[Federal Register Volume 64, Number 100 (Tuesday, May 25, 1999)]
[Notices]
[Pages 28196-28200]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-13141]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention (CDC)
[Announcement Number 99067]


Cooperative Agreement for an Evaluation Research Study in the 
Area of Aggression and Interpersonal Youth Violence; 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 
to identify organizations to participate in a multiple site violence 
prevention evaluation study. This program addresses the ``Healthy 
People 2000'' priority area of Violent and Abusive Behavior. The 
purpose of this prevention study is to determine the effectiveness of a 
middle school-based, social cognitive intervention to reduce violence, 
and to determine the impact of including a community-based intervention 
that complements the school-based activities. CDC is seeking applicants 
interested in collaborating with other recipients funded under this 
announcement in the development and implementation of the violence 
prevention evaluation study.

B. Eligible Applicants

    Applications may be submitted by public and private nonprofit and 
for-profit organizations and by governments and their agencies; that is 
universities, colleges, research institutions, hospitals, other public 
and private nonprofit organizations, State, local governments or their 
bona fide agents, and federally recognized Indian tribal governments, 
Indian tribes, or Indian tribal organizations.

    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 $1,700,000 is available in FY 1999 to fund three 
awards. It is expected that the average award will be $565,000, ranging 
from $400,000 to $600,000. It is expected that the awards will begin on 
or about September 30, 1999 and will be made for a 12-month budget 
period within a project period up to four years. Funding estimates may 
change.

[[Page 28197]]

    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.

1. Use of Funds

    The initial budget period (Year 1) will serve as a planning year to 
prepare projects for institutional review, develop and plan the 
specific social-cognitive intervention to be implemented in the school 
setting and the specific community programming that will be used to 
complement the school-based efforts, develop the common protocol, 
determine which participants will serve as intervention and comparison 
groups, determine training needs and staffing requirements for 
implementation years, and develop instruments. Program implementation 
is expected to take place in Years 2 and 3. The final year of the 
project period will be utilized for data analysis, the writing of final 
reports, and dissemination activities.

2. Budgets

    Budgets should include costs for travel for two project staff to 
attend three planning meetings (10/99, 2/00, and 6/00) in Atlanta with 
CDC staff and other cooperative agreement recipients.

D. Funding Preferences

    Important considerations for funding under this announcement are a 
national geographic balance among the potential study sites. Priority 
will also be given to competing applications that demonstrate an 
existing collaboration in middle schools utilizing social cognitive 
interventions to reduce violence.

E. Program Requirements

    In conducting activities to achieve the purpose of this program, 
the recipient will be responsible for the activities listed under 1. 
(Recipient Activities), and CDC will be responsible for the activities 
listed under 2. (CDC Activities):

1. Recipient Activities

    a. Design and develop intervention components, data collection 
instruments, implementation and evaluation study protocols, and data 
management procedures.
    b. Collaborate with other cooperative agreement recipients in the 
development and evaluation of intervention components, analysis of 
data, and dissemination of results.
    c. Establish goals and realistic, measurable, and time-oriented 
objectives for all phases of the project.
    d. Pilot test research instruments for data collection.
    e. Recruit, obtain informed consent from, and enroll an adequate 
number of study participants as determined by the study protocol and 
program requirements.
    f. Collect and compile monitoring (process) and outcome data.
    g. Pool data for analyses and publication and develop and analyze 
site-specific data.
    h. Publish results in peer review journals or other appropriate 
distribution.

2. CDC Activities

    a. Provide technical assistance in the design and conduct of the 
research.
    b. Provide technical advice and guidance in the development of 
study protocols, consent forms, and data collections forms.
    c. Assist in the development of a research protocol for 
Institutional Review Board review by all cooperating institutions 
participating in the research project. The CDC Institutional Review 
Board will review and approve the protocol initially and on at least an 
annual basis until the research project is complete
    d. Assist in designing a data management system.
    e. Arrange for information sharing among the various projects and 
facilitate coordination of research activities among the different 
sites.
    f. Assist in the analyses of research information and presentation 
and publication of research findings.
    g. Assist in the transfer of information and methods developed in 
these projects to other prevention programs.

F. 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.
    The application may not exceed 25 double-spaced pages in length, 
excluding appendices (the abstract, budget justification, and 
attachments) (i.e., letters of commitment, data collections forms, 
resumes, etc). Applicants should provide a one-page abstract of the 
proposal. Number all pages clearly and sequentially and include a 
complete index to the application and appendices. The original and each 
copy of the application must be submitted UNSTAPLED and UNBOUND. Print 
all material, double spaced, in a 12-point or larger font on 8\1/2\ by 
11 paper, with at least 1'' margins and printed on one side only.
    The application should include a general introduction, followed by 
one narrative subsection per application content element in the order 
in which the elements appear below. Each narrative subsection should be 
labeled with the element title and contain all of the information 
needed to evaluate that element of the application (except for 
curriculum vita, references, and letters of support, which are 
appropriate for the appendices). The application content elements are 
outlined below for all research issues.

1. Abstract

    A one page summary of the application outlining the target 
population and location of intervention activities, experience 
delivering the intervention components, experience with evaluation 
research methods and the management of complex interventions, project 
management and staffing, and proposed collaborations.

2. Description of the Target Population

    The application needs to identify the specific target population 
for the study and the location or setting in which the intervention 
activities will take place. The application should include the 
following information:
    a. Identification of the various middle schools to participate in 
the evaluation study and description of their demographic 
characteristics (i.e. type of school--public, private/parochial, urban, 
rural, size of school, grade levels, composition of student population, 
e.g., gender, race/ethnicity, percentage of students receiving reduced 
or free meals; IOWA basic skills scores and grade equivalencies).
    b. Demographic information for study participants (e.g., targeted 
age group or grade levels, sex, race/ethnic background).
    c. Pertinent available morbidity and violence-related data (e.g., 
physical fights or injury-related incidents at school, weapon-carrying, 
suspension/expulsion rates, absenteeism) (See Addendum 2 for definition 
of high incidence of physical fighting and weapon-carrying).
    d. The prevalence or incidence within the target group of any 
cognitive, attitudinal, or behavioral characteristics that will be 
influenced by the intervention.
    e. Projected sample size per school for the evaluation study, 
including statistical power calculations to justify sample size and 
expected levels of attrition on final sample size and power.

[[Page 28198]]

    f. Demographic characteristic of neighborhood (i.e. population 
size, race/ethnicity, socioeconomic status, unemployment rates, county-
level aggravated assault and homicide rates, high school drop-out 
rates) (See Addendum 2 for definition of high incidence of homicide).
    g. Applicant must describe the capacity, feasibility, and/or prior 
experience of the targeted schools to link with appropriate community-
based organizations or mental health or social service agencies (e.g., 
do the selected schools have any experience with parent training 
activities, after-school programs, or have referral mechanisms in place 
for children in need of additional social or counseling services?).
    h. The applicant should include a detailed description of the 
procedures that makes the applicant compliant with CDC's Policy 
requirements regarding the inclusion of women, ethnic, and racial 
groups in the proposed research. The applicant's procedures should 
include:
    (1) A proposed plan for the inclusion of both sexes and racial and 
ethnic minority populations for appropriate representation.
    (2) The proposed justification when representation is limited or 
absent.
    (3) A statement as to whether the design of the study is adequate 
to measure differences when warranted.
    (4) A statement as to whether the plans for recruitment and 
outreach for study participants include the process of establishing 
partnerships with community(ies) and recognition of mutual benefits.

3. Access to Target Population

    a. This section should provide evidence that the applicant or a 
full working partner has access to the target population for proposed 
intervention and evaluation activities.
    b. The application should include letters of commitment from the 
targeted schools indicating knowledge of proposed activities (i.e., 
implementation and evaluation of a social cognitive intervention and 
appropriate community-based programming to complement the school-based 
activities) and agreement to provide access to the target population, 
facilities, and relevant records (e.g., aggregate-level suspension/
expulsion, absenteeism, disciplinary data).
    c. Letters of commitment should indicate a willingness to 
facilitate the implementation of intervention activities and collection 
of appropriate evaluation data.

4. Experience Delivering Intervention Components

    a. The applicant should provide a detailed description and 
documented support (e.g., abstracts, presentations, published peer-
reviewed manuscripts) of prior experience in the area of youth violence 
prevention and experience with designing and implementing school-based, 
social-cognitive interventions and any related intervention components 
(e.g., parent training, mental health/psychological services, 
mentoring, after-school programs, etc).
    b. The applicant should describe the types of programs previously 
delivered; the frequency, intensity, and duration of previous programs; 
the settings and targeted age groups; and the manner in which previous 
programs were staffed and monitored.

5. Experience with Evaluation Research

    a. Applicants should provide a detailed description and documented 
support (e.g., abstracts, presentations, published peer-reviewed 
manuscripts) of prior experience with the management of complex 
intervention trials, prior experience or the experience of a full 
working partner in evaluation research methods, and their ability or 
the ability of a full working partner to collect, manage, and analyze 
both quantitative and qualitative data.
    b. Applicants should describe the nature and scope of programs 
previously evaluated; the types of evaluation designs utilized for 
these studies, the targeted age groups evaluated; and the settings in 
which the evaluations took place.
    c. This section should also describe familiarity with various 
statistical approaches for analyzing complex evaluation data (e.g., 
ANCOVA, MANOVA, Hierarchical Linear Modeling, Growth Curve Analysis, 
Repeated Measures Analysis, Mixed Effects Models, etc.) and any prior 
experience with analyzing and modeling multi-level prevention data.

6. Project Management and Staffing Plan

    a. The applicant should demonstrate the availability of staff and 
facilities to carry out Year 1 planning and development activities.
    b. The applicant should describe in detail each existing or 
proposed position for the planning year by job title, function, general 
duties, and activities for which that position will be involved. It 
should 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, his/her name and curriculum vitae 
should be attached.
    c. Management operation principles, structure, and organization 
should be described.
    d. This section should also describe available resources and 
facilities for processing and maintaining data for analysis.

7. Collaboration

    a. This section should describe and document current and proposed 
collaborations between schools, community-based organizations, and 
university or other research organizations working with the specified 
target population.
    b. The application should include letters of commitment and/or 
memoranda of understanding which specify precisely the nature of past, 
present, and proposed collaborations, and the products/services or 
other activities that will be provided by and to the applicant through 
the collaboration on the proposal.
    c. The applicant should describe their willingness to collaborate 
with the other cooperative agreement recipients funded under this 
announcement on all phases of the project (e.g., development and 
evaluation of intervention components, analysis of data, and 
dissemination of results).
    d. The applicant should further describe current or past funding 
that has been received for similar projects and the outcomes of these 
projects. Evidence should be provided that these funds do not duplicate 
already funded components of ongoing projects.

8. Human Subjects

    a. The applicant should describe the degree to which human subjects 
may be at risk and what protections will be in place to assure 
protection and confidentiality.
    b. The applicant should demonstrate that it has adequately 
addressed the requirements of Title 45 CFR Part 46 for the protection 
of human subjects.

9. Budget

    Provide a detailed budget for each priority activity to be 
undertaken during the planning year, with accompanying justification of 
all operating expenses that is consistent with the stated activities 
under this program announcement. Applicants should be precise about the 
purpose of each budget item and should itemize calculations wherever 
appropriate.

[[Page 28199]]

G. Application Submission and Deadline

1. Letter of Intent

    Although not a prerequisite of application (optional), a non-
binding letter of intent-to-apply is requested from potential 
applicants. The letter should identify the announcement number, name of 
principal investigator, and specify the priority area to be addressed 
by the proposed project. The letter of intent does not influence review 
or funding decisions, but it will enable CDC to determine the level of 
interest in the announcement and to plan the review more efficiently.
    On or before June 11, 1999, submit the letter of intent to the 
Grants Management Specialist identified in the ``Where to Obtain 
Additional Information'' section of this announcement.

2. Application

    Submit the original and two copies of the application PHS-5161-1 
(OMB Number 0925-0001). Forms are in the application kit.
    On or before July 19, 1999, submit the application to the Grants 
Management Specialist identified in the ``Where to Obtain Additional 
Information'' section of this announcement.
    a. Deadline:
    Applications shall be considered as meeting the deadline if they 
are either:
    (1) Received on or before the deadline date; or
    (2) 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.
    b. Late applications: Applications which do not meet the criteria 
in a.1 or a.2 above are considered late applications, will not be 
considered, and will be returned to the applicant.

H. Evaluation Criteria

    Applications which are complete and determined to be responsive 
will be subjected to a preliminary evaluation (triage) by a Special 
Emphasis Panel (SEP) to determine if the application is of sufficient 
technical and scientific merit to warrant further review by the SEP. 
CDC will withdraw from further consideration applications judged to be 
noncompetitive and promptly notify the principal investigator/program 
director and the official signing for the applicant organization. Those 
applications judged to be competitive will be further evaluated 
individually against the following criteria by a Special Emphasis Panel 
(Maximum 100 total points):

1. Description of Target Population (10 Points)

    a. The extent to which the target population is clearly identified, 
has a high incidence or prevalence of the risk factors to be influenced 
by intervention activities, and supported with appropriate demographic, 
morbidity and violence-related data.
    b. The extent to which the settings for the intervention components 
are clearly described; adequate for reaching the target population; and 
suggest a need for violence prevention programming.
    c. The extent to which the capacity, feasibility, and/or experience 
of the targeted schools to link with appropriate community-based 
resources or programming is described and documented.
    d. The extent to which sample size estimates, power estimates, and 
anticipated attrition of the target population are clarified, 
reasonable, and sufficient for evaluation activities.
    e. The degree to which the applicant has met the CDC Policy 
requirements regarding the inclusion of women, ethnic, and racial 
groups in the proposed research.

2. Access to the Target Population (15 Points)

    a. The extent to which targeted schools are identified and access 
to the target population is demonstrated.
    b. The extent to which applicant provides proof of commitment from 
the targeted schools (e.g., letters from school principals indicating 
knowledge of proposed activities and agreement to provide access to the 
target population, relevant records, facilities) and their willingness 
to facilitate the implementation of intervention activities and 
collection of appropriate evaluation data.

3. Experience Delivering Intervention Components (25 Points)

    a. The extent to which the applicant has documented (e.g., 
abstracts, presentations, peer-reviewed publications) prior experience 
designing and implementing school-based, social-cognitive interventions 
and related community intervention components (e.g., parent training, 
mental health/psychological services, after-school programs, mentoring, 
etc).
    b. The extent to which applicant's prior experience, or that of a 
full working partner, is relevant to proposed activities under this 
program announcement, reflects a high degree of expertise, and is 
sufficient for accomplishing proposed activities under this 
announcement.

4. Experience With Evaluation Research (25 Points)

    a. The extent to which applicant demonstrates prior experience 
managing complex intervention trials, prior experience with evaluation 
research methods, and has the capacity and relevant expertise to 
collect, manage, and analyze both quantitative and qualitative data.
    b. The extent to which the applicant demonstrates expertise and 
familiarity with a range of statistical approaches for analyzing 
complex evaluation data (e.g., ANCOVA, MANOVA, Repeated Measures 
Analysis), and has prior experience with analyzing and modeling multi-
level prevention data (e.g., using Hierarchical Linear Modeling, Growth 
Curve Analysis, Mixed Effects Models).

5. Project Management and Staffing Plan (10 Points)

    a. The extent to which the research team and other project 
personnel are clearly described, appropriately assigned (i.e., duties, 
responsibilities, time allocation), and have pertinent training, 
skills, qualifications, and experiences.
    b. The extent to which the applicant or a full working partner has 
the capacity to successfully complete proposed implementation 
activities and the facilities, equipment, and data management resources 
to successfully complete proposed evaluation activities.
    c. The extent to which management operation, structure, and/or 
organization is described.

6. Collaboration (15 Points)

    a. The extent to which the applicant is willing to collaborate with 
the other cooperative agreement recipients funded under this 
announcement on all phases of the project (e.g., the development and 
evaluation of intervention components, analysis of data, and 
dissemination of results).
    b. The extent to which the necessary partners are clearly described 
and their qualifications and intentions to participate explicitly 
stated. The extent to which the applicant provides proof of commitment 
(e.g., letters of commitment and/or memoranda of understanding) from 
proposed collaborators (other than school partners) for project 
activities.
    c. Evidence should be provided that these funds do not duplicate 
already funded components of ongoing projects.

[[Page 28200]]

7. Human Subjects (Not Scored)

    The extent to which procedures for the protection of human subjects 
are described and adequately address the requirements of the Department 
of Health and Human Resources (45 CFR part 46) for the protection of 
human subjects.

8. Budget (Not Scored)

    The extent to which the budget request is clearly explained, 
adequately justified, reasonable, sufficient for proposed year 1 
activities and consistent with the intended use of these cooperative 
agreement funds.

I. Other Requirements

Technical Reporting Requirements

    Provide CDC with the original and two copies of:
    1. A semiannual progress report no later than 30 days after the end 
of each six month period. Semiannual progress reports should include:
    a. A brief description of the project;
    b. A comparison of the actual accomplishments to the goals and 
objectives established for the period;
    c. Documentation of both the reason for the deviation and the 
anticipated corrective action or deletion of the activity from the 
project if established goals and objectives were not accomplished or 
were delayed; and
    d. Other pertinent information, including the analysis of 
information collected.
    2. Financial status reports are required no later than 90 days 
after the end of each budget period.
    3. Final financial status and performance reports are required 90 
days after the end of the project period.
    Send all reports to the Grants Management Specialist identified in 
the ``Where to Obtain Additional Information'' section of this 
announcement.
    The following additional requirements are applicable to this 
program. For a complete description of each, see Addendum 1.

AR-1  Human Subjects Requirements
AR-2  Requirements for Inclusion of Women and Racial and Ethnic 
Minorities in Research
AR-9  Paperwork Reduction Act Requirements
AR-10  Smoke-Free Workplace Requirements
AR-11  Healthy People 2000
AR-12  Lobbying Restrictions
AR-13  Prohibition on Use of CDC Funds for Certain Gun Control 
Activities

J. Authority and Catalog of Federal Domestic Assistance Number

    This program is authorized under section 301(a), 391, and 393 (42 
U.S.C. 241(a), 280b, and 280b-1a) of the Public Health Service Act, as 
amended. The Catalog of Federal Domestic Assistance number is 93.262.

K. Where To Obtain Additional Information

    This and all other CDC Announcements may be found and downloaded 
from the CDC homepage. Internet address: http://www.cdc.gov (click on 
funding).
    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: Ricky Willis, Grants Management Specialist, Grants Management 
Branch, Procurement and Grants Office, Announcement 99067, Centers for 
Disease Control and Prevention 2920 Brandywine Road, Suite 3000, 
Mailstop E-13, Atlanta, GA 30341-4146; Telephone (770) 488-2719; E-
mail: [email protected]
    For program technical assistance contact: Wendy Watkins, Project 
Officer, National Center for Injury Prevention and Control, Centers for 
Disease Control and Prevention, 4770 Buford Highway, NE, Mailstop K-60, 
Atlanta, GA 30341;Telephone (770)-488-1567; E-mail address: 
[email protected]

    Dated: May 19, 1999.
John L. Williams,
Director, Procurement and Grants Office, Centers for Disease Control, 
and Prevention (CDC).
[FR Doc. 99-13141 Filed 5-24-99; 8:45 am]
BILLING CODE 4163-18-P