[Federal Register Volume 61, Number 193 (Thursday, October 3, 1996)]
[Notices]
[Pages 51702-51708]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-25313]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention
[Announcement No. 704]


Community-Based Human Immunodeficiency Virus (HIV) Prevention 
Projects

Introduction

    The Centers for Disease Control and Prevention (CDC) announces the 
expected availability of fiscal year (FY) 1997 funds for cooperative 
agreements for HIV prevention projects for minority and other 
community-based organizations (CBOs) serving populations at increased 
risk of acquiring or transmitting HIV infection.
    CDC is committed to achieving the health promotion and disease 
prevention objectives of ``Healthy People 2000,'' a national activity 
to

[[Page 51703]]

reduce morbidity and mortality and improve the quality of life. This 
announcement relates to the priority areas of Educational and 
Community-Based Programs, HIV Infection, and Sexually Transmitted 
Diseases (STDs). It addresses the ``Healthy People 2000'' objectives by 
providing support for primary prevention for persons at increased risk 
for HIV infection and by increasing the availability and coordination 
of prevention and early intervention services for HIV-infected persons. 
A summary of the HIV-related objectives will be included in the 
application kit. (To order a copy of ``Healthy People 2000,'' see the 
section entitled ``Where to Obtain Additional Information.'')

Preapplication Workshops

    The following preapplication technical assistance workshops will be 
held to assist all prospective applicants in understanding CDC 
application requirements and program priorities:

10/11 Washington, DC
    National Skills Building Conference, Washington Hilton Towers, 1919 
Connecticut Ave. NW
10/15 San Juan, PR
    Sands Hotel--Isla Verde, San Juan
10/15 Detroit, MI
    Dept. of Health, Herman Kiefer Health Center, 1151 Taylor St., 7th 
Floor Chapel
10/16 Dallas, TX
    Holiday Inn, 3005 W. Airport Freeway, (Bedford, TX)
10/16 Philadelphia, PA
    Doubletree Hotel, Broad Street at corner of Locust Street
10/16 St. Louis, MO
    St. Louis City Health Dept., 634 N. Grand Ave., Conference Rm 100
10/16 Orlando, FL
    Radisson Hotel, 60 S. Ivanhoe Blvd.
10/17 Ft. Lauderdale, FL
    Broward County Public Library, 1350 E. Sunrise Blvd., Suite 100
10/18 Kansas City, MO
    Bartle Hall Convention Center, 301 West 13th St.
10/18 Austin, TX
    Red Lion Inn, 6121 North I-35 Hwy 290
10/21 Memphis, TN
    State Tech Inst.-Farris Auditorium, 5983 Macon Cove
10/21 Seattle, WA
    Wyndham Garden Hotel Sea/Tac, 18118 Pacific Highway South
10/21 Cleveland, OH
    Cleveland Convocation Center, 2000 Prospect Avenue
10/22 Minneapolis, MN
    Minnesota American Indian Women's Resource Center, 2300-15th Ave S.
10/23 Denver, CO
    Cherry Creek Inn, 600 S. Colorado Blvd
10/24 Atlanta, GA
    Holiday Inn, 130 Clairmont Ave., (Decatur, GA)
10/24 Richmond, VA
    Sheraton Airport, 4700 S. Laburnum Ave.
10/24 Chicago, IL
    Chicago Public Library, Harold Washington Center, 400 South State 
St.
10/25 Washington, DC
    American Society of Association Executives, 1575 I Street NW
10/25 Phoenix, AZ
    State Health Dept., 1740 West Adams St., 4th floor Conf. Room A/B,
10/28 Rock Hill, SC
    Baxter Hood Center, 452 S. Anderson Rd.
10/28 Boston, MA
    Dept. of Public Health, 250 Washington Street
10/29 New York, NY
    New York Hilton Conference Center, 1335 Avenue of the Americas, 
53rd to 54th St.
10/29 Orange Co, CA
    Red Lion Inn, 3050 Bristol St. (Costa Mesa, CA)
10/30 New Orleans, LA
    Radisson Inn New Orleans Airport, 2150 Veterans Blvd. (Kenner, LA)
10/30 North Haven, CT
    Holiday Inn North Haven, 201 Washington Ave.
10/31 Oakland, CA
    Oakland Marriott, 1001 Broadway St.,
11/01 Somerset, NJ
    Woodbridge Hilton, 120 Wood Ave. South, (Iselin, New Jersey)

    All workshops are scheduled from 9:00 a.m.-4:00 p.m. and are being 
held in the high HIV prevalence Metropolitan Statistical Areas.
    Application kits will be available at the workshops.
    Conference calls for States/territories categorized as low HIV 
prevalence geographic areas will be scheduled as follows:

10/29, 12-3 p.m. EDST (WY, ID, MT, SD, ND, UT, WI, IN, IA, NE, NV)
11/4, 9-12 p.m. EDST (ME, NH, VI, WV)
11/6, 11-2 p.m. EDST (MS, AL, KY, OK, AR, NM, KS)
11/8, 4-7 p.m. EDST
(Marshall Islands, Micronesia, HI, AK, Palau, Samoa, Guam, Mariana 
Islands)
    The telephone number for all conference calls is: 404-639-4100 and 
the pass code (when asked by the automated voice) is 267012.
    For additional information about the conference calls or workshops, 
call your State or City Health Department Contact.
    During the workshops, information will be presented on application 
and business management requirements, programmatic priorities, HIV 
prevention community planning, and how to access additional 
preapplication resources relevant to application development.
    For additional information concerning workshops in your area, 
please contact your State or local health department or a project 
officer in the Division of HIV/AIDS Prevention, National Center for 
HIV, STD, and TB Prevention, Centers for Disease Control and Prevention 
(CDC), Mail Stop E-58, Atlanta, GA 30333, telephone (404) 639-8317.
    Prospective applicants are encouraged to attend a workshop in their 
area.

Authority

    This program is authorized under the Public Health Service Act, 
Sections 301(a) (42 U.S.C. 241(a)), and 317(k)(2) (42 U.S.C. 
247b(k)(2)).

Smoke-Free Workplace

    CDC strongly encourages all grant recipients to provide a smoke-
free workplace and promote the non-use of all tobacco products, and 
Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in 
certain facilities that receive Federal funds in which education, 
library, day care, health care, and early childhood development 
services are provided to children.

Eligible Applicants

    To be eligible for funding under this announcement, applicants must 
be a tax-exempt, non-profit CBO whose net earnings in no part accrue to 
the benefit of any private shareholder or person. Tax-exempt status is 
determined by the Internal Revenue Service (IRS) Code, Section 
501(c)(3). Tax-exempt status may be proved by either providing a copy 
of the pages from the IRS' most recent list of 501(c)(3) of tax-exempt 
organizations or a copy of the current IRS Determination Letter. Proof 
of tax-exempt status must be provided with the application.

    Note: Organizations authorized under section 501(c)(4) of the 
Internal Revenue Code of 1986 are not eligible to receive Federal 
grant/cooperative agreement funds.

    CBOs may apply as either: (1) minority CBOs intending to serve 
predominantly racial or ethnic minority populations at high risk of 
acquiring or transmitting HIV infection, or (2) CBOs serving high-risk 
populations without regard to their racial or ethnic identity. Each 
organization may submit only one application. The applicant must 
clearly indicate whether it is applying as a minority or other CBO. To 
apply as a minority CBO the applicant

[[Page 51704]]

organization must have the following: (1) a governing board composed of 
more than 50% racial or ethnic minority members, (2) a significant 
number of minority individuals in key program positions (including 
management, administrative and service provision) who reflect the 
racial and ethnic demographics and other characteristics of the 
population to be served, and (3) an established record of service to a 
racial or ethnic minority community or communities. In addition, if the 
minority organization is a local affiliate of a larger organization 
with a national board, the larger organization must meet the same 
requirements listed above. If applying as a minority CBO, proof of 
minority status must be provided with the application. Affiliates of 
national organizations must provide proof of their national 
organization's eligibility and include with the application an 
original, signed letter from their chief executive officer assuring 
their understanding of the intent of this program announcement and the 
responsibilities of recipients.
    Organizations applying as a CBO serving high-risk populations, 
without regard to their racial or ethnic identity, must meet the 
criteria listed above, except for the proof of minority status.
    CDC will not accept an application without proof of tax-exempt 
status, minority status (if applicable), and proof of eligibility for 
affiliates of national organizations (if applicable).
    Applications requesting funds to support only administrative and 
managerial functions will not be accepted.
    Governmental or municipal agencies, their affiliate organizations 
or agencies (e.g., health departments, school boards, public 
hospitals), and private or public universities and colleges are not 
eligible for funding under this announcement.
    CBOs requesting funds under this announcement will be categorized 
into one of two mutually exclusive groups: (1) high prevalence 
Metropolitan Statistical Areas (MSAs) or (2) lower prevalence 
geographic areas. For the purposes of this program, high prevalence 
MSAs are defined by greater than 500 reported AIDS cases in racial or 
ethnic minorities (African Americans, Alaskan Natives, American 
Indians, Asian Americans, Latinos/Hispanics, and Pacific Islanders) in 
the 3 year period 1993, 1994, and 1995, or as Title I eligible 
metropolitan areas (EMAs) for FY 1996 under the Ryan White 
Comprehensive AIDS Resources Emergency (CARE) Act. Eligible high 
prevalence MSAs (and the corresponding OMB Federal Identification 
Processing (FIPS) code) are the following:

Arizona...................................  Phoenix-Mesa (6200).        
California................................  Los Angeles-Long Beach      
                                             (4480), Oakland (5775),    
                                             Orange County (5945),      
                                             Riverside-San Bernardino   
                                             (6780), Sacramento (6920), 
                                             San Diego (7320), San      
                                             Francisco (7360), San Jose 
                                             (7400), Santa Rosa (7500). 
Colorado..................................  Denver (2080).              
Connecticut...............................  Hartford (3283), New Haven- 
                                             Bridgeport-Stamford-Danbury-
                                             Waterbury (5483).          
Delaware-Maryland.........................  Wilmington-Newark (9160).   
District of Columbia-Maryland-Virginia-     Washington, D.C. (8840)     
 West Virginia.                              (including Prince Georges  
                                             County).                   
Florida...................................  Ft. Lauderdale (2680),      
                                             Jacksonville (3600), Miami 
                                             (5000), Orlando (5960),    
                                             Tampa-St. Petersburg-      
                                             Clearwater (8280), West    
                                             Palm Beach-Boca Raton      
                                             (8960).                    
Georgia...................................  Atlanta (520).              
Illinois..................................  Chicago (1600).             
Louisiana.................................  New Orleans (5560).         
Maryland..................................  Baltimore (720).            
Massachusetts-New Hampshire...............  Boston-Worcester-Lawrence-  
                                             Lowell-Brockton (1123).    
Michigan..................................  Detroit (2160).             
Minnesota-Wisconsin.......................  Minneapolis-St. Paul (5120).
Missouri-Kansas...........................  Kansas City (3760).         
Missouri-Illinois.........................  St. Louis (7040).           
New Jersey................................  Newark (5640), Jersey City  
                                             (3640), Bergan-Passaic     
                                             (875), Middlesex-Somerset- 
                                             Hunterdon (5015), Monmouth-
                                             Ocean (5190), Vineland-    
                                             Millville-Bridgeton (8760).
New York..................................  Duchess County (2281), New  
                                             York City (5600), Nassau-  
                                             Suffolk (5380).            
North Carolina-South Carolina.............  Charlotte-Gastonia-Rock Hill
                                             (1520).                    
Ohio......................................  Cleveland-Lorain-Elyria     
                                             (1680).                    
Oregon-Washington.........................  Portland-Vancouver (6440).  
Pennsylvania-New Jersey...................  Philadelphia (6160).        
Puerto Rico...............................  Caguas (1310), Ponce (6360),
                                             San Juan-Bayamon (7440).   
South Carolina............................  Columbia (1760).            
Tennessee-Arkansas-Mississippi............  Memphis (4920).             
Texas.....................................  Austin-San Marcos (640),    
                                             Dallas (1920), Ft. Worth-  
                                             Arlington (2800), Houston  
                                             (3360), San Antonio (7240).
Virginia-North Carolina...................  Norfolk-Virginia Beach-     
                                             Newport News (5720),       
                                             Richmond-Petersburg (6760).
Washington................................  Seattle-Bellevue-Everett    
                                             (7600).                    
                                                                        

    CBOs not located in the aforementioned list of high prevalence MSAs 
will be categorized as lower prevalence geographic areas.

Availability of Funds

    In FY 1997, CDC expects a total of up to $17,000,000 to be 
available for funding approximately 80 CBOs (70 in high prevalence MSAs 
and 10 in lower prevalence geographic areas).

A. High Prevalence MSAs

    Up to $15,400,000 of the total $17,000,000 will be made available 
to CBOs in high prevalence MSAs. The estimated awards will average 
$200,000 and will range from $75,000 to $300,000. In high prevalence 
MSAs, $11,500,000 will be dedicated to supporting minority CBOs that 
represent and serve racial or ethnic minority persons and that meet the 
criteria outlined in the section entitled Eligible Applicants. The 
remaining $3,900,000 will be dedicated to supporting CBOs serving high-
risk

[[Page 51705]]

populations without regard to their racial or ethnic identity, in high 
prevalence MSAs.

B. Lower Prevalence Geographic Areas

    The remaining $1,600,000 of the total funds expected will be made 
available to fund CBOs in lower prevalence geographic areas. These 
estimated awards will average $100,000. Of the $1,600,000 available, up 
to $1,200,000 will support minority CBOs and at least $400,000 will 
support CBOs serving high-risk populations without regard to their 
racial or ethnic identity.
    These estimates are subject to change based on the following: the 
actual availability of funds; the scope and the quality of applications 
received; appropriateness and reasonableness of the budget request; 
proposed use of project funds; and the extent to which the applicant is 
contributing its own resources to HIV/AIDS prevention activities.
    Applications for more than $300,000 will be deemed ineligible and 
will not be accepted by CDC.
    Funds available under this announcement must support activities 
directly related to primary HIV prevention. However, intervention 
activities which involve preventing other STDs and drug use as a means 
of reducing or eliminating the risk of HIV infection may be supported. 
No funds will be provided for direct patient medical care (including 
substance abuse treatment, medical prophylaxis or drugs). These funds 
may not be used to supplant or duplicate existing funding. Although 
applicants may contract with other organizations under these 
cooperative agreements, applicants must perform a substantial portion 
of the activities (including program management and operations and 
delivery of prevention services) for which funds are requested.
    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.)
    Noncompeting continuation awards for a new budget period within an 
approved project period will be made on the basis of satisfactory 
progress in meeting project objectives and the availability of funds. 
Progress will be determined by site visits by CDC representatives, 
progress reports, and the quality of future program plans. Proof of 
eligibility will be required with the noncompeting continuation 
application.

Purpose

    This program will provide assistance to CBOs to: (1) Develop and 
implement effective community-based HIV prevention programs that 
reflect national program goals and are consistent with the HIV 
prevention priorities outlined in their State or local health 
department's comprehensive HIV prevention plan developed through HIV 
Prevention Community Planning (where available); and (2) promote 
collaboration and coordination of HIV prevention efforts among CBOs and 
the local activities of HIV prevention service agencies, public 
agencies including local and State health departments (and HIV 
prevention community planning groups), substance abuse agencies, 
educational agencies, criminal justice systems, and affiliates of 
national and regional organizations.
    In order to maximize the effective use of CDC funds, each applicant 
must conduct at least one of the priority Health Education and Risk 
Reduction (HERR) interventions described below. Although activities may 
cross from one intervention type to another (e.g., individual or group 
level interventions may be a part of a community-level intervention), 
each applicant must indicate which one of the four interventions is its 
primary focus. Because of the resources, special expertise, and 
organizational capacities needed for success, applicants are 
discouraged from undertaking more than two of the priority 
interventions listed below.
    HERR interventions include programs and services to reach persons 
at increased risk of becoming HIV-infected or, if already infected, of 
transmitting the virus to others. The goal of HERR interventions is to 
reduce the risk of these events occurring. These interventions should 
be directed to persons whose behaviors or personal circumstances place 
them at high risk.
    The following have been identified as successful HERR interventions 
for HIV prevention and will be funded within the scope of this 
announcement: Individual Level Interventions (including prevention case 
management), Group Level Interventions, Community Level Interventions, 
and Street and Community Outreach. The Guidelines for Health Education 
and Risk Reduction Activities (included in the application kit) will 
provide additional information on these interventions. A brief 
description of the priority interventions follows:
    A. Individual Level Interventions provide a range of one-on-one 
client services that offer counseling, assist clients in assessing 
their own behavior and planning individual behavior change, support and 
sustain behavior change, and facilitate linkages to services in clinic 
and community settings (e.g., substance abuse treatment programs) in 
support of behaviors and practices that prevent the transmission of 
HIV. Some clients may be at very high risk of becoming HIV-infected or, 
if already infected, of transmitting the virus to others. Additional 
prevention counseling, as appropriate to the needs of these clients, 
should be offered. Prevention Case Management is an individual level 
intervention directed at persons who need highly individualized 
support, including substantial psychosocial, interpersonal skills 
training, and other support, to remain seronegative or to reduce the 
risk of HIV transmission to others. HIV prevention case management 
services are not intended as substitutes for medical case management or 
extended social services. Services provided under this component should 
concentrate on the identification, coordination, and receipt of 
appropriate prevention services. Prevention case management services 
should complement ongoing HIV prevention services such as HIV antibody 
counseling, testing, referral, and partner notification and early 
medical intervention programs. Coordination with HIV counseling and 
testing clinics, STD clinics, TB testing sites, substance abuse 
treatment programs, family planning services, and other health service 
agencies is essential to successfully recruiting or referring persons 
at high risk who are appropriate for this type of intervention.
    B. Group Level Interventions shift the delivery of service from 
individual to groups of varying sizes. Group level interventions 
provide education and support in group settings to promote and 
reinforce safer behaviors and to provide interpersonal skills training 
in negotiating and sustaining appropriate behavior change to persons at 
increased risk of becoming infected or, if already infected, of 
transmitting the virus to others. The content of the group session 
should be consistent with the format, i.e., groups can meet one time or 
on an on-going basis. One-time sessions can provide participants an 
opportunity to hear and learn from one another's experiences, role play 
with peers, and offer and receive support. Ongoing sessions may offer 
stronger social influence with potential for developing emergent norms 
that can support risk reduction. A group level intervention can include 
more tailored individual

[[Page 51706]]

level interventions with some of the group members.
    C. Community Level Interventions are directed at changing community 
norms, rather than the individual or a group, to increase community 
support of the behaviors known to reduce the risk for HIV infection and 
transmission. While individual and group level interventions also may 
be taking place within the community, interventions that target the 
community level are unique in their purpose and are likely to lead to 
different strategies than other types of interventions. Community level 
interventions aim to reduce risky behaviors by changing attitudes, 
norms, and practices through health communications, social (prevention) 
marketing, community mobilization and organization, and community-wide 
events. The primary goals of these programs are to improve health 
status, to promote healthy behaviors, and to change factors that affect 
the health of community residents. The community may be defined in 
terms of a neighborhood, region, or some other geographic area, but 
only as a mechanism to capture the social networks that may be located 
within those boundaries. These networks may be changing and 
overlapping, but should represent some degree of shared communications, 
activities, and interests. Community level interventions are designed 
to promote community support of prevention efforts by working with the 
social norms or shared beliefs and values held by members of the 
community. Specific activities include:
     Identifying and describing (through needs assessments and 
ongoing feedback from the community) structural, environmental, 
behavioral, and psychosocial facilitators and barriers to risk 
reduction in order to develop plans to enhance facilitators and 
minimize or eliminate barriers.
     Developing and implementing, with participation from the 
community, culturally competent, developmentally appropriate, 
linguistically specific, and sexual- identity-sensitive interventions 
to influence specific structural, environmental, behavioral, and 
psychosocial factors thought to promote risk reduction.
     Persuading community members who are at risk of acquiring 
or transmitting HIV infection to accept and use HIV prevention 
measures.
    D. Street and Community Outreach Interventions are defined by their 
locus of activity and by the content of their offerings. Street and 
community outreach programs reach persons at high risk, individually or 
in small groups, on the street or in community settings, and provide 
them prevention messages, information materials, and other services, 
and assist them in obtaining primary and secondary HIV-prevention 
services such as HIV-antibody counseling and testing, HIV risk-
reduction counseling, STD and TB treatment, substance abuse prevention 
and treatment, family planning services, tuberculin testing, and HIV 
medical intervention. Street and Community Outreach is an activity 
conducted outside a more traditional, institutional health care setting 
for the purpose of providing direct HERR services or referrals. The 
fundamental principle of these outreach activities is that the outreach 
worker establishes face-to-face contact with the client in his or her 
own environment to provide HIV/AIDS risk reduction information, 
services, and referrals.

Program Requirements

    A cooperative agreement is a legal agreement between CDC and the 
recipient in which CDC provides financial assistance and substantial 
Federal programmatic involvement with the recipient during the 
performance of the project. In a cooperative agreement, CDC and the 
recipient of Federal funds share roles and responsibilities. In 
conducting activities to achieve the purpose of this program, the 
recipient will be responsible for the activities under A. below; CDC 
will be responsible for activities under B. below.

A. Recipient Activities

    1. Conduct a health education and risk reduction intervention(s) 
for individuals, groups or communities at high risk of becoming 
infected or transmitting HIV to others. The following four HERR 
interventions will be funded in FY 1997: Individual Level, Group Level, 
Community Level, and Street and Community Outreach. Each recipient must 
conduct at least one of these priority HERR interventions.
    2. As needed, refer high-risk clients, both HIV negative and HIV 
positive, and assist them in gaining access to HIV antibody counseling 
and testing; HIV medical care or early medical intervention; STD 
screening, testing, and treatment; psychosocial support; mental health 
services; substance abuse treatment; TB prevention and treatment; 
reproductive health; and other supportive services.
    3. Coordinate and collaborate with health departments, community 
planning groups, and other organizations and agencies involved in HIV 
prevention activities, especially those serving the target populations 
in the local area. This includes participation in the HIV Prevention 
Community Planning Process. Participation may include involvement in 
workshops; attending meetings; if nominated and selected, membership on 
the group; reporting on program activities; or commenting on plans.
    4. Evaluate all major program activities and services supported 
with CDC HIV prevention funds.
    Further guidance on these recipient activities is available in the 
application kit.

B. CDC Activities

    1. Provide consultation and technical assistance in planning, 
operating, and evaluating prevention activities. CDC will provide 
consultation and technical assistance both directly and indirectly 
through prevention partners such as health departments, national and 
regional minority organizations (NRMOs), contractors, and other 
national organizations.
    2. Provide up-to-date scientific information on the risk factors 
for HIV infection, prevention measures, and program strategies for 
prevention of HIV infection.
    3. Assist in the evaluation of program activities and services.
    4. Assist recipients in collaborating with State and local health 
departments, community planning groups, and other federally-supported 
HIV/AIDS recipients.
    5. Facilitate the transfer of successful prevention interventions 
and program models to other areas through convening meetings of 
grantees, workshops, conferences, newsletters, and communications with 
project officers.
    6. Monitor the recipient's performance of program activities, 
protection of client confidentiality, and compliance with other 
requirements.
    7. Facilitate exchange of program information and technical 
assistance between community organizations, health departments, and 
national and regional organizations.

Review and Evaluation Criteria

    Eligible applications will be evaluated by a two-step process. Step 
1 is a review of the merits of the application against the criteria 
listed in A.1. below. If an exceptionally large number of applications 
are received, CDC may conduct a two-phased review in which all 
applications receive a preliminary review (A.1.-A.3. below) and the 
applications with high ratings receive the second phase of the review 
(A.1.-A.7.). Step 2 is a predecisional site visit.

[[Page 51707]]

    CDC-convened Special Emphasis Panels will evaluate each application 
by the following criteria:

A. Application

    1. Extent of experience in providing HIV prevention services to the 
target population; (20 points).
    2. Extent of need for the program as evidenced by the comprehensive 
HIV prevention plan and other needs assessment information provided by 
the applicant; (10 points).
    3. How well the program plan identifies and describes how proposed 
HERR interventions address prevention gaps related to their proposed 
priority population(s); (10 points).
    4. Degree to which the proposed objectives are specific, 
measurable, time-phased, related to the proposed activities, related to 
prevention priorities outlined in the jurisdiction's comprehensive HIV 
prevention plan and national HIV prevention goals, and consistent with 
the applicant organization's overall mission; (15 points).
    5. The quality of the applicant's plan for conducting program 
activities, and the potential effectiveness of the proposed activities 
in meeting objectives; (20 points).
    6. Degree of collaboration and coordination with other 
organizations serving the same priority population(s). This includes 
signed work plans, agreements, or other evidence of collaboration that 
describe previous, current, as well as future areas of collaboration; 
(15 points) and
    7. The potential of the evaluation plan to measure the 
accomplishment of program objectives. (10 points)

B. Predecisional Site Visits

    Before final award decisions are made, CDC may make site visits to 
CBOs whose applications are highly ranked. The purpose of these site 
visits will be to assess the organizational and financial capability of 
the applicant to implement the proposed program, review the application 
and program plans for priority HERR interventions, assess compliance 
with the jurisdiction's HIV prevention priorities as outlined in the 
comprehensive plan, and determine any special programmatic conditions 
and technical assistance requirements of the applicant.
    A fiscal Recipient Capability Audit may be required of some 
applicants prior to the award of funds.

Funding Priorities

    In making awards, priority will be given to: (1) ensuring a 
geographic balance of funded CBOs (the number of funded CBOs may be 
limited in each eligible area based on the number of reported AIDS 
cases, e.g., no more than one funded CBO for each 1,000 reported AIDS 
cases in minority populations in 1993, 1994, and 1995), (2) providing 
support to racial and ethnic minority CBOs and CBOs serving high risk 
populations without regard to their racial or ethnic identity, with 
proven records of effectively reaching their target populations, and 
(3) supporting activities that address the HIV prevention priorities 
identified in the jurisdiction's comprehensive HIV prevention plan (if 
available). Consideration will also be given to ensuring a national 
balance of funded CBOs in terms of targeted populations and behaviors.

Executive Order 12372 Review

    Applications are subject to review as governed by Executive Order 
(E.O.) 12372, Intergovernmental Review of Federal Programs. E.O. 12372 
sets up a system for State and local government review of proposed 
Federal assistance applications. Applicants should contact their State 
single point of contact (SPOC) as early as possible to alert them to 
the prospective applications and receive instructions on the State 
process. For proposed projects serving more than one State, the 
applicant is advised to contact the SPOC for each State. A current list 
of SPOCs is included in the application kit. If SPOCs have any State 
process recommendations on applications submitted to CDC, they should 
forward them to Van Malone, Grants Management Officer, Grants 
Management Branch, Procurement and Grants Office, Centers for Disease 
Control and Prevention (CDC), 255 East Paces Ferry Road, NE., Room 300, 
Mail Stop E-15, Atlanta, GA 30305, no later than 60 days after the 
application deadline date.
    CDC does not guarantee to accommodate or explain State process 
recommendations it receives after that date.

Public Health System Reporting Requirements

    This program is subject to the Public Health System Reporting 
Requirements. Under these requirements, all community-based 
nongovernmental applicants must prepare and submit the items identified 
below to the head of the appropriate State and/or local health 
agency(s) in the program area(s) that may be impacted by the proposed 
project no later than the receipt date of the Federal application. The 
appropriate State and/or local health agency is determined by the 
applicant. The following information must be provided:
    A. A copy of the face page of the application (SF 424);
    B. A summary of the project that should be titled ``Public Health 
System Impact Statement (PHSIS),'' not to exceed one page, and include 
the following:
    1. A description of the population to be served;
    2. A summary of the services to be provided; and
    3. A description of the coordination plans with the appropriate 
State and/or local health agencies.
    If the State and/or local health official should desire a copy of 
the entire application it may be obtained from the State Single Point 
of Contact (SPOC) or directly from the applicant.

Catalog of Federal Domestic Assistance Number

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

Other Requirements

A. HIV Program Review Panel

    Recipients must comply with the terms and conditions included in 
the document titled Content of HIV/AIDS-Related Written Materials, 
Pictorials, Audiovisuals, Questionnaires, Survey Instruments, and 
Educational Sessions in Centers for Disease Control and Prevention 
(CDC) Assistance Programs (June 1992), a copy of which is included in 
the application kit. In complying with the program review panel 
requirements contained in this document, recipients are encouraged to 
use a current 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 also 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.

B. Accounting System

    The services of a certified public accountant 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

[[Page 51708]]

that will record receipts and expenditures of Federal funds in 
accordance with accounting principles, Federal regulations, and terms 
of the cooperative agreement.

C. Audits

    Funds claimed for reimbursement under this cooperative agreement 
must be audited annually by an independent certified public accountant 
(separate and independent of the consultant referenced above or 
recipient's staff certified public accountant). This audit must be 
performed within 60 days after the end of 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 (AICPA)), 
governmental auditing standards (established by the General Accounting 
Office (GAO)), and Office of Management and Budget (OMB) Circular A-
133.

D. Human Subjects

    If the proposed project involves research on human subjects, the 
applicant must comply with the Department of Health and Human Services 
Regulations (45 CFR Part 46) regarding the protection of human 
subjects. Assurance must be provided (in accordance with the 
appropriate guidelines and form provided in the application kit) to 
demonstrate that the project will be subject to initial and continuing 
review by an appropriate institutional review committee.

E. Paperwork Reduction Act

    Data collection initiated under this cooperative agreement has been 
approved by the Office of Management and Budget under number 0920-0249, 
``HIV Prevention Programs in Minority and Other Community-Based 
Organizations Project Reports,'' Expiration date 8/31/99.

F. Confidentiality

    All personally-identifying information obtained in connection with 
the delivery of services provided to any individual in any program 
supported under this announcement shall not be disclosed unless 
required by a law of a State or political subdivision or unless such an 
individual provides written, voluntary informed consent.
    1. Non-personally-identifying, unlinked information, that preserves 
the individual's anonymity, derived from any such program may be 
disclosed without consent:
    a. In summary, statistical, or other similar form, or
    b. For clinical or research purposes.
    2. Personally-identifying information: Recipients of CDC funds who 
obtain and retain personally-identifying information as part of their 
CDC-approved work plan must:
    a. Maintain the physical security of such records and information 
at all times;
    b. Have procedures in place and staff trained to prevent 
unauthorized disclosure of client-identifying information;
    c. Obtain informed client consent by explaining the possible risks 
from disclosure and the recipient's policies and procedures for 
preventing unauthorized disclosure;
    d. Provide written assurance to this effect including copies of 
relevant policies; and
    e. Obtain assurances of confidentiality by agencies to which 
referrals are made.
    Some projects may require an Institutional Review Board (IRB) 
approval or a certificate of confidentiality.

Application Submission and Deadline

    On or before January 6, 1997, submit the original and two copies of 
the application (PHS Form 5161-1, OMB Number 0937-0189) to Van Malone, 
Grants Management Officer, Grants Management Branch, Procurement and 
Grants Office, Centers for Disease Control and Prevention (CDC), 255 
East Paces Ferry Road, NE., Room 300, Mail Stop E-15, Atlanta, GA 
30305. Faxed copies will NOT be accepted. In addition, CDC strongly 
recommends that all applicants simultaneously submit a copy of the 
application to their State HIV/AIDS Directors.
    Deadline: Applications will meet the deadline if they are either 
received on or before the deadline of 4:30 p.m. (EDST), January 6, 
1997, or sent on or before the deadline date and received in time for 
submission to the review group. (Applicants must request a legibly 
dated U.S. Postal Service postmark or obtain a legibly dated receipt 
from a commercial carrier or U.S. Postal Service. Private metered 
postmarks will not be acceptable proof of timely mailing.)
    Applications that do not meet these criteria will be considered 
late and will not be considered in the current funding cycle. Late 
applications will be returned to the applicant.

Where to Obtain Additional Information

    To receive the application kit, call (404) 332-4561. You will be 
asked to leave your name, address, and telephone number, and you must 
refer to Announcement Number 704. You will then receive program 
announcement 704, required application forms and attachments, a current 
list of SPOCs, a summary of HIV-related objectives, a list of the State 
health departments contact, and the HERR guidelines. The announcement 
is also available through the CDC home page on the Internet. The 
address for the CDC home page is http://www.cdc.gov.
    If you have questions after reviewing the contents of the 
documents, business management technical assistance may be obtained 
from Maggie Slay, Grants Management Specialist, Grants Management 
Branch, Procurement and Grants Office, Centers for Disease Control and 
Prevention (CDC), 255 East Paces Ferry Road, NE., Room 300, Mail Stop 
E-15, Atlanta, GA 30305, telephone (404) 842-6797, or INTERNET address, 
[email protected].
    Announcement Number 704, ``Cooperative Agreements for Community- 
Based Human Immunodeficiency Virus (HIV) Prevention Projects,'' must be 
referenced in all requests for information pertaining to these 
projects.
    Programmatic technical assistance may be obtained by calling Tim 
Quinn or Sam Taveras in the Division of HIV/AIDS Prevention, National 
Center for HIV, STD, and TB Prevention, Centers for Disease Control and 
Prevention (CDC), Mail Stop E-58, Atlanta, GA 30333, telephone (404) 
639-8317. (Technical assistance may also be obtained from your 
respective State/local health departments.)
    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) through the Superintendent 
of Documents, Government Printing Office, Washington, DC 20402-9325, 
telephone (202) 512-1800.

    Dated: September 27, 1996.
Joseph R. Carter,
Acting Associate Director for Management and Operations, Centers for 
Disease Control and Prevention (CDC).
[FR Doc. 96-25313 Filed 10-2-96; 8:45 am]
BILLING CODE 4163-18-P