[Federal Register Volume 64, Number 97 (Thursday, May 20, 1999)]
[Notices]
[Pages 27570-27574]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-12693]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention
[Program Announcement 99144]


Cooperative Agreements for Non-Governmental Organization (NGO) 
Partnerships Pilot Project; Notice of Availability of Funds

A. Purpose

    The Centers for Disease Control and Prevention (CDC) and the United 
States Agency for International Development (USAID) announces the 
availability of fiscal year (FY) 1999 funds for a cooperative agreement 
program for Non-Governmental Organization (NGO) Partnerships Pilot 
Projects. This program addresses the ``Healthy People 2000'' priority 
areas of Educational and Community-Based Programs, HIV Infection, and 
Sexually Transmitted Diseases. The purpose of this program is to 
facilitate the exchange of information through partnerships between 
U.S. domestic NGOs and NGOs in developing countries where CDC and USAID 
provide support for HIV/AIDS activities. Mutual learning can have 
significant benefits for both the international and U.S. domestic 
response to HIV/AIDS. The goal of the pilot project is to gather 
experiential data regarding the most efficient and valuable avenues for 
fostering sustainable linkages between developing world NGOs and U.S. 
domestic NGOs, with improved capacity to deliver HIV/AIDS information 
and prevention services as the ultimate result. Lessons learned and 
assistance will be exchanged between the U.S. NGOs and the developing 
world NGOs along lines of affinity, such as language/culture, risk 
behaviors, and population groups. United States NGOs are especially 
well equipped to provide this technical assistance since they have been 
active in HIV/AIDS activities for more than a decade.

B. Eligible Applicants

    Applications may be submitted by public and private nonprofit NGOs; 
that is, universities, colleges, research institutions, hospitals, 
other public and private nonprofit organizations, and federally 
recognized Indian tribal governments, Indian tribes, or Indian tribal 
organizations.
    Acceptable evidence of nonprofit status, Internal Revenue Service 
(IRS) 501(c)3, is a copy of a currently valid IRS tax exemption 
determination letter; national organizations must also submit a 
statement signed by the parent organization indicating that the 
applicant is a local nonprofit affiliate and is authorized to apply for 
funds. Proof of nonprofit status must be provided with the application. 
No application will be accepted without proof of nonprofit status.

    Note: Public Law 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 $230,000 is available in FY 1999 to fund 
approximately 2-3 awards. It is expected that the average award will be 
$80,000, ranging from $50,000 to $120,000. It is expected that the 
awards will begin on or about September 1, 1999, and will be made for a 
12-month budget period within a project period of up to 2 years. 
Funding estimates may change based on the following: availability of 
funds; scope and quality of applications received; appropriateness and 
reasonableness of budget request; proposed use of project funds; and 
extent to which the applicant is contributing its own resources to HIV/
AIDS prevention activities.
    Continuation awards within an approved project period will be made 
on the basis of satisfactory progress as evidenced by required reports 
and the availability of funds. Satisfactory progress will be determined 
by site visits by CDC representatives, progress reports, and the 
quality plans.

Use of Funds

    Funds available under this announcement must support activities 
directly related to primary HIV prevention. However, intervention 
activities that involve preventing other STDs or substance abuse as a 
means of reducing or eliminating the risk of HIV infection may also be 
supported. No funds will be provided for direct patient medical care 
(including substance abuse treatment and medical prophylaxis or drugs).
    These funds may not be used to supplant or duplicate existing 
funding. Contracts with other organizations are allowable 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.
    Before using funds awarded through this cooperative agreement to 
develop HIV prevention materials, recipients must enquire with the CDC 
National Prevention Information Network (1-800-458-5231) to determine 
if suitable materials are already available. Also, materials developed 
by recipients must be made available for dissemination through the CDC 
National Prevention Information Network.

D. Program Requirements

    Potential activities to strengthen and sustain linkages among the 
collaborating partners may include:
    1. Operations research: training and technical assistance support 
on how to use operations research to improve the delivery of primary 
prevention services or assess the effectiveness of interventions. 
Additional activities may include the development of interventions 
based on research results;
    2. Network development: training and assistance in the development 
and strengthening of a formal network of NGOs to address the primary 
prevention needs of one of the priority populations identified above 
(e.g., youth, women, and men who have sex with men, IDUs). The 
partnering activity should be designed to facilitate collaboration, 
networking and information exchange among NGOs, government and donor 
agencies;
    3. Institutional development: management strengthening activities 
to enhance performance. This may include the design and implementation 
of management training workshops on strategic planning, change 
management, time management, and project management. Other activities 
many include volunteer motivation, performance management (staff 
appraisal, development and improvement of work environment),

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impact measurement, fund-raising and income generation; and
    4. Educational materials development: assessment and design of 
materials that are suitable for various population groups and risk 
behaviors.
    In conducting activities to achieve the purpose of this program, 
the recipient will be responsible for activities under Recipient 
Activities, and CDC will be responsible for activities listed under CDC 
Activities.

1. Recipient Activities

    a. Use epidemiological data, needs assessments, and prioritization 
of groups and interventions to design program activities and place 
emphasis on communities at high risk for HIV infection;
    b. Incorporate cultural competency and linguistic appropriateness 
into all capacity and skills building efforts, including those 
involving the development, production, dissemination, and marketing of 
health communication or prevention messages;
    c. Coordinate program activities with relevant counterpart foreign 
national and regional HIV prevention programs to prevent duplication of 
efforts;
    d. Facilitate the dissemination of successful prevention 
interventions and program models through meetings, workshops, 
conferences, and other communications;
    e. Broaden the linkages with counterpart communities in other 
developing countries;
    f. Compile ``lessons learned'' from the project and share these 
with network organizations and CDC; and
    g. 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 pilot project period.

2. CDC Activities

    a. Provide consultation and technical assistance in planning, 
operating, and evaluating prevention activities;
    b. Provide up-to-date scientific information on risk factors for 
HIV infection, prevention measures, and program strategies for 
prevention of HIV infection;
    c. Assist in the evaluation of program activities and services;
    d. Facilitate the transfer of successful prevention interventions 
and program models to other areas; and
    e. Monitor the recipient's performance of program activities, 
protection of client confidentiality and compliance with other 
requirements.

E. Application Content

    Use the information in the Program Requirements, Other 
Requirements, and 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 45 double-spaced pages, 
printed on one side, with one inch margins, and unreduced 12 CPI font. 
Number each page clearly, and provide a complete index to the 
application and its appendices. Please begin each separate section of 
the application on a new page. Submit the original and each copy of the 
application set unstapled and unbound. Materials that should be part of 
the basic plan will not be accepted if placed in the appendices.
    In developing the application, follow the format and instructions 
below:
Format
1. Abstract
2. Organizational History and Capacity
3. Description of Target Population and Needs
Assessment
4. Program Plan
5. Evaluation Plan
6. Communications and Dissemination Plan
7. Plan for Sustaining Linkages
8. Personnel
9. Budget
10. Attachments

Instructions

    1. Abstract (not to exceed 2 pages): Briefly summarize your 
proposed program activities and include the following:
    a. The need for the proposed activities;
    b. Proposed plan of operation, including the populations to be 
served, activities to be undertaken, and services to be provided;
    c. Plans for evaluating the activities of this project;
    d. Future year activities; and
    e. Brief description of the applicant organization and its 
``linkage'' partner/developing country counterpart.
    2. Organizational History and Capacity (not to exceed 5 pages):
    a. Describe your existing organizational structure, including 
constituent or affiliate organizations or networks, how the 
organizational structure will support the proposed program activities, 
and how the structure offers the capacity to reach targeted 
populations.
    b. Describe your past and current experience in developing and 
implementing effective HIV prevention strategies and activities, and in 
developing and implementing programs similar to the one proposed in 
this application.
    c. Describe your capacity to provide culturally competent and 
appropriate services that respond effectively to the cultural, gender, 
environmental, social, and multilingual character of the target 
populations, including any history of providing such services.
    d. Describe your experience in collaborating with international and 
developing country organizations that provide HIV prevention services.
    e. Describe your experience in collaborating with government 
agencies of a developing country, e.g., Ministry of Health, Ministry of 
Education.
    3. Description of Target Population and Needs Assessment (not to 
exceed 6 pages):
    a. Target Population: Describe the target populations to be served 
through the proposed program, including the approximate number of 
persons to be reached. Describe the impact of HIV/AIDS on the community 
and any other specific environmental, social, cultural, or multilingual 
characteristics of the target populations that the program will 
consider and address in developing prevention strategies.
    b. Needs Assessment: List and briefly describe current HIV 
prevention and risk-reduction efforts under way among the target 
populations and outline major gaps in the provision of prevention 
services for the target populations.
    (1) Explain any specific barriers to the dissemination of adequate 
HIV prevention information and education that exist or have existed;
    (2) Explain the unmet HIV prevention needs in the target community 
and opportunities for creating linkages with U.S. based NGOs;
    (3) Identify and describe the HIV prevention needs of the target 
populations that the proposed program will directly address.
    4. Program Plan (not to exceed 10 pages): Describe your proposed 
program in an organized, concise manner. Funds available under this 
program must be targeted to support activities directly related to 
primary HIV prevention; however, intervention activities that involve 
preventing other STDs and substance abuse as a means of reducing or 
eliminating the risk of HIV infection may be supported. You may wish to 
describe the conceptual basis for interventions and program activities. 
Your program plan should describe and explain:
    a. The specific behaviors and practices that the interventions are

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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).
    b. The involvement of the target population in planning, 
implementing, and evaluating activities and services throughout the 
project period.
    c. How the proposed priority interventions and services are 
culturally competent, sensitive to issues of sexual identity, 
developmentally appropriate, linguistically-specific, and educationally 
appropriate.
    In addition, the program plan should include:
    a. Project objectives: Provide specific, realistic, time-phased and 
measurable objectives to be accomplished during the first budget 
period. Describe the expected outcomes of program activities on its 
target populations.
    b. Plan of operation: Describe the activities that will be 
undertaken and specific interventions that will be provided to meet the 
objectives within projected time frames during the first program year. 
Outline the major steps necessary to attain specified objectives and 
note the approximate dates by which activities will be accomplished. 
Note all major activities that will represent necessary milestones in 
the attainment of objectives. Describe, where possible, how you will 
obtain participation and input into the program by appropriate service 
groups or organizations, how collaborative relationships with other 
agencies and organizations will be established and maintained, and the 
extent to which members of the target population will be involved in 
project planning and implementation. Include, as attachments, memoranda 
of understanding or agreement as evidence of these established or 
agreed upon collaborative relationships. Include a description of how 
the proposed program fills gaps left by existing programs as determined 
by the needs assessment.
    c. Memorandum of Agreement between the applicant and the 
``linkage'' partner/developing country counterpart. The memorandum of 
agreement should include the following:
    (1) Statement of agreement to collaborate and for what purpose 
(what are the goals of the collaboration effort?). Provide full name, 
address, and a description of each collaborating agency.
    (2) Statement of services or goods each collaborating agency is 
willing to provide or exchange.
    (3) Statement of how services and goods will be provided or 
exchanged.
    (4) Statement of responsibilities related to confidentiality.
    (5) Statement of responsibilities related to documentation and 
reporting expected from each agency.
    (6) Statement of how the MOA content (collaboration agreement) will 
be reviewed, evaluated and updated, if necessary.
    (7) Statement defining the length of the agreement (start and 
termination clause).
    (8) Statement clarifying the date of the agreement and signatures 
of agency personnel authorized to commit collaborating agencies to 
provide services and share resources.
    Collaborating agencies may want to include a statement of 
indemnity. For instance, no element of this agreement will be construed 
to imply any form of financial obligation or liability, nor to confer 
on one party the capacity to represent or act as an agent of the other.
    d. Letter of Concurrence from the USAID Mission in the selected 
host country. The letter should state that the USAID Mission has 
reviewed the proposed activities and concurs with the request to 
conduct the proposed activities. The letter should also indicate how 
the proposed effort will contribute to the results framework of the 
USAID Health Sector in the selected host country and that the activity 
is consistent with the overall HIV/AIDS prevention efforts of the 
Ministry of Health.
    5. Plan of Evaluation (not to exceed six pages): How project 
activities will be evaluated (i.e., a plan that will help determine if 
the methods used to deliver these services are effective and the 
objectives are being achieved). Clearly identify specific methods you 
will use to measure progress toward attaining objectives and monitoring 
activities during the first year of the program. Describe how that 
information will be obtained, including a description of methods that 
will be implemented to gather and record data, and in what manner it 
will be summarized for Quarterly Progress Reports. Describe how data 
will be used to improve the program and how successful approaches and 
``lessons learned'' will be shared with other organizations.
    6. Communications and Dissemination Plan: (not to exceed 2 pages).
    7. Plan for Sustaining Linkages: (not to exceed 2 pages).
    8. Personnel: Describe how the proposed program will be managed and 
staffed, including the location of the program within your 
organization. Describe in detail each existing or proposed position for 
this program by job title, function, general duties, and activities 
with which that position will be involved. Include the level of effort 
and allocation of time for each project activity by staff position. If 
the identity of any individual who will fill a position is known, her/
his name and curriculum vitae (not to exceed one page each) should be 
attached. Note experience and training related to the proposed project. 
If the identity of staff is not known, describe your recruitment plan. 
If volunteers are involved in the project, provide job descriptions and 
methods to ensure accountability to the project.
    9. Budget Breakdown and Justification: Provide a detailed budget 
for each priority activity to be undertaken, with accompanying 
justification of all operating expenses that is consistent with the 
stated objectives and planned activities of the project. 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 the personnel section, indicate the job title, annual salary/
rate of pay, and percentage of time spent on this program.
    For contracts contained within the application budget, name the 
contractor, if known; describe the services to be performed; justify 
using a third party; and provide a breakdown of and justification for 
the estimated costs of the subcontracts; the kinds of organizations or 
parties to be selected; the period of performance; and the method of 
selection.
    10. Attachments: Provide the following as attachments:
    a. Proof of nonprofit status. No awards will be made without 
acceptable proof of nonprofit status;
    b. A list of the members of the governing body and their positions 
on the board, their expertise in working with or providing services to 
the proposed target population;
    c. An organizational chart of existing and proposed staff, 
including the board of directors, volunteer staff;
    d. A description of any funding received from CDC or other sources 
to conduct HIV/AIDS programs which includes:
    (1) A summary of funds and income received to conduct HIV/AIDS 
programs and other programs targeting the population proposed in the 
program plan. This summary must include the name of the sponsoring 
organization/source of income, level of funding, a description of how 
the funds have been

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used, and the budget period. In addition, identify proposed personnel 
devoted to this project who are supported by other funding sources and 
the activities of the funded programs;
    (2) A summary of the objectives and activities of the funded 
programs;
    (3) A description of how the requested funds will be used 
differently or in ways that will expand upon the funds already 
received, applied for, or being received; and
    (4) An assurance that the funds being requested will not duplicate 
or supplant funds received from any other source.
    e. Independent audit statements from a Certified Public Accountant 
for the previous 2 years.
    f. Affiliates of national organizations must include an original, 
signed letter from the chief executive office of the national 
organization assuring their understanding of the intent of this program 
announcement and the responsibilities of recipients.

    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 
will not be reviewed.

F. Submission and Deadline

    Submit the original and two copies of PHS 5161-1 (OMB Number 0937-
0189). Forms are in the application kit.
    On or before July 23, 1999, submit the application to: Patrick 
Smith, Grants Management Specialist, Grants Management Branch, 
Procurement and Grants Office, Announcement 99144, Centers for Disease 
Control and Prevention, 2920 Brandywine Road, Mail Stop E-15, Room 
3000, Atlanta, Georgia 30341-4146.
    Deadline: Applications shall be considered as meeting the deadline 
if they are either received on or before the deadline date or sent on 
or before the deadline date and received in time for submission to the 
independent 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 
shall not be acceptable as proof of timely mailing.) Applications that 
do not meet these criteria 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.
    1. Organizational History and Capacity (25 points): The extent to 
which the applicant demonstrates experience in providing HIV prevention 
services to the target population and demonstrates experience in 
collaborating with non-governmental organizations and government 
agencies of a developing country.
    2. Description of Target Population and Needs Assessment (10 
points): The extent to which the applicant demonstrates a need for the 
program.
    3. Plan for Sustaining Linkages (25 points): The extent to which 
the applicant provides proof of collaboration with the linkage partner/
developing country counterpart, USAID Mission, and government agencies 
in the host country. This includes a letter of concurrence from the 
USAID Mission and government agencies in the host country, a signed 
memorandum of agreement with the linkage partner, as well as signed 
work plans, or other evidence of collaboration. The memorandum of 
agreement should describe previous, current, as well as future areas of 
collaboration.
    4. Program Objectives (10 points): The extent to which the proposed 
objectives are specific, measurable, time-phased, related to the 
proposed activities, related to national HIV prevention goals, and 
consistent with the applicant's overall mission.
    5. Program Plan (25 points): The quality of the applicant's plan 
for conducting program activities and the potential effectiveness of 
the proposed methods for establishing and sustaining partnerships.
    6. Evaluation Plan (10 points): The extent to which the evaluation 
plan measures the accomplishment of program objectives.
    7. Personnel (not scored): The appropriateness of the staffing 
pattern for the proposed project.
    8. Budget (not scored): The appropriateness of the budget for the 
proposed project. A business and fiscal recipient capability assessment 
may be required of some applicants prior to the award of funds.
    Before final award decisions are made, CDC may conduct pre-
decisional site visits to highly ranked applicants. The purpose of 
these site visits will be to meet with project staff and a 
representative of the board of directors to assess the organizational 
capability of the applicant to implement the proposed program.

H. Other Requirements

Technical Reporting Requirements

    Provide CDC with the original plus two copies of:
    1. Quarterly progress reports
    2. Financial status report, no more than 90 days after the end of 
the budget period; and
    3. Final financial status and performance reports, no more than 90 
days after the end of the project period.
    Send all reports to: Patrick Smith, Grants Management Specialist, 
Grants Management Branch, Procurement and Grants Office, Centers for 
Disease Control and Prevention, 2920 Brandywine Road, Mail Stop E-15, 
Room 3000, Atlanta, GA 30341-4146.
    The following additional requirements are applicable to this 
program. For a complete description of each, see Attachment I in the 
application kit.

AR-4  HIV/AIDS Confidentiality Provisions
AR-5  HIV Program Review Panel 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
AR-15  Proof of Non-Profit Status

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. section 241(a) and 247(b)], as 
amended. The Catalog of Federal Domestic Assistance Number is 93.939, 
HIV Prevention Activities--Non-governmental Organization Based.

J. Where To Obtain Additional Information

    To receive additional written information and to request an 
application kit, call 1-888-GRANTS4 (1-888-472-6874). You will be asked 
to leave your name and address and will be instructed to identify the 
Announcement number of interest.
    If you have questions after reviewing the contents of all the 
documents, business management technical assistance may be obtained 
from: Patrick Smith, Grants Management Specialist, Grants Management 
Branch, Procurement and Grants Office, Announcement 99144, Centers for 
Disease Control and Prevention (CDC), 2920 Brandywine Road, Mail Stop 
E-15, Room 3000, Atlanta, GA 30341-4146, telephone (770) 488-2731, 
Email address [email protected].
    For program technical assistance, contact: Renee J. Saunders, 
M.S.W., National Center for HIV, STD, and TB

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Prevention, Centers for Disease Control and Prevention 1600 Clifton 
Road, NE, Mail Stop E-35, Atlanta, Georgia 30333, Telephone (404) 639-
5259, Email address: [email protected].
    See also the CDC home page on the Internet: HTTP://WWW.CDC.GOV.

    Dated: May 14, 1999.
Henry S. Cassell III,
Acting Director, Procurement and Grants Office, Centers for Disease 
Control and Prevention (CDC).
[FR Doc. 99-12693 Filed 5-19-99; 8:45 am]
BILLING CODE 4163-18-P