[Federal Register Volume 64, Number 82 (Thursday, April 29, 1999)]
[Notices]
[Pages 23076-23083]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-10700]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention
[Program Announcement 99092]


Community Based Human Immunodeficiency Virus (HIV) Prevention 
Projects for African Americans; Notice of Availability of Funds

A. Purpose

    The Centers for Disease Control and Prevention (CDC) announces the 
availability of fiscal year (FY) 1999 funds for a cooperative agreement 
program to support community-based organizations (CBOs) to develop and 
implement effective community-based HIV prevention programs for African 
American populations. These CBOs should have evolved from and be 
located within the communities they serve. This program addresses the 
``Healthy People 2000'' priority areas of Educational and Community 
Based Programs, HIV Infection, and Sexually Transmitted Diseases 
(STDs).
    The goals of this program are to:
    1. Provide financial and technical assistance to CBOs so they can 
provide HIV prevention services to African American populations for 
which gaps in services are demonstrated;
    2. Support HIV prevention programs that are consistent with the HIV 
prevention priorities outlined in the jurisdiction's comprehensive HIV 
prevention plan or adequately justify addressing other priorities;
    3. Promote collaboration and coordination of HIV prevention efforts 
among CBOs; HIV prevention community planning groups; and other local, 
State, Federal, and privately funded programs.

B. Eligible Applicants

    Eligible applicants are CBOs that meet the following criteria (also 
see Proof of Eligibility section):
    1. Have been granted tax-exempt status under section 501(c)(3), as 
evidenced by an Internal Revenue Service (IRS) determination letter.
    2. Have a board or governing body composed of greater than 50 
percent African Americans.
    3. Be located and provide services for African Americans in any of 
the following 20 high AIDS prevalence metropolitan statistical areas 
(MSAs) 1 with more than 1000 estimated African Americans 
living with AIDS at the end of 1997:2 (Please see Attachment 
1 for a complete listing of counties included in each MSA)
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    \1\ OMB Bulletin 98-06 available at http://www.census.gov/
population/www/estimates/metrodef.html.
    \2\ HIV/AIDS Surveillance Supplemental Reports: Characteristics 
of Persons Living with AIDS at the End of 1997. Volume 5, Number 1 
available at http://www.cdc.gov/nchstp/hiv__aids/stats/hasrlink.htm.
---------------------------------------------------------------------------

    a. Atlanta, GA; Baltimore, MD; Boston-Worcester-Lawrence-Lowell-
Brockton, MA-NH; Chicago, IL; Dallas, TX; Detroit, MI; Fort Lauderdale, 
FL; Houston, TX; Jacksonville, FL; Los Angeles-Long Beach, CA; Miami, 
FL; Newark, NJ; New Haven-Bridgeport-Stamford-Danbury-Waterbury, CT; 
New Orleans, LA; New York City, NY; Oakland, CA; Philadelphia, PA-NJ; 
San Francisco, CA; Washington, DC-MD-VA-WV; and West Palm Beach-Boca 
Raton, FL.
    OR
    b. Be located or provide services for African Americans in any of 
the following counties or independent city, not included in the list of 
MSAs above, that had the most syphilis cases in 1997. The counties are: 
Cumberland, NC; Cuyahoga, OH; Davidson, TN; Forsyth, NC; Franklin, OH; 
Fresno, CA; Guilford, NC; Hinds, MS; Jefferson, AL; Jefferson, KY; 
Maricopa, AZ; Marion, IN; Milwaukee, WI; Oklahoma, OK; Shelby, TN; and 
Tuscaloosa, AL. The independent city is St. Louis, MO.
    4. African Americans must serve in greater than 50 percent of key 
positions, including management, supervisory, administrative, and 
service provision positions (for example, executive director, program 
director, fiscal director, outreach worker, prevention case manager, 
counselor, group facilitator, or trainer).
    5. Documentation of an established record of services to the target 
population is required. An established record is defined as a minimum 
of two years serving the target population.
    6. African American CBOs currently funded under program 
announcement 704 that meet criteria one through five above are eligible 
to apply for funding under this program announcement. However, awards 
to these currently funded CBOs will not exceed $100,000 and no more 
than 10 such awards will be made.
    7. Faith-based community organizations that meet criteria one 
through six above are eligible to apply. For the purpose of this 
program announcement, a faith-based community organization is an 
organization which has a religious, faith, or spiritual focus or 
constituency, and has access to local religious, faith, and spiritual 
leaders. Examples of eligible organizations include individual 
churches, mosques, or temples, or networks of same; or CBOs whose 
primary constituency is faith, spiritual, or religious communities, 
organizations, or leaders thereof.
    8. Two or more CBOs may apply as a collaborative partnership. In a 
collaborative contractual partnership, one CBO must be the legal 
applicant and will function as the lead organization. The lead 
organization must meet criteria one through five specified above. 
Collaborating organizations must meet criteria 3.a. or 3.b. above.

    Note: A CBO can only submit one application under this 
announcement; that is, it may apply as an individual organization or 
as part of a collaboration, but not both.

    9. Local affiliates, chapters, or programs of national and regional 
organizations are eligible to apply. The local affiliate, chapter, or 
program applying must meet criteria one through eight above.
    10. Governmental or municipal agencies, their affiliate 
organizations or agencies (e.g., health departments, school boards, 
public hospitals), and

[[Page 23077]]

private or public universities and colleges are not eligible for 
funding under this announcement.

    Note: Pub. L. 104-65 states that an organization described in 
section 501(c)(4) of the Internal Revenue Code of 1986 that engages 
in lobbying activities is not eligible to receive Federal funds 
constituting an award, grant, cooperative agreement, contract, loan 
or any other form.

C. Availability of Funds

    Approximately $9,000,000 is available in FY 1999 to fund 
approximately 45 awards. It is expected that awards will begin on or 
about September 30, 1999 and will be made for a 12-month budget period 
within a project period of up to 4 years.
    1. Approximately $7,200,000 will be awarded to CBOs which are 
located and provide services for African Americans in the 20 high AIDS 
prevalence MSAs with more than 1000 estimated African Americans living 
with AIDS at the end of 1997 (see Section B.3.a., above). It is 
expected that the average award will be $200,000, ranging from $150,000 
to $300,000. Applications requesting more than $300,000, including 
indirect costs, will not be considered.
    2. Approximately $1,800,000 will be awarded to CBOs located OR 
providing services for African Americans in the counties and 
independent city with the most syphilis cases in 1997 but not included 
in the top 20 MSAs (See Section B.3.b., above). It is expected that the 
average award will be $200,000, ranging from $150,000 to $250,000. 
Applications for more than $250,000 will not be considered.
    3. Approximately $900,000 of the funds in Sections C.1 and C.2 
above (which total $9,000,000), may be awarded to CBOs currently funded 
under Program Announcement 704 that (a) are located and provide 
services for African Americans in any of the 20 high AIDS prevalence 20 
MSAs listed in Section B.3.a., above; or (b) are located OR provide 
services in the counties and one independent city listed in Section 
B.3.b., above. Awards for CBOs currently funded under Program 
Announcement 704 will not exceed $100,000. Applications for more than 
$100,000 will not be considered. In addition, the total individual 
awards including funds provided under Program Announcement 704 and this 
announcement will not exceed a combined total of $300,000. Funds 
awarded to currently funded CBOs must be used to enhance or expand 
existing activities and not to supplant funds from other sources.
    Funding estimates may change based on the availability of funds.
    Continuation awards within an approved project period will be made 
on the basis of availability of funds and the applicant's satisfactory 
progress toward achieving objectives. Satisfactory progress toward 
achieving objectives will be determined by progress reports and site 
visits conducted by CDC representatives. Proof of continued eligibility 
is required with noncompeting continuation applications.

    Note: Funds to support CBOs to provide HIV prevention services 
to African American communities are also available under Program 
Announcement 99091--Community Based HIV Prevention Services and 
Capacity Building Assistance to Organizations Serving Gay Men of 
Color at Risk for HIV Infection, and Program Announcement 99096-- 
HIV Prevention Projects for African American Faith Based 
Organizations. Eligible organizations may apply for and receive 
funding under more than one of these announcements; however, the 
total combined funding provided to any organization under these 
three announcements will not exceed $300,000.

Use of Funds

    Funds provided under this announcement must support activities 
directly related to primary HIV prevention. However, intervention 
activities which involve preventing other STDs or substance abuse as a 
means of reducing or eliminating the risk of HIV transmission may also 
be supported. No funds will be provided for direct patient medical care 
(including substance abuse treatment, medical treatment, or 
medications) or research.
    Applicants may contract with other organizations under these 
cooperative agreements; however, applicants must perform a substantial 
portion of the activities (including program management and operations 
and delivery of prevention services) for which funds are requested. 
Applications requesting funds to support only administrative and 
managerial functions will not be accepted.

Funding Priorities

    In making awards, priority for funding will be given to:
    Ensuring a distribution of CBO awards in terms of targeted risk 
behaviors, based on AIDS morbidity in African Americans.
    Interested persons are invited to comment on the proposed funding 
priority. All comments received within 30 days after publication in the 
Federal Register will be considered before the final funding priority 
is established. If the funding priority changes because of comments 
received, a revised announcement will be published in the Federal 
Register, and revised applications will be accepted before the final 
selections are made. Address comments to: Albertha Carey, Grants 
Management Specialist, Grants Management Branch, Procurement and Grants 
Office 2920 Brandywine Road, Room 3000, Mailstop E-15, Atlanta, Georgia 
30341-4146.

Funding Preference

    In making awards, preference for funding will be given to:
    Ensuring a geographic distribution of CBO awards, based on AIDS 
morbidity in African Americans.

D. Program Requirements

    HIV prevention interventions are specific activities (or set of 
related activities)using a common method of delivering the prevention 
messages to reach persons at risk of becoming HIV-infected or, if 
already infected, of transmitting the virus to others. The goal of HIV 
prevention interventions is to bring about HIV risk reduction in a 
particular population.
    In order to maximize the effective use of CDC funds, each applicant 
must conduct at least one of the following priority HIV prevention 
interventions: (1) HIV Counseling, Testing, and Referral Services; (2) 
Individual Level Interventions; (3) Group Level Interventions; (4) 
Community Level Interventions; and (5) Street and Community Outreach. A 
brief description of these priority interventions is provided in 
Attachment 2. Also, please reference the materials included in the tool 
kit for additional information about these interventions. The tool kit 
will be sent with the application packet.
    Although activities may overlap from one type of intervention 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 five interventions is the primary focus.
    Because of the resources, special expertise, and organizational 
capacities needed for success, applicants should carefully consider the 
feasibility of undertaking more than two of the priority interventions 
listed. Recipients proposing to conduct more than two of these priority 
prevention interventions must demonstrate the capacity to implement 
them effectively.
    In conducting activities to achieve the purpose of this program, 
the recipient will be responsible for the activities under number 1. 
(Recipient Activities) and CDC will be responsible for

[[Page 23078]]

activities under number 2. (CDC Activities) below.

1. Recipient Activities

    a. Use epidemiologic data, needs assessments, and prioritization of 
groups and interventions to design program activities.
    b. Develop program activities which are consistent with applicable 
State and local comprehensive HIV prevention plans or adequately 
justify addressing other priorities.
    c. Provide--or assist high risk clients in gaining access to--HIV 
counseling, testing, and referral for other needed services.
    d. Conduct health education and risk reduction interventions for 
persons at high risk of becoming infected or transmitting HIV to 
others.
    e. Assist HIV-positive persons in gaining access to appropriate HIV 
treatment and other early medical care, substance abuse prevention 
services, STD screening and treatment, reproductive and perinatal 
health services, partner counseling and referral services, psychosocial 
support, mental health services, TB prevention and treatment, primary 
HIV prevention such as health education and risk reduction services, 
and other supportive services. High-risk clients who test negative 
should be referred to appropriate health education and risk reduction 
services and other appropriate prevention and treatment services.
    f. Ensure adequate protection of client confidentiality.
    g. Coordinate and collaborate with health departments, community 
planning groups, and other organizations and agencies involved in HIV 
prevention activities, especially those serving the target population.
    h. Participate in the HIV prevention community planning process. 
Participation may include involvement in workshops; attending meetings; 
if nominated and selected, serving as a member of the group; reporting 
on program activities; or reviewing and commenting on plans.
    i. Incorporate cultural competency and linguistic and developmental 
appropriateness into all program activities and prevention messages.
    j. Coordinate program activities with relevant national, regional, 
State, and local HIV prevention programs to prevent duplication of 
efforts.
    k. Monitor and evaluate major program and intervention activities 
and services supported with CDC HIV prevention funds under this 
cooperative agreement. This should include assessing client 
satisfaction periodically via quantitative (e.g., periodic surveys) and 
qualitative methods (e.g., focus groups).
    l. Compile ``lessons learned'' from the project and facilitate the 
dissemination of ``lessons learned'' and successful prevention 
interventions and program models to other organizations and CDC through 
peer-to-peer interactions, meetings, workshops, conferences, internet, 
communications with project officers, and other capacity-building and 
technology transfer mechanisms.
    m. Work with CDC-funded capacity-building assistance programs to 
meet your and other organizations' capacity-building needs.
    n. Develop and implement a plan for obtaining additional resources 
from non-CDC sources to supplement the program conducted through this 
cooperative agreement and to enhance the likelihood of its continuation 
after the end of the project period.
    o. Adhere to CDC policies for securing approval for CDC sponsorship 
of conferences.
    p. Before using funds awarded through this cooperative agreement to 
develop HIV prevention materials, recipients must check with the CDC 
National Prevention Information Network (NPIN) to determine if suitable 
materials are already available. Also, materials developed by 
recipients must be made available for dissemination through the CDC 
NPIN.
    CDC's National Prevention Information Network (NPIN) maintains a 
collection of HIV, STD and TB resources for use by organizations and 
the public. Successful applicants may be contacted by NPIN to obtain 
information on program resources for use in referrals and resource 
directories. Also, grantees should send three copies of all educational 
materials and resources developed under this grant for inclusion in 
NPIN's databases.
    NPIN also makes available information and technical assistance 
services for use in program planning and evaluation. For further 
information on NPIN services and resources, contact NPIN at 1-800-458-
5231 (TTY users: 1-800-243-7012). NPIN's web site is www.cdcnpin.org; 
the fax number is 1-888-282-7681.

2. CDC Activities

    a. Coordinate a national capacity building and technology transfer 
network.
    b. Provide consultation and technical assistance in planning, 
implementing, and evaluating prevention activities. CDC may 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.
    c. Provide up-to-date scientific information on risk factors for 
HIV infection, prevention measures, and program strategies for 
prevention of HIV infection.
    d. Assist in the design and implementation of program evaluation 
activities, including provision of evaluation forms, if appropriate.
    e. Assist recipients in collaborating with State and local health 
departments, community planning groups, and other federally supported 
HIV/AIDS recipients.
    f. Facilitate the transfer of successful prevention interventions, 
program models, and ``lessons learned'' through convening meetings of 
grantees, workshops, conferences, newsletters, use of the internet, and 
communications with project officers. Also facilitate exchange of 
program information and technical assistance among community 
organizations, health departments, and national and regional 
organizations.
    g. Monitor the recipient's performance of program activities, 
protection of client confidentiality, and compliance with other 
requirements.
    h. Conduct an overall evaluation of this cooperative agreement 
program.

E. Application Content

    Use the information in the Program Requirements, Other 
Requirements, and Application Evaluation Criteria sections to develop 
the application content. Your application will be evaluated on the 
criteria listed, so it is important to follow them in laying out your 
program plan. The narrative should be no more than 33 double-spaced 
pages (not including the budget or attachments).
    Number each page clearly, and provide a complete Table of Contents 
to the application and its appendices. Please begin each separate 
section of the application on a new page. The original and each copy of 
the application set must be submitted unstapled and unbound. All 
material must be typewritten, single spaced, with unreduced 12 point or 
10 pitch font on 8\1/2\'' by 11'' paper, with at least 1'' margins, 
headings and footers, and printed on one side only. Materials which 
should be part of the basic narrative will not be accepted if placed in 
the appendices.
    In developing the application, you must follow the format and 
instructions below:

Format

1. Abstract

[[Page 23079]]

2. Assessment of Need and Justification for Proposed Activities
3. Long-term Goals
4. Organizational History and Capacity
5. Program Plan
6. Program Evaluation Plan
7. Communications and Dissemination Plan
8. Plan for Acquiring Additional Resources
9. Budget and Staffing Breakdown and Justification
10. Training and Technical Assistance Plan
11. Attachments

Instructions

1. Abstract
    (Not to exceed 2 pages): Summarize which intervention category of 
the five priority HIV prevention interventions--(1) HIV Counseling, 
Testing, and Referral Services; (2) Individual Level Interventions; (3) 
Group Level Interventions; (4) Community Level Interventions; and (5) 
Street and Community Outreach)--you intend to implement and your 
proposed intervention activities. Include the following:
    a. Brief summary of the need for the proposed activities;
    b. Long-term goals;
    c. Brief summary of proposed plan of operation, including the 
population(s) to be served, activities to be undertaken, and services 
to be provided; and
    d. Brief summary of plans for evaluating the activities of this 
project.
2. Assessment of Need and Justification for Proposed Activities
    (Not to exceed 5 pages):
    a. Describe the population(s) for which your proposed 
intervention(s) will provide services.
    b. Describe the impact of the AIDS epidemic on the priority 
population and their community and any specific environmental, social, 
cultural, or linguistic characteristics of the priority populations 
which you have considered and addressed in developing prevention 
strategies, such as:
    (1) HIV prevalence and incidence (if available), reported AIDS 
cases, and the proportion that engages in specific risk behaviors 
(sexual behaviors, substance use, etc.) in the target population;
    (2) HIV/AIDS-related baseline knowledge, attitudes, beliefs, and 
behaviors;
    (3) Patterns of substance use and rates of STDs and tuberculosis 
(TB); and
    (4) Other relevant information. (Specify)
    c. Identify the need that will be addressed by your proposed 
intervention(s), and describe how you assessed the need. Include 
epidemiologic and other data that were used to identify the need. 
Include a description of existing HIV prevention and risk-reduction 
efforts provided by other organizations to address the needs of the 
target population(s), and an analysis of the gap between the identified 
need and the resources currently available to address the need (i.e., 
How will the proposed intervention(s) address an important unmet HIV 
prevention need?).
    d. Describe the specific behaviors and practices that the proposed 
intervention(s) is designed to promote and prevent (e.g., increases in 
correct and consistent condom use, knowledge of serological status, not 
sharing needles, and enrollment in drug treatment and other preventive 
programs).
    e. Describe how your proposed intervention(s) complements the HIV 
prevention priority populations and interventions identified in the 
applicable State or local comprehensive HIV prevention plan(s). If the 
comprehensive HIV prevention plan does not prioritize the needs that 
you have identified, justify the need and the priority of your proposed 
intervention activities and summarize how the activities address 
prevention gaps and complement ongoing prevention efforts. State why 
the funds being applied for in this application are necessary to 
address the need. A list of the names and telephone numbers of State 
health department contacts from whom you may obtain a copy of the 
jurisdiction's comprehensive HIV prevention plan is provided with the 
application kit;
    f. Explain any specific barriers to the implementation of your 
proposed intervention(s) and how you will overcome these barriers.
3. Long-Term Goals
    (Not to exceed 2 pages): Describe the broad HIV prevention goals 
that your proposed intervention(s) aims to achieve by the end of the 
project period (four years).
4. Organizational History and Capacity
    (Not to exceed 4 pages) Describe the following:
    a. Organizational structure, including the role, responsibilities, 
and racial/ethnic composition of board of directors; committee 
structure of board of directors; organizational management, 
administrative and program components; constituent or affiliate 
organizations or networks; how the organizational structure will 
support the proposed intervention activities; and how the structure 
offers the capacity to reach targeted populations. Describe how the 
organizational structure includes, or has the ability to obtain 
meaningful input and representation from, members of the target 
population(s) (for example, men who have sex with men, youth at risk, 
women at risk, transgender populations, HIV-positive individuals, 
substance abusers).
    b. Past and current experience in developing and implementing 
effective HIV prevention strategies and activities, and in developing 
and implementing interventions similar to the one(s) proposed in this 
application.
    c. The process in your organization for making major programmatic 
decisions.
    d. Mechanisms used by your organization to monitor program 
implementation and quality assurance.
    e. Experience in working or collaborating with governmental and 
non-governmental organizations, including State and local health 
departments, local and State non-governmental organizations, national 
agencies or organizations, community planning groups, and other groups 
that provide HIV prevention services.
    f. Capacity to provide the proposed interventions in a manner that 
is culturally competent and linguistically and developmentally 
appropriate, and which responds effectively to the gender, 
environmental, and social characteristics of the target populations.
    g. For any of the above areas in which you do not have direct 
experience or current capacity, describe how you will ensure that your 
organization will gain capacity (e.g., through staff development, 
collaboration with other organizations, or a contract).
5. Program Plan
    (Not to exceed 10 pages): Use this section to describe the specific 
characteristics of your proposed intervention(s).
    a. Involvement of the target population: Describe how the target 
population is, or will be, involved in planning, implementing, and 
evaluating activities and services throughout the project period.
    b. Intervention Objectives: Develop process objectives that are 
specific, measurable, appropriate, realistic, and time-based. Process 
objectives focus on the projected amount, frequency, and duration of 
the intervention activities and the number and characteristics of the 
target population to be served. If applicable, describe how the 
objectives are related to the prevention priorities outlined in the 
jurisdiction's comprehensive HIV prevention plan. Describe potential 
barriers to or facilitators for reaching these objectives.
    c. Plan of Operation:

[[Page 23080]]

    (1) Describe the specific activities to be conducted or services to 
be provided to accomplish the objectives and where these activities or 
services will take place. Make certain that your proposal addresses all 
required activities. The following four HERR interventions will be 
funded: Individual level (including prevention case management (PCM)), 
group level, community level interventions, and street and community 
outreach. Each recipient must conduct at least one of these 
interventions. Applicants should not apply for more interventions than 
they can conduct effectively.
    (2) Describe your mechanisms for soliciting clients into the 
program and obtaining informed consent.
    (3) Describe your staffing plan and the responsibilities each staff 
position will have in conducting the proposed activities. Describe how 
the proposed program will be managed, including the location of the 
program within your organization.
    (4) Describe the potential for volunteer involvement in your 
program. If volunteers will be involved, describe plans to recruit, 
train, place, and retain volunteers.
    (5) Describe how you will market and promote your program in the 
community.
    (6) Describe how you will prioritize the program activities to 
place emphasis on populations or communities that are at high risk for 
HIV infection.
    d. Appropriateness of Interventions:
    Describe mechanisms that will be used to ensure client 
satisfaction. Describe how you will ensure that the proposed 
interventions and services are culturally competent; sensitive to 
issues of sexual orientation; developmentally, educationally, and 
linguistically appropriate; and targeted to the needs of the target 
populations.
    e. Scientific, Theoretical, Conceptual, or Program Experience 
Foundation for Proposed Activities: Provide a detailed description of 
the program experience or scientific, theoretical, or conceptual 
foundation on which the proposed activities are based and which support 
the potential effectiveness of these activities for addressing the 
stated needs.
    f. Collaborations, Linkages, and Coordination:
    (1) Describe any formal collaborations with State or local health 
departments, community planning groups, and other appropriate service 
groups or organizations that will be used in the development and 
implementation of your program. Describe the respective roles and 
responsibilities of each collaborating entity in developing and 
implementing the program.
    (2) Specify any and all organizations and agencies with which you 
will establish linkages and coordinate activities, and describe the 
activities that will be coordinated with each listed organization. 
These may include, as appropriate, the following:
    (a) Community groups and organizations, including churches and 
religious groups;
    (b) HIV/AIDS service organizations;
    (c) Ryan White CARE Title I and Title II planning bodies;
    (d) Schools, boards of education, and other State or local 
education agencies;
    (e) State and local substance abuse agencies, community-based and 
other drug treatment or detoxification programs;
    (f) Federally funded community projects, such as those funded by 
the Substance Abuse and Mental Health Services Administrations' 
(SAMSHA) Center for Substance Abuse Treatment (CSAT) and Center for 
Substance Abuse Prevention (CSAP), the Health and Human Services' 
Health Resource Services Administration (HRSA), Office of Minority 
Health (OMH), and other Federal entities;
    (g) Providers of services to youth in high risk situations (e.g., 
youth in shelters);
    (h) State or local departments of mental health;
    (i) Juvenile and adult criminal justice, correctional, or parole 
systems and programs;
    (j) Family planning and women's health agencies; and
    (k) STD and TB clinics and programs.
    (3) Describe how referrals to other service providers will be 
initiated.
    (4) Provide a timeline that identifies major implementation steps 
and assigns approximate dates for the inception and completion of each.
6. Quality Assurance and Program Evaluation Plan
    (Not to exceed 5 pages): The plan should describe when and how 
evaluation activities will be implemented. At a minimum, the plan 
should outline strategies for implementing process evaluation of 
interventions to determine if the process objectives are being 
achieved. Indicate which member(s) of the staff will be responsible for 
implementing the evaluation plan.
    Your process evaluation plan should include the following:
    a. A list of resources available to the organization to carry out 
process evaluation (e.g., provider staff, health department staff, data 
experts to design a system for managing information about proposed 
interventions, evaluation consultants, NRMOs, etc).
    b. A list of who will be involved in implementing the evaluation 
and identify their roles. Describe who will collect, report, enter, and 
analyze data.
    c. A description of the data that will be collected. To assure 
valid data are collected, established instruments should be used when 
feasible. Established instruments include those that have been either 
science-based or previously administered in effective HIV prevention 
interventions. In addition, data sources should be verifiable through 
appropriate documentation (such as storing original data for the 
duration of the cooperative agreement). Examples of data that could be 
collected include:
    (1) Detailed information on the specific intervention service(s).
    (2) The number of persons who received the service(s) by (a) risk 
categories (MSM, IDU, etc.) and (b) demographics, such as age, race and 
ethnicity, gender, and if appropriate and available, sexual 
orientation.
    (3) When and how often the intervention service was provided.
    (4) Where the intervention service was provided (e.g., CTRPN site, 
STD clinic, street corner, housing project).
    (5) Documents referral systems, including the number of persons 
referred; how you intend to determine the success of referral systems 
(e.g., the number actually receiving services by referral sites); and 
how well the system functions in identifying referral services.
    (6) Describe client satisfaction with HIV prevention intervention 
services.
    d. Discuss how data will be collected, managed, and monitored over 
time. Address ways to collect, report, enter, and analyze data as well 
as how you would use data for program improvement. Describe how often 
data will be collected. Discuss how data security will be maintained 
and client confidentiality assured.
    e. Discuss how you will assess the performance of staff to ensure 
that they are providing information and services accurately and 
effectively.
    Because of the additional cost and need for scientific support 
beyond the scope of these cooperative agreements, you may not be able 
to conduct outcome evaluations (i.e., long-term effects of the program 
in terms of changes in behavior or health status, such as changes in 
HIV incidence after the intervention) with funds provided through this 
cooperative agreement. CDC will continue to support special projects to 
evaluate the behavioral and other outcomes of

[[Page 23081]]

interventions commonly used by CBOs and other organizations, and 
disseminate information and lessons learned from this research to CBOs, 
health departments, community planning groups, and other organizations 
and agencies involved in HIV prevention programs.
7. Communications and Dissemination Plan
    (Not to exceed 2 pages): Describe how you will share successful 
approaches and ``lessons learned'' with other organizations.
8. Plan for Acquiring Additional Resources
    (Not to exceed 1 page): Describe how you will develop and implement 
a plan for obtaining additional resources from other (non-CDC) sources 
to supplement the program conducted through this cooperative agreement 
and to increase the likelihood of its continuation after the end of the 
project period.
9. Budget/Staffing Breakdown and Justification
    a. Detailed Budget: Provide a detailed, separate budget for each 
intervention proposed (i.e., CTR, individual level, group level, 
community level, or street and community outreach), with accompanying 
justification of all operating expenses that is consistent with the 
stated objectives and planned priority activities. CDC may not approve 
or fund all proposed activities. Be precise about the program purpose 
of each budget item and itemize calculations wherever appropriate.
    For contracts, applicants should name the contractor, if known; 
describe the services to be performed which justifies the use of a 
contractor; provide a breakdown of and justification for the estimated 
costs of the contracts; the period of performance; the method of 
selection; and method of monitoring the contract.
    b. Staffing Plan: Provide a job description for each position 
specifying job title; function, general duties, and activities; salary 
range or rate of pay; and the level of effort and percentage of time 
spent on activities funded through this cooperative agreement. If the 
identity of any key personnel who will fill a position is known, her/
his name and resume should be attached. Experience and training related 
to the proposed project should be noted. If the identity of staff is 
not known, describe your recruitment plan. If volunteers are involved 
in the project provide job descriptions.
10. Training and Technical Assistance Plan
    (Not to exceed 2 pages): Describe areas in which you anticipate 
needing technical assistance in designing, implementing, and evaluating 
your program and discuss how you will obtain needed technical 
assistance. Also, describe anticipated staff training needs related to 
the proposed program and how these needs will be met. Describe your 
plan for providing ongoing training to ensure that staff are 
knowledgeable about HIV and STD risks and prevention measures. This 
information will assist CDC to better address your needs and help you 
to identify technical assistance and training providers.
11. Attachments
a. Proof of Eligibility
    Each applicant must provide documentation that they comply with all 
eligibility requirements specified under the ``Eligible Applicants'' 
section of this program announcement. Applicants should provide a 
separate section within this Attachments section that is entitled Proof 
of Eligibility to include the documents listed below. Failure to 
provide the required documentation will result in disqualification.
    (1) IRS determination letter of your organization's 501(c)(3) tax-
exempt status.
    (2) A list of the members of your organization's governing body 
along with their positions on the board, their expertise in working 
with or providing services to the proposed target population, and their 
racial/ethnic backgrounds. (Submission of information regarding the HIV 
status or other confidential information regarding the board is 
optional, and must not be linked to a specific individual.)
    (3) Documentation that your organization is located and provides 
services in one of the 20 eligible MSAs or eligible counties or 
independent city. This documentation could include letters of support, 
news articles, brochures or flyers, annual reports, memoranda of 
agreement, or client surveys.
    (4) A Table of Organization of existing and proposed staff, 
including the board of directors, volunteer staff, and their racial/
ethnic backgrounds.
    (5) Documentation that your organization has an established record 
of providing services to the target population for at least two years, 
and a description of the specific services that have been provided.
    (6) Affiliates of national organizations must include with the 
application an original, signed letter from the chief executive officer 
of the national organization assuring their understanding of the intent 
of this program announcement and the responsibilities of recipients.
    (7) A separate sheet of paper stating if your organization is 
currently funded under CDC Program Announcement 704, Community Based 
HIV Prevention Projects.
b. Other Attachments
    (1) A list of all collaborating or coordinating entities and 
memoranda of understanding or agreement as evidence of these 
established or agreed-upon collaborative or coordinating relationships. 
Memoranda of agreement should specifically describe the proposed 
collaborative activities. Evidence of continuing collaboration must be 
submitted each year to ensure that the collaborative relationships are 
still in place. Memoranda of agreement from health departments should 
include a statement that they have reviewed your application for these 
funds.
    (2) A list of major community resources and health care providers 
to which referrals will be made;
    (3) Protocols to guide and document training, activities, services, 
and referrals (e.g., applicants seeking funds for Street and Community 
Outreach Interventions must provide a description of the policies and 
procedures that will be followed to assure the safety of outreach 
staff).
    (4) Samples of data collection tools that will be used in 
performing, monitoring, or evaluating program activities, if available.
    (5) A description of funds received from any source to conduct HIV/
AIDS programs and other similar programs targeting the population 
proposed in the program plan. This summary must include: (1) The name 
of the sponsoring organization/source of income, amount of funding, a 
description of how the funds have been used, and the budget period; (2) 
a summary of the objectives and activities of the funded program(s); 
and (3) an assurance that the funds being requested will not duplicate 
or supplant funds received from any other Federal or non-Federal 
source. CDC awarded funds can be used to expand or enhance services 
supported with other Federal or non-Federal funds. In addition, 
identify proposed personnel devoted to this project who are supported 
by other funding sources and the activities they are supporting.

[[Page 23082]]

    (6) Independent audit statements from a certified public accountant 
for the previous 2 years.
    (7) A copy of your organization's current negotiated Federal 
indirect cost rate agreement, if applicable.

    Note: Materials submitted as attachments should be printed on 
one side of 8\1/2\ x 11 paper. Please do not attach bound materials 
such as booklets or pamphlets. Rather, submit copies of the 
materials printed on one side of 8\1/2\ x 11 paper. Bound materials 
may not be reviewed.

F. Submission and Deadline

    Submit the original and two copies of PHS 5161 (OMB Number 0937-
0189). Forms are in the application kit. On or before June 28, 1999, 
submit the application to: Albertha Carey, Grants Management 
Specialist, Grants Management Branch, Procurement and Grants Office, 
Program Announcement (99092), Centers for Disease Control and 
Prevention, 2920 Brandywine Road, Room 3000, Mailstop E-15, Atlanta, 
Georgia 30314-4146.
    Applicants should simultaneously submit a copy of the application 
to their State HIV/AIDS Directors.
    Deadline: Applications shall be considered as meeting 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 
orderly processing. (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 
shall not be acceptable as proof of timely mailing.)
    Late Applications: Applications which do not meet the criteria in 
(a) or (b) above are considered late applications, will not be 
considered, and will be returned to the applicant.

G. Evaluation Criteria

    Each application will be evaluated individually against the 
following criteria by an independent review group appointed by CDC.

Evaluation Criteria

1. Abstract (not scored)
2. Assessment of Need and Justification for the Proposed Activities (15 
points)

    a. The extent to which the applicant soundly and convincingly 
documents a substantial need for the proposed program and activities; 
and the degree to which the proposed activities are consistent with the 
Recipient Activities described in the Program Requirements Section. (5 
points)
    b. The degree to which the applicant describes the specific 
behaviors and practices that the interventions are designed to promote 
and prevent (i.e., increases in correct and consistent condom use, 
knowledge of serological status, not sharing needles, and enrollment in 
drug treatment and other preventive programs). (5 points)
    c. The quality of the applicant's plan to ensure consistency with 
the State and local comprehensive HIV prevention plans and, if 
applicable, the adequacy with which the applicant demonstrates the 
rational for deviating from the jurisdiction's comprehensive HIV 
prevention plan. (5 points)
    3. Long-term Goals (5 points) The quality of the applicant's stated 
goals and the extent to which they are consistent with the purpose of 
this cooperative agreement, as described in this program announcement.
    4. Organizational History and Capacity. (15 points) The extent of 
the applicant's documented experience, capacity, and ability to address 
the identified needs and implement the proposed activities, including:
    a. How the applicant's organizational structure and planned 
collaborations (including constituent or affiliated organizations or 
networks) will support the proposed program activities, and how the 
proposed program will have the capacity to reach targeted populations; 
(3 points)
    b. Applicant's past and current experience in developing and 
implementing effective HIV prevention strategies and activities, and in 
developing and implementing programs similar to those proposed in this 
application; (3 points)
    c. Applicant's experience and ability in collaborating with 
governmental and non-governmental organizations, including other 
national agencies or organizations, State and local health departments, 
community planning groups, and State and local non-governmental 
organizations that provide HIV prevention services; (3 points)
    d. Applicant's capacity to obtain meaningful input and 
representation from members of the target population(s) and to provide 
culturally competent and appropriate services which respond effectively 
to the cultural, gender, environmental, social, and multilingual 
character of the target audiences, including documentation of any 
history of providing such services; (3 points) and
    e. Plans to ensure capacity to implement proposed program where no 
direct experience or capacity currently exists within the applicant 
organization. (3 points)
    5. Program Plan (45 total points)
    a. Involvement of the target population (5 points) The degree to 
which the applicant describes the involvement of the target population 
in planning, implementing, and evaluating activities and services 
throughout the project period.
    b. Intervention Objectives. (5 points) Degree to which the proposed 
process objectives are specific, measurable, appropriate, realistic, 
and time-based, related to the proposed activities, and consistent with 
the program's long-term goals; and the extent to which the applicant 
identifies possible barriers to or facilitators for reaching these 
objectives.
    c. Plan of Operation (15 points) The quality of the applicant's 
plan for conducting program activities, and the potential effectiveness 
of the proposed activities in meeting objectives.
    d. Appropriateness of Interventions: (5 points) The degree to which 
the applicant describes how the proposed priority interventions and 
services are culturally competent, sensitive to issues of sexual 
orientation, developmentally appropriate, linguistically-specific, and 
educationally appropriate.
    e. Scientific, Theoretical, Conceptual, or Program Experience 
Foundation for Proposed Activities (5 points) The degree to which the 
applicant provides a detailed description of the scientific, 
theoretical, conceptual, or program experience foundation on which the 
proposed activities are based and which support the potential 
effectiveness of these activities for addressing the stated need.
    f. Collaborations, Linkages, and Coordination (5 points) 
Appropriateness of collaboration and coordination with other 
organizations serving the same priority population(s). At minimum, the 
applicant provides a description of the collaboration or coordination 
and a signed memoranda of agreement for each agency with which 
collaborative activities are proposed, and other evidence of 
collaboration that describe previous, current, as well as future areas 
of collaboration.
    g. Timeline: (5 points) The extent to which the applicant's 
proposed timeline is specific and realistic.
    6. Quality Assurance and Program Evaluation Plan (10 points) The 
potential of the evaluation plan to describe when and how evaluation 
activities will be implemented by the applicant; the extent to which 
the evaluation plan is realistic and feasible, taking into account the 
applicant's unique needs, resources, capabilities, and priorities; and 
the extent to which a plan has been created that will guide

[[Page 23083]]

the collection of data for improving HIV prevention efforts and 
informing stakeholders of the progress made in HIV prevention.
    7. Communication and Dissemination Plan (5 points) The degree to 
which the applicant describes how successful approaches and ``lessons 
learned'' will be documented and shared with other organizations.
    8. Plan for Acquiring Additional Resources (5 points) The degree to 
which the applicant describes plans to develop and implement a plan for 
obtaining additional resources from other (non-CDC) sources to 
supplement the program conducted through this cooperative agreement and 
to increase the likelihood of its continuation after the end of the 
project period.
    9. Budget and Staffing Breakdown and Justification (not scored)
    a. Budget Appropriateness of the budget for the proposed project.
    b. Personnel Appropriateness of the staffing pattern for the 
proposed project.
    10. Training and Technical Assistance Plan (not scored)
    The extent to which the applicant describes areas in which 
technical assistance is anticipated in designing, implementing, and 
evaluating the proposed program and how the applicant will obtain this 
technical assistance. The extent to which the applicant describes 
anticipated staff training needs related to the proposed program and 
how these needs will be met. The extent to which the applicant 
describes a plan for providing ongoing training to staff.
    Before final award decisions are made, CDC will either make 
predecisional site visits to CBOs whose applications are highly ranked 
or review the items below with the local or State health department and 
applicant's board of directors.
    a. The organizational and financial capability of the applicant to 
implement the proposed program.
    b. The special programmatic conditions and technical assistance 
requirements of the applicant.
    A business management and fiscal recipient capability assessment 
may be required of some applicants prior to the award of funds.

H. Other Requirements

    1. Technical Reporting Requirements.
    Provide CDC with the original plus two copies of:
    a. Progress reports quarterly, no more than 30 days after the end 
of each 3 month period;
    b. Financial status report, no more than 90 days after the end of 
each budget period; and
    c. Final financial report and performance report, no more than 90 
days after the end of the project period.
    2. Send all reports to: Ron Van Duyne, Grants Management Officer, 
Grants Management Branch, Procurement and Grants Office, Centers for 
Disease Control and Prevention 2920 Brandywine Road, Room 3000, 
Mailstop E-15, Atlanta, GA 30341-4146.
    3. The following additional requirements are applicable to this 
program. For a complete description of each, see Attachment 3 in the 
application kit.

AR-4  HIV/AIDS Confidentiality Provisions
AR-5  HIV Program Review Panel Requirements
AR-7  Executive Order 12372 Review
AR-8  Public Health System Reporting Requirements
AR-9  Paperwork Reduction Act Requirements
AR-10  Smoke-Free Workplace Requirements
AR-11  Healthy People 2000
AR-12  Lobbying Restrictions
AR-14  Accounting System Requirements

I. Authority and Catalog of Federal Domestic Assistance Number

    This program is authorized under sections 301(a) and 317 of the 
Public Health Service Act, 42 U.S.C. 241(a) and 247b as amended. The 
Catalog of Federal Domestic Assistance Number is 93.939, HIV Prevention 
Activities--Nongovernmental Organization Based.

J. Where To Obtain Additional Information

    To receive additional written information and to request an 
application and tool kit, call NPIN at 1-800-458-5231 (TTY users: 1-
800-243-7012); visit their web site: www.cdcnpin.org/program; send 
requests by fax to 1-888-282-7681 or send requests by e-mail: 
[email protected]. This information is also posted on 
Division of HIV/AIDS Prevention (DHAP) website at http://www.cdc.gov/
nchstp/hiv__aids/funding/toolkit/.
    CDC maintains a Listserv (HIV-PREV) related to this program 
announcement. By subscribing to the HIV-PREV Listserv, members can 
submit questions and will receive information via e-mail with the 
latest news regarding the program announcement. Frequently asked 
questions on the Listserv will be posted to the Web site. You can 
subscribe to the Listserv on-line or via e-mail by sending a message 
to: [email protected] and writing the following in the body of 
the message: subscribe hiv-prev first name last name.
    If you have questions after reviewing the contents of all the 
documents, business management technical assistance may be obtained 
from: Albertha Carey, Grants Management Specialist, Grants Management 
Branch, Procurement and Grants, Office Program Announcement [99092], 
Centers for Disease Control and Prevention (CDC), 2920 Brandywine Road, 
Room 3000, Atlanta, GA 30341-4146, Telephone (770) 488-2735, E-mail 
[email protected].
    For program technical assistance, contact: Tomas Rodriguez, 
Community Assistance, Planning, and National Partnerships Branch, 
National Center for HIV, STD, and TB Prevention, Centers for Disease 
Control and Prevention (CDC), 1600 Clifton Road, M/S E-58, Atlanta, GA 
30333, Telephone number (404) 639-5240, Email address: [email protected] 
(``0'' is the number, not the letter ``o'').
    See also the CDC home page on the Internet: http://www.cdc.gov.

    Dated: April 23, 1999.
John L. Williams,
Director, Procurement and Grants Office, Centers for Disease Control 
and Prevention (CDC).
[FR Doc. 99-10700 Filed 4-28-99; 8:45 am]
BILLING CODE 4163-18-P