significant Federal programmatic involvement with, the recipient 
throughout the project.
    For the Nation's HIV/AIDS prevention efforts to succeed, they must 
be focused on preventing and reducing behaviors that place individuals 
at risk for HIV infection. Among the significant behavioral objectives 
necessary for preventing HIV transmission, CDC has adopted the 
following three related to sexual behavior:
     Young people who are not engaging in any form of sexual 
activity will maintain this behavior.
     Sexually active people who use condoms consistently and 
correctly or are in a relationship with a mutually faithful 
relationship with an uninfected partner will maintain these behaviors.
     Sexually active people who are not in a mutually faithful 
relationship with an uninfected partner will refrain from sexual 
activity, choose nonpenetrative sex, or use condoms consistently and 
correctly.
    These objectives cannot be met without the understanding, 
participation, and support of key sectors of the American public. 
Coordination, collaboration, and communication between and among all 
sectors are crucial for successful HIV prevention. These sectors 
include:

1. Public (e.g., health, social services, and education agencies);
2. Voluntary (e.g., civic, social, health and health services, and 
youth-serving organizations that deliver education and community 
services to the public);
3. Professional and academic, the health communications/behavioral and 
social science and social marketing disciplines that must provide a 
scientific basis for developing, implementing, refining, and evaluating 
HIV prevention efforts to ensure effective, behavior-focused HIV 
interventions.
4. Religious;
5. Business and labor; and
6. Media, including print, radio, television, and entertainment media.

    CDC has initiated a number of programs that are intended to focus 
on, and assist in, the development and implementation of successful HIV 
prevention strategies for promoting healthy behavior reducing or 
eliminating individual risky behaviors, and strengthening social norms 
that contribute to the prevention of HIV. These include the Prevention 
Marketing Initiative (PMI) and the Business and Labor Workplace HIV/
AIDS Programs. Specific information regarding these two initiatives is 
included within the application package. To support these and other 
initiatives there is a need to build the capacity of the sectors 
addressed in this program announcement to strengthen HIV prevention 
efforts.
    CDC has a number of other HIV-related grant programs. This 
cooperative agreement targeting national organizations is intended to 
complement these other programs and to include organizations essential 
for the development of a comprehensive national HIV prevention program.
    The Public Health Service (PHS) is committed to achieving the 
health promotion and disease prevention objectives of Healthy People 
2000, a PHS-led national activity to reduce morbidity and mortality and 
improve the quality of life. This announcement is related to the 
priority area of HIV infection. (To order a copy of Healthy People 
2000, see the section entitled WHERE TO OBTAIN ADDITIONAL INFORMATION.)

Authority

    This program is authorized under sections 301(a) and 317(a) of the 
Public Health Service Act, 42 U.S.C. 241(a) and 247b(a), as amended.

Smoke-Free Workplace

    The Public Health Service strongly encourages all grant recipients 
to provide a smoke-free workplace and promote the non-use of all 
tobacco products. This is consistent with the PHS mission to protect 
and advance the physical and mental health of the American people.

Eligible Applicants

    Eligible applicants are national organizations (NOs), including 
national minority organizations (NMOs). All applicants must provide 
documentation proving that they meet the following criteria:
    A. Be an established national (defined by charter or bylaws to 
operate nationally), nonprofit organization (a nongovernmental, 
nonprofit corporation or association whose net earnings in no part 
accrue to the benefit of private shareholders or individuals). Bylaws 
and/or charter must be furnished with the application. The following is 
acceptable evidence of nonprofit status:
    *A copy of a currently valid Internal Revenue Service (IRS) tax 
exemption certificate.
    B. A national minority organization must furnish a written 
statement that more than 50 percent of the board of directors of said 
organization are racial or ethnic minority members. Groups recognized 
as racial and ethnic populations are: African Americans, Alaskan 
Natives, American Indians, Asian Americans, Caribbean Americans, 
Latinos/Hispanics, and Pacific Islanders.
    Proof of nonprofit and organizational status and other eligibility 
criteria must be submitted with the application for determination of 
eligibility. No application will be accepted without proof of nonprofit 
status.
    Assistance will be provided only to national organizations and 
national minority organizations as described above. To help prevent the 
spread of HIV infection, CDC proposes to support such organizations 
which have existing networks and constituents and the capacity to serve 
communities across the nation. This ensures that all communities--
urban, suburban, and rural--have both public and private sector 
resources to assist them in their prevention efforts.

Availability of Funds

    Approximately $5 million is expected to be available in FY 1995 to 
fund approximately 20 awards. It is expected that the average award 
will be $125,000 per year, ranging from $100,000 to $200,000 per year. 
Awards to fund programs planned for national minority organizations may 
range between $250,000 and $300,000 per year. In addition, one award of 
up to $1,000,000 can be made to support a local condom availability 
social marketing demonstration project in three communities. It is 
expected that the awards will begin on or about March 1, 1995. Funding 
estimates may vary and are subject to change.
    Continuation awards within the project period will be made on the 
basis of satisfactory progress and the availability of funds. Grantees 
will be asked to submit yearly continuation applications, including 
verification of eligibility requirements.
    Programmatic and budget justification are required for all 
applications. Applicants requesting funding as national minority 
organizations will be considered separately from non-minority 
applicants.
    Subject to the availability of funds and the receipt of technically 
acceptable, fundable applications, at least twelve awards are expected 
to be made to national organizations that target business, and labor, 
religious, voluntary, media and other appropriate sectors (ranging from 
2-5 awards per sector); at least two awards are expected to be made to 
national professional or academic organizations, specific to health 
communications and/or behavior and social sciences evaluation; at least 
one award is expected to be made to a national organization 
representing public health; at least one award to a national 
organization that is qualified to effectively reach and impact gay, 
bisexual, and lesbian audiences; at least two awards to national 
minority organizations for health communications; and at least one 
award to a national organization to develop and implement a condom 
accessibility demonstration project in at least three communities.
    Awards will be made for a 12-month budget period within a 3-year 
project period. (Budget period is the interval of time into which the 
project period is divided for funding and reporting purposes. Project 
period is the total time for which a project has been programmatically 
approved.) Continuation awards for years 2 and 3 within an approved 
project period are made on the basis of satisfactory performance and 
the availability of funds.
    These funds may not supplant or duplicate existing funding from any 
other public or private source. Although contracts with other 
organizations are allowable under these cooperative agreement awards, 
applicants themselves must perform a substantial portion of the 
activities for which funds are requested.
    No funds will be provided for patient medical care or purchase of 
drugs or vaccines.

Purpose

    The purpose of this cooperative agreement is to develop 
partnerships with and among national organizations to effectively 
extend the reach of CDC's HIV Prevention strategies (Prevention 
Marketing Initiative and the Business and Labor Workplace HIV/AIDS 
Program) into communities to strengthen social norms that contribute to 
the prevention of HIV.

Program Requirements

    In conducting activities to achieve the purpose of this program, 
the recipient will be responsible for the activities under A. 
(Recipient Activities), and CDC will be responsible for the activities 
under B. (CDC Activities).

A. Recipient Activities

    Applicant must develop a program plan based on realistic, specific, 
time-phased, and measurable objectives for proposed activities and 
services, including technical assistance, for their affiliates, 
constituents or members.
    The most successful comprehensive social marketing/health 
communications programs make individual-level behaviors the central 
communications focus while addressing both the individual and the 
social systems and networks that influence (predispose, enable, and 
reinforce) the behaviors of individuals. Applicant may choose to 
conduct one, several, or all of the three Priority Activities listed 
below.
    Programs developed under any Priority Activity area must be 
implemented at the national level, and must be designed to have an 
impact, ultimately, at the local level. All programs must be 
coordinated with CDC, national, regional, State, and existing social 
marketing/health communications programs to prevent duplication of 
efforts, i.e., the Prevention Marketing Initiative and the Business and 
Labor Workplace HIV/AIDS Program. In addition CDC is currently working 
with its national, State, and local HIV prevention partners to 
implement the HIV Prevention Community Planning Initiative. An outcome 
of this initiative is that each health department recipient of an HIV 
prevention cooperative agreement is to develop a comprehensive HIV 
prevention plan for its jurisdiction. Programs funded under 
Announcement 502 should be consistent with these State and local 
comprehensive HIV prevention plans.
    This announcement includes provisions to fund national minority 
organizations to develop, produce, disseminate, and market health 
communications messages on HIV prevention. All such efforts must be 
culturally competent and linguistically appropriate for the intended 
audience segments.
Priority Activity 1
    Participate in a comprehensive prevention marketing program 
targeted initially to persons 18 to 25 years of age designed to 
decrease HIV risk behaviors, and/or to the social systems and networks, 
including communities, that influence, support, and reinforce their 
sexual behaviors. Such efforts, including training and technical 
assistance, must be undertaken in direct support of, and coordinated 
with, CDC's existing Prevention Marketing Initiative.
    Program activities may include the creation or utilization of 
systems, activities, and interventions that directly influence 
individual behavior (these behaviors are those that place individuals 
at risk for HIV transmission). They may also include activities 
designed to change or sustain individual behaviors by influencing 
social systems and networks in relevant sectors of society that will 
affect individual behavior. These programs should strengthen the 
abilities of public and private national, regional, State, and local 
organizations and consortia to provide information, training, and/or 
technical assistance to their members, affiliates, or constituencies, 
and to apply available resources creatively and effectively to reduce 
risk behaviors which contribute to the further spread of HIV.
    A national program to demonstrate and evaluate the effectiveness of 
an established social marketing program relevant to CDC's Prevention 
Marketing Initiative may be undertaken. This program, must be 
undertaken in not less than three communities across the country and 
must be based upon an already established, on-going, or recently 
completed social marketing program.
    An example of such a program would be one that uses proven methods 
for community engagement and collaboration to involve critical social/
civic community leaders in promoting awareness of condom effectiveness 
in preventing disease.
Priority Activity 2
    Build the capacity within relevant social systems and/or networks 
within a sector of society, and ultimately coordinate with these 
systems, to participate in HIV prevention efforts. This can be done by 
providing technical assistance, training, and/or information to 
organizations representing key sectors of society addressed in this 
program announcement (e.g., business and labor, religious, voluntary, 
and media).
    Execution of this activity would involve the development and 
operation of HIV/AIDS technical assistance and training programs to 
assist national, regional, State, and/or local organizations within 
defined social systems to implement comprehensive, effective HIV 
prevention efforts.
    Examples of Priority 2 activities would be participation in one or 
more of the following programs: (1) the Business and Labor Workplace 
HIV/AIDS Program, designed to assist the business and labor sector in 
developing and implementing comprehensive workplace HIV/AIDS programs 
and to assist business and labor leaders in supporting and 
participating in community HIV prevention efforts; (2) a broad effort 
to engage and develop the capacity of religious institutions to 
participate in HIV prevention and services at the community level; or 
(3) a broad effort by a national voluntary or media organization to 
educate its constituents, affiliates, and volunteers to participate in 
local HIV community planning, education, and service activities.
Priority Activity 3
    Support national professional and academic organizations in 
transferring technology and information specific to health 
communications, social, and behavioral science research and evaluation 
to assist governmental and nongovernmental organizations in effective 
HIV prevention planning, intervention design, or evaluation.
    Priority consideration will be given to applications which propose 
to collect, ``translate,'' and disseminate research and evaluation 
findings for organizations and constituencies involved in HIV 
prevention efforts, including HIV Prevention Community Planning, social 
marketing, changing or influencing behaviors or social norms, and other 
types of HIV prevention interventions.
    Examples of this type of program would include those which (a) 
systematically retrieve, analyze, and ``translate'' relevant (published 
and/or unpublished) research and evaluation findings for persons 
involved in planning programs and designing interventions; or (b) 
develop and implement systems for providing technical assistance and 
training on behavioral and communications science, and on programmatic 
interventions conducted by national, State, and community organizations 
(public and private); or (c) is an effort by a national professional 
organization of behavioral and social scientists to train and mobilize 
its membership to assist local organizations or communities in planning 
for HIV prevention and evaluating their local HIV community 
interventions.

B. CDC Activities

    The Centers for Disease Control and Prevention (CDC) shall 
undertake the following activities in support of this announcement:
    1. Provide information to, and collaborate with, funded 
organizations in developing and implementing short- and long-term plans 
for social marketing and health communications for HIV prevention.
    2. Provide consultation, assistance, and guidance in planning and 
implementing program activities under this announcement including 
promotion and publicity related to the project.
    3. Assist in identifying, acquiring, or developing appropriate 
educational materials to be used in programs.
    4. To the extent that CDC has this information, provide up-to-date 
scientific information on the following:
     Risk factors for HIV/STD transmission
     Current HIV infection trends and behavioral practices, 
including trends among populations of a specific age, sex, or race/
ethnicity
     Prevention and program strategies that have been shown to 
be successful in preventing HIV infection
     Current knowledge, attitudes, beliefs, and behaviors 
related to HIV transmission
     Documented determinants of behavior and underlying factors 
influencing determinants
    5. Provide technical assistance in developing and implementing 
evaluation strategies for the program.
    6. Facilitate collaboration with other public and private sector 
agencies involved in HIV prevention efforts at the national, regional, 
State, and community levels.
    7. Facilitate the exchange of program information and technical 
assistance among other public and private agencies at all levels.
    8. Monitor the successful applicants' program activities and 
compliance with all programmatic, administrative, and budgetary 
requirements.

Evaluation Criteria

    Applications will be reviewed and evaluated according to the 
following criteria:

I. Review and Evaluation of Application

A. Organizational Capability (30%)
    The extent to which the applicant documents: (1) recent experience 
of at least 12 months in operating and centrally administering a 
coordinated health, health-related, or community-related program which 
is national in scope; (2) expertise about social marketing and health 
communications, and/or social and behavioral science and/or the extent 
to which the applicant documents other relevant expertise in conducting 
these types of programs; and (3) ability to access and influence a 
particular sector (public, voluntary, religious, business, labor, 
media) through a network of affiliates, chapters or constituents/
members to provide HIV-related technical assistance and training on 
public health, or related social issues other than HIV, on a national 
level (throughout the U.S.) to appropriate target audiences (e.g., 
racial and ethnic minority populations, gay men, sexual partners of 
intravenous drug users, and youth).
B. Understanding of the Problem (15%)
    The extent to which the applicant demonstrates and documents its 
understanding of the types, magnitude, and priority of the unmet 
prevention needs of the target audiences, organizations, and agencies 
that the proposed program will address.
C. Program Objectives (10%)
    The extent to which the proposed objectives are specific, 
measurable, time-phased, and consistent with the program purpose, the 
proposed activities, and the applicant organization's overall mission.
D. Quality of Plan (25%)
    The quality of the applicant's plan for conducting program 
activities and the likelihood that the proposed methods will be 
successful in achieving proposed objectives.
E. Organizational Experience (10%)
    The extent to which the applicant demonstrates support of, and 
intended collaboration on, the program plan and activities from 
Community Based Organizations (CBOs), health or education agencies, and 
other organizations and agencies serving target populations.
F. Evaluation Plan (10%)
    The extent to which the evaluation plan measures the achievement of 
program objectives and monitors the implementation of proposed 
activities or the commitment to implement a collaboratively developed 
evaluation plan.
G. Budget Justification and Adequacy of Facilities (not scored)
    The budget will be evaluated for the extent to which it is 
reasonable, clearly justified, and consistent with the intended use of 
cooperative agreement funds.

II. Pre-decisional Site Visits

    A. Site visits may be conducted before CDC makes final funding 
decisions. Only the organizations with high-ranking applications may be 
visited. During the visit, CDC staff will meet with project staff, a 
representative of the board of directors, and other applicant 
principals to assess the applicant's ability to implement the proposed 
program, review the application and program plans for current or 
planned activities, and determine the special programmatic conditions 
and technical assistance requirements of the applicant.
    B. Site visits may also include a recipient capability assessment 
by CDC staff, the HHS Inspector General, or an outside CPA audit firm 
to ascertain whether existing financial and management systems and 
controls are adequate to receive and administer Federal funds.

Funding Priorities

    Priority consideration will be given to applications supporting 
CDC's HIV/AIDS initiatives in social marketing (i.e., prevention 
marketing); health communications; health education/risk reduction; 
business and labor, religious, voluntary, and media sector capacity 
building and technical assistance programs. These programs are intended 
to increase the effectiveness of HIV prevention efforts delivered by 
national, State, and local organizations to change the behavior of 
specific segments of target audiences.
    Public comments are not being solicited regarding the funding 
priority because time does not permit solicitation and review prior to 
the funding date.

Executive Order 12372 Review

    This program is not subject to the Executive Order 12372 review.

Public Health System Reporting Requirements

    This program is not subject to the Public Health System Reporting 
Requirements.

Catalog of Federal Domestic Assistance

    The Catalog of Federal Domestic Assistance Number is 93.939, HIV 
Prevention Activities--Non-governmental Organization Based.

Other Requirements

    A. Recipients must comply with the document entitled Content of 
AIDS-Related Written Materials, Pictorials, Audiovisuals, 
Questionnaires, Survey Instruments, and Educational Sessions in Centers 
for Disease Control (CDC) Assistance Programs (June 1992). To meet the 
requirements for a program review panel, recipients are encouraged to 
use an existing program review panel, such as the one created by the 
State health department's HIV/AIDS prevention program. If the recipient 
forms its own program review panel, at least one member must be an 
employee (or a designated representative) of a State or local health 
department. The names of review panel members must be listed on the 
Assurance of Compliance Form CDC 0.1113, which is also included in the 
application kit. The recipient must submit the program review panel's 
report that indicates all materials have been reviewed and approved.
    B. Requirement for a Certified Public Accountant (CPA): The 
services of a CPA licensed by the State Board of Accountancy or 
equivalent must be retained throughout the budget period as a part of 
the recipient's staff or as a consultant to the recipient's accounting 
personnel. These services may include the design, implementation, and 
maintenance of an accounting system to record receipts and expenditures 
of Federal funds, in accordance with accounting principles, Federal 
regulations, and cooperative agreement terms.
    Funds claimed by the recipient for reimbursement under this 
cooperative agreement must be audited by an independent CPA. This CPA 
for audit must be separate and independent of the consulting CPA in the 
above paragraph. This audit must be performed within 90 days after the 
budget period, or at the close of an organization's fiscal year. The 
audit must be performed in accordance with generally accepted auditing 
standards (established by the American Institute of Certified Public 
Accountants), governmental auditing standards (established by the 
General Accounting Office), applicable Office of Management and Budget 
(OMB) Circulars, and any other applicable Federal requirements.
    C. Confidentiality of Records: All identifying information obtained 
in connection with the provision of services to any person in any 
program that is being carried out through a cooperative agreement made 
under this announcement shall not be disclosed unless required by a law 
of a State or political subdivision or unless written, voluntary 
informed consent is provided by persons who receive services.
    D. OMB Review: Projects that involve the collection of information 
from 10 or more individuals and funded by the cooperative agreement 
will be subject to review by the Office of Management and Budget under 
the Paperwork Reduction Act.

Application and Submission Deadline

    The original and two copies of the application PHS Form 5161-1 must 
be submitted to Clara M. Jenkins, Grants Management Officer, Grants 
Management Branch, Procurement and Grants Office, Centers for Disease 
Control and Prevention (CDC), 255 East Paces Ferry Road, NE., Room 320, 
Mailstop E-15, Atlanta, GA 30305, on or before December 22, 1994.
    1. Deadline: Applications meet the deadline if they are either:
    (a) Received on or before the deadline date; or
    (b) Sent on or before the deadline date and received in time for 
submission to the objective review group. (Applicants must request a 
legibly dated U.S. Postal Service postmark or obtain a legibly dated 
receipt from a commercial carrier or the U.S. Postal Service. Private 
metered postmarks shall not be acceptable as proof of timely mailing.)
    2. Late Applications: Applications which do not meet the criteria 
in 1.(a) or 1.(b) above are considered late applications. Late 
applications will not be considered in the current competition and will 
be returned to the applicant.

Where to Obtain Additional Information

    To receive additional written information call (404) 332-4561. You 
will be asked to leave your name, address, and phone number and will 
need to refer to Announcement Number 502. You will receive a complete 
program description, information on application procedures, and 
application forms.
    If you have questions after reviewing the contents of the 
documents, business management technical assistance may be obtained 
from Ron Van Duyne, Grants Management Specialist, Grants Management 
Branch, Procurement and Grants Office, Centers for Disease Control and 
Prevention (CDC), 255 East Paces Ferry Road, NE., Room 320, Mailstop E-
15, Atlanta, GA 30305, telephone (404) 842-6575. Programmatic technical 
assistance may be obtained from Pom Sinnock or Bob Kohmescher, Office 
of the Associate Director for HIV/AIDS, Centers for Disease Control and 
Prevention (CDC), CDC Headquarters, 1600 Clifton Road, NE., Mailstop E-
25, Atlanta, GA 30333, telephone (404) 639-0975.
    Please refer to Announcement Number 502 when requesting information 
and submitting an application.
    Potential applicants may obtain a copy of Healthy People 2000 (Full 
Report, Stock No. 017-001-00474-0) or Healthy People 2000 (Summary 
Report, Stock No. 017-001-00473-1) referenced in the INTRODUCTION 
through the Superintendent of Documents, Government Printing Office, 
Washington, DC 20402-9325, telephone (202) 783-3238.

    Dated: September 26, 1994.
Deborah L. Jones,
Acting Associate Director for Management and Operations, Centers for 
Disease Control and Prevention (CDC).
[FR Doc. 94-24192 Filed 9-29-94; 8:45 am]
BILLING CODE 4163-18-P