[Federal Register Volume 64, Number 172 (Tuesday, September 7, 1999)]
[Notices]
[Pages 48648-48653]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-23152]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention


Capacity-Building Assistance (CBA) To Improve the Delivery and 
Effectiveness of Human Immunodeficiency Virus (HIV) Prevention Services 
for Racial and Ethnic Minority Populations

AGENCY: Centers for Disease Control and Prevention (CDC), Department of 
Health and Human Services (DHHS).

ACTION: Request for comments.

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SUMMARY: In Fiscal Year 2000, CDC will provide approximately 8.4 
million dollars to support racial and ethnic

[[Page 48649]]

minority non-governmental organizations (NGOs) to carry out capacity-
building activities that will strengthen the delivery and effectiveness 
of HIV prevention programs and services for racial and ethnic minority 
populations.
    On June 30, 1999, CDC published in the Federal Register [64 FR 
35170] a summary of this proposed program and requested public 
comments. Upon receipt of these comments, the CDC revised the proposed 
program and is again requesting additional comments. After 
consideration of additional comments submitted, the CDC will publish a 
program announcement to solicit applications. A more complete 
description of the goals of this program, the target applicants, 
availability of funds, program requirements, and evaluation criteria 
follows.

DATES: The public is invited to submit comments by September 21, 1999. 
The National Center for HIV, STD, and TB Prevention, Division of HIV/
AIDS Prevention will host a Consultation on September 9-10, 1999, in 
Atlanta, Georgia to solicit additional comments on the Summary 
Statement for Capacity-Building Assistance (CBA) to Improve the 
Delivery and Effectiveness of Human Immunodeficiency Virus (HIV) 
Prevention Services for Racial and Ethnic Minority Populations.

ADDRESSES: Submit comments to: Technical Information and Communications 
Branch, National Center for HIV, STD, and TB Prevention, Centers for 
Disease Control and Prevention (CDC), 1600 Clifton Road, NE, Mail Stop 
E49, Atlanta, GA 30333.

For Further Information Contact: Technical Information and 
Communications Branch, National Center for HIV, STD, and TB Prevention, 
Centers for Disease Control and Prevention (CDC), 1600 Clifton Road, 
NE, Mail Stop E49, Atlanta, GA 30333, Fax (404) 639-2007, E-mail 
address: [email protected], Telephone (404) 639-2072.

Supplementary Information

A. Program Purpose

    The primary purpose of this program is to provide financial and 
programmatic assistance to national, regional, and local non-
governmental minority organizations to develop and implement regionally 
structured and integrated capacity-building assistance systems that 
will sustain, improve, and expand local HIV prevention services for 
racial and ethnic minority individuals whose behaviors place them at 
risk for acquiring or transmitting HIV and other sexually transmitted 
diseases (STDs). For this program, capacity-building assistance is 
defined as the provision of information, new HIV prevention 
technologies, consultation, technical services, and training for 
individuals and organizations to improve the delivery and effectiveness 
of HIV prevention services.
    Capacity-building assistance developed under this program will be 
provided in 4 priority areas as follows: (1) Strengthening 
Organizational Infrastructure for HIV Prevention, (2) Enhancing HIV 
Prevention Interventions, (3) Mobilizing Communities for HIV 
Prevention, and (4) Strengthening HIV Prevention Community Planning.
    Capacity-building assistance in Priority Areas (1), (2), and (4) 
will be regionally structured and delivered to the intended audience 
within four regional groups as follows:

Northeast Region: CT, MA, ME, NH, NJ, NY, PA, PR, RI, VT, U.S. Virgin 
Islands
Midwest Region: IL, IN, IA, KS, MI, MN, MO, NE, ND, OH, SD, WI
South Region: AL, AR, D.C., DE, FL, GA, KY, LA, MD, MS, NC, OK, SC, TN, 
TX, VA, WV
West Region: AK, AZ, CA, CO, HI, ID, NV, NM, OR, MT, UT, WA, WY, 
American Samoa, Commonwealth of Northern Mariana Islands, Federated 
States of Micronesia, Guam, Republic of Marshall Islands, Palau

    Capacity-building assistance in Priority Area (3) can be structured 
and delivered within any of the four regional groups identified above, 
but can also be targeted according to identifiable patterns of minority 
subcultures and affinity groups (e.g., migrant streams, faith leaders, 
injection drug using networks).

B. Goals

    The goals for this program are as follows:

1. Priority Area (1): Strengthening Organizational Infrastructure

    Improve the capacity of community-based organizations (CBOs) to 
develop and sustain organizational infrastructures that support the 
delivery of HIV prevention program services and interventions.
    The emphasis for providing capacity-building assistance in Priority 
Area (1) is for CBOs funded directly by CDC. Other CBOs can be provided 
assistance, if funding is sufficient for expanded services.

2. Priority Area (2): Enhancing Interventions

    Improve the capacity of CBOs to design, develop, implement, and 
evaluate effective HIV prevention interventions for racial/ethnic 
minority populations at risk for acquiring or transmitting HIV and 
other STDs.
    The emphasis for providing capacity-building assistance in Priority 
Area (2) is for CBOs funded directly by CDC, and CBOs funded by State 
or local health departments. Other organizations can be provided 
assistance in Priority Area (2), if funding is sufficient for expanded 
services.

3. Priority Area (3): Mobilizing Communities for HIV Prevention

    Improve the capacity of CBOs and other community stakeholders to 
engage and develop their communities for the purpose of increasing 
their awareness, leadership, participation in, and support for HIV 
prevention.
    The emphasis for providing capacity-building assistance in Priority 
Area (3) is for CBOs and other community stakeholders relating to 
racial and ethnic minority communities heavily affected by the HIV/AIDS 
epidemic.

4. Priority Area (4): Strengthening HIV Prevention Community Planning

    a. Enhance the capacity of CBOs, health departments, and other 
community stakeholders to effectively participate in and support the 
HIV prevention community planning process.
    b. Enhance the capacity of community planning groups (CPGs) to 
support and involve racial and ethnic minority participants in the 
community planning process and to increase Parity, Inclusion, and 
Representation (PIR) .
    The emphasis for providing capacity-building assistance in Priority 
Area (4) is for community planning groups, CBOs and other community 
stakeholders, and health departments. For the purpose of this program 
announcement, community stakeholders are individuals, groups, or 
organizations in the target community that have an interest or stake in 
preventing HIV and are potential or actual agents of change.

C. Priority Areas

    In the following sections, information will be described on 
eligible applicants, availability of funds, funding priorities, program 
requirements, and evaluation criteria for each of the priority areas. 
Organizations may apply for more than one priority area. However, a 
separate application must be submitted for each priority area.

[[Page 48650]]

1. Priority Area (1): Strengthening Organizational Infrastructure

a. Eligibility
    Eligible applicants are national minority organizations, or for-
profit small minority businesses. Applicants must meet the following 
criteria:
    (1) Small minority businesses
    (a) Have obtained 8A status from the Small Business Administration 
(SBA).
    (b) Have minority ownership of the business.
    (c) Have a 3-year track record providing organizational capacity-
building assistance to CBOs serving racial and ethnic minority 
population(s).
    (d) Have racial and ethnic minority persons serve in greater than 
50 percent of key positions in the organization, including management, 
supervisory, administrative, and service provision positions (for 
example, company executive officer, program director, fiscal director, 
or capacity-building assistance providers).
    (2) National non-governmental minority organizations
    (a) Have a currently-valid IRS Tax Determination 501(C)3 status.
    (b) Have a documented and established 3-year record of service 
providing organizational capacity-building assistance to CBOs serving 
racial and ethnic minority population(s).
    (c) Have a governing body composed of greater than 50 percent 
racial and ethnic minority members.
    (d) Have racial and ethnic minority persons serve in greater than 
50 percent of key positions in the organization, including management, 
supervisory, administrative, and service provision positions (for 
example, executive director, program director, fiscal director, 
technical assistance provider, trainer, curricula development 
specialist, or group facilitator).
    Applicants applying for Priority Area (1) must serve CBOs in all 4 
regions specified above and provide assistance to CBOs providing 
services to all 4 major racial/ethnic groups which are as follows: 
Black or African-American, Hispanic or Latino, American Indian or 
Alaskan Native, and Asian/Native Hawaiian or Other Pacific Islander.
b. Availability of Funds
    Up to $2.0 million is expected to be available in FY 2000 to fund 
1-4 programs. It is expected that the awards will begin in March, 2000, 
and will be made for a 12-month budget period within a project period 
of up to five years.
c. Funding Priorities
    In making funding decisions, efforts will be made to ensure 
capacity-building assistance for all CDC-funded CBOs.
d. Program Requirements
    The program requirements are as follows:
    (1) Conduct an assessment of the governance, management, 
administrative, and fiscal systems of all CDC funded CBOs.
    (2) Develop and implement a plan for targeting, engaging, and 
maintaining long-term capacity-building relationships with CDC-funded 
CBOs. The plan should include strategies for conducting ongoing needs 
assessments and developing tailored multi-component capacity-building 
packages to be delivered over the long-term and as appropriate to the 
identified needs.
    (3) Ensure the effective and efficient provision of capacity-
building assistance to strengthen organizational infrastructure. 
Examples include, but are not limited to, organizational evaluation and 
assessment, board development, human resource management, fiscal 
management, strategic planning, HIV prevention policy development, and 
implementation of quality assurance measures (a more complete list will 
be provided in the program announcement). These services are to be 
provided through the use of the following delivery mechanisms: 
Information Transfer, Skills Building, Technical Consultation, 
Technical Services, and Technology Transfer.
    (4) Develop and implement a system that responds to capacity-
building assistance requests. This system must include mechanisms for 
assessing and prioritizing requests; linking requests to other 
capacity-building resources; and to services provided in Priority Areas 
(2), (3) and (4); delivering capacity-building services; and conducting 
quality assurance.
    (5) Create, utilize, and support a regionally structured resource 
network that includes consultants and other subject matter experts with 
expertise in strengthening organizational infrastructure. Emphasize the 
use of locally-based consultants. Supportive services for the resource 
networks include, but are not limited to, developing training materials 
(technical service) and conducting orientation (information transfer) 
for consultants to assist them with delivering effective and efficient 
services that follow national standards of practice and compliment 
CDC's standards and expectations for conducting business and 
programmatic activities.
    (6) Identify, collaborate with, and complement the capacity-
building efforts available locally to avoid duplication of effort and 
to ensure that capacity-building assistance is allocated according to 
gaps in services and the priority ``Organizational Infrastructure 
Development and Assessment'' needs of CDC-funded CBOs.
    (7) Coordinate program activities with appropriate national, 
regional, State, and local HIV prevention programs; national, State and 
local capacity-building providers; and State or local community 
planning groups.
    Site visits by CDC staff may be conducted before final funding 
decisions are made. A fiscal Recipient Capability Assessment (RCA) may 
be required of some applicants before funds are awarded.

2. Priority Area (2): Enhancing HIV Prevention Interventions

a. Eligibility
    Eligible applicants are national minority organizations as lead 
organizations within a coalition serving a specific racial/ethnic 
minority group within all four regions, or a regional minority 
organization as the lead organization within a coalition serving a 
specific racial/ethnic minority group within all four regions. 
Applicants must meet the following criteria:
    (1) Have a currently-valid IRS Tax Determination 501(C)3 status.
    (2) Have a documented and established 3-year record of service 
providing capacity-building assistance in ``Enhancing HIV Prevention 
Interventions''.
    (3) Have a governing body composed of greater than 50 percent of 
the racial and ethnic minority population to be served.
    (4) Have greater than 50 percent of key positions in the 
organization, including management, supervisory, administrative, and 
service provision positions filled by members of the racial and ethnic 
population to be served (for example, executive director, program 
director, fiscal director, technical assistance provider, trainer, 
curricula development specialist, or group facilitator).
    Members of the coalition must include, at a minimum, an 
organization located within each of the four regions. The lead 
applicant can represent one of the four regions. Applicants must apply 
to serve no more than one of the four major racial/ethnic groups.

[[Page 48651]]

b. Availability of Funds
    Up to 3.5 million is expected to be available in FY 2000 to fund 4 
programs. It is expected that the awards will begin in March, 2000, and 
will be made for a 12-month budget period within a project period of up 
to five years.
c. Funding Priorities
    In making funding decisions, efforts will be made to ensure that 
(1) capacity-building assistance is available for all four regions and 
all four major ethnic/racial groups, and (2) funding for capacity-
building assistance is distributed in proportion to the HIV/AIDS 
disease burden for the four major racial and ethnic minority 
populations.
d. Program Requirements
    The program requirements are as follows:
    (1) Ensure the effective and efficient provision of capacity-
building assistance to enhance HIV prevention interventions. Examples 
include, but are not limited to, curricula development, improving 
cultural competence, service integration, incorporating behavioral 
science, improving health communication messages, evaluation for 
intervention effectiveness, and improving risk reduction strategies (a 
more complete list will be provided in the program announcement). These 
services are to be provided through the use of the following delivery 
mechanisms: Information Transfer, Skills Building, Technical 
Consultation, Technical Services, and Technology Transfer. These 
services should be culturally appropriate and based in science.
    (2) Establish and support a coalition to implement proposed 
program. The coalition should represent all four regions. Supportive 
services for the coalition include, but are not limited to, 
establishing ongoing communication mechanisms, establishing reporting 
standards, conducting process evaluation, establishing standards of 
practice, and conducting quality assurance.
    (3) Create, utilize, and support regionally-based resource networks 
that includes the applicant and coalition members' current and proposed 
staff, researchers, academicians, consultants, and other subject matter 
experts, and may include collaborative relationships. Emphasize the use 
of locally-based consultants and experts. Supportive services for the 
resource networks include, but are not limited to, developing training 
materials (technical service), diffusion of best program practices and 
intervention models (technology transfer), and conducting orientation 
(information transfer) for consultants to assist them with delivering 
effective and efficient services that follow national standards of 
practice and compliment CDC's standards and expectations for conducting 
HIV educational programs and interventions.
    (4) Develop and implement a plan for targeting, engaging, and 
maintaining long-term capacity-building relationships with CBOs. The 
plan should include strategies for conducting ongoing assessments and 
evaluations of HIV interventions and the support structures to deliver 
these interventions, and developing tailored capacity-building packages 
to be delivered over the long-term and as appropriate to the identified 
needs.
    (5) Develop and implement a system that responds to capacity-
building assistance requests. This system must include mechanisms for 
assessing and prioritizing requests; linking requests to other 
capacity-building resources and to services provided in Priority Areas 
(1), (3) and (4); delivering services; and conducting quality 
assurance.
    (6) Identify, collaborate with, and complement the capacity-
building efforts available locally to avoid duplication of effort and 
to ensure that capacity-building assistance is allocated according to 
gaps in services and the priority ``Enhancing HIV Prevention 
Interventions `` needs of CBOs serving minority populations at high 
risk for acquiring and transmitting HIV and other STDs.
    (7) Coordinate program activities with appropriate national, 
regional, State, and local HIV prevention programs, capacity-building 
providers, and community planning groups.
    (8) Evaluate the accomplishment of program objectives and the 
process and outcomes of capacity-building assistance.

3. Priority Area (3): Mobilizing Communities for HIV Prevention

a. Eligibility
    Eligible applicants are national, regional, or local minority 
organizations serving a community or communities defined by locality, 
risk behaviors, HIV/AIDS impact, HIV prevention health problems and 
needs, patterned social interaction, or a collective identity. At a 
minimum, Priority Area (3) activities must be conducted in two or more 
States. Applicants must meet the following criteria:
    (1) Have a currently-valid IRS Tax Determination 501(C)3 status.
    (2) Have a documented and established 3-year record of service 
providing capacity-building assistance in ``Community Engagement and 
Development'.
    (3) Have a governing body composed of greater than 50 percent of 
the racial and ethnic population to be served.
    (4) Have racial and ethnic minority persons serve in greater than 
50 percent of key positions in the organization, including management, 
supervisory, administrative, and service provision positions (for 
example, executive director, program director, fiscal director, 
technical assistance provider, trainer, curricula development 
specialist, or group facilitator).
b. Availability of Funds
    Up to 1.4 million is expected to be available in FY 2000 to fund up 
to 10 programs. It is expected that the awards will begin in March, 
2000, and will be made for a 12-month budget period within a project 
period of up to five years.
c. Funding Priorities
    In making funding decisions, efforts will be made to ensure that 
funding for capacity-building assistance is distributed in proportion 
to the HIV/AIDS disease burden for the communities to be served.
d. Program Requirements
    The program requirements are as follows:
    (1) Select a defined community or cluster of communities that are 
defined by locality, risk behaviors, HIV/AIDS impact, HIV prevention 
health problems and needs, patterned social interaction, or a 
collective identity.
    (2) Identify major opinion leaders across a diverse spectrum of 
individuals within the community(ties) who can identify high risk 
groups within the community, involve them in undertaking a community 
assessment and build consensus on actions that are necessary to 
strengthen networks for change within the community.
    (3) Establish a community board comprised of diverse stakeholders 
such as (community leaders in areas of health, education, public 
health, parent groups, civic organizations, religion and political) who 
can identify and adopt a vision of their community and develop a 
practical, acceptable and feasible HIV prevention agenda.
    (4) Develop a plan of action to provide capacity-building 
assistance to CBO staff and other community stakeholders that enables 
them to engage and develop their community or communities. This plan of 
action may include, but not be

[[Page 48652]]

limited to, training in leadership development, communication and 
resource network development, coalition building, community 
mobilization strategy development, community resources and needs 
assessments, community infrastructure development, policy development 
and analyses, and services integration and linkage development (a more 
complete list will be provided in the program announcement). These 
services are to be provided through the use of the following delivery 
mechanisms: Information Transfer, Skills Building, Technical 
Consultation, Technical Services, and Technology Transfer.
    (5) Develop, implement, and market a system that responds to 
requests for assistance in mobilizing communities for HIV prevention. 
This system must include mechanisms for assessing and prioritizing 
requests; linking requests to other capacity-building resources and to 
services provided in Priority Areas (1), (2) and (4); delivering 
services; and conducting quality assurance.
    (6) Develop and implement a plan for targeting, engaging, and 
maintaining long-term capacity-building relationships with CBOs. The 
plan should include strategies for conducting ongoing needs assessments 
and developing tailored capacity-building packages to be delivered over 
the long-term and as appropriate to the identified needs.
    (7) Coordinate program activities with appropriate national, 
regional, State, and local HIV prevention programs, capacity-building 
providers, and community planning groups.
    (8) Disseminate community engagement and development activities 
around HIV education and prevention at CDC grantee meetings, site 
visits, HIV prevention conferences and in publications and manuals.

4. Priority Area (4): Strengthening HIV Prevention Community Planning

a. Eligibility
    Eligible applicants are national minority organizations as lead 
organizations within a coalition serving a specific racial/ethnic 
minority group within all four regions, or a regional minority 
organization as the lead organization within a coalition serving a 
specific racial/ethnic minority group within all four regions. 
Applicants must meet the following criteria:
    (1) Have a currently-valid IRS Tax Determination 501(C)3 status.
    (2) Have a documented and established 3-year record of service 
providing capacity-building assistance in strengthening HIV Prevention 
Community Planning.
    (3) Have a governing body composed of greater than 50 percent of 
the racial and ethnic minority population to be served.
    (4) Have greater than 50 percent of key positions in the 
organization, including management, supervisory, administrative, and 
service provision positions filled by persons of the racial and ethnic 
minority group to be served (for example, executive director, program 
director, fiscal director, technical assistance provider, trainer, 
curricula development specialist, or group facilitator).
    Members of the coalition must include, at a minimum, an 
organization located within each of the four regions. The lead 
applicant can represent one of the four regions. Applicants must apply 
to serve no more than one of the four major racial/ethnic groups.
b. Availability of Funds
    Up to 1.5 million is expected to be available to fund up to 4 
programs. It is expected that the awards will begin in March, 2000, and 
will be made for a 12-month budget period within a project period of up 
to five years.
c. Funding Priorities
    In making funding decisions, efforts will be made to ensure that 
(1) capacity-building assistance is available for all four regions and 
all four major ethnic/racial groups, and (2) funding for capacity-
building assistance is distributed in proportion to the HIV/AIDS 
disease burden for the four major racial and ethnic minority 
populations.
d. Program Requirements
    The program requirements are as follows:
    (1) Develop regional action plans to provide capacity-building 
assistance to community planning groups (CPGs) to improve the ``Parity, 
Inclusion and Representation'' of racial and ethnic minority 
populations in State and local HIV prevention community planning 
groups.
    (2) Develop regional action plans to provide capacity-building 
assistance to CBOs and other community stakeholders that will increase 
their knowledge, skill and involvement in HIV prevention community 
planning.
    (3) Provide capacity-building assistance to CPGs, CBOs, and 
community stakeholders to strengthen the participation of racial and 
ethnic minority individuals in HIV Prevention Community Planning and 
the effectiveness of HIV Prevention Community Planning. Examples 
include, but are not limited to, conflict management, understanding 
community planning, prioritization strategies, leadership development, 
group and meeting facilitation, cultural competence, and public health 
policy analyses (a more complete list will be provided in the program 
announcement). These services are to be provided through the use of the 
following mechanisms: Information Transfer, Skills Building, Technical 
Consultation, Technical Services, and Technology Transfer.
    (4) Create, utilize, and support regionally-based resource networks 
that include the applicant and coalition members' current and proposed 
staff, researchers, academicians, consultants, and other subject matter 
experts, and may include collaborative relationships. Emphasize the use 
of locally-based consultants and experts. Supportive services for the 
resource networks include, but are not limited to, developing training 
materials (information transfer), diffusion of best program practices 
and intervention models (technology transfer), and conducting training 
(skills building) for consultants to help them deliver effective and 
efficient services that follow national standards of practice and 
compliment CDC's standards and expectations for conducting effective 
community planning and HIV prevention services.
    (5) Develop and implement a plan for targeting, engaging, and 
maintaining long-term capacity-building relationships with CPGs, CBOs, 
and community stakeholders. The plan should include strategies for 
conducting ongoing needs assessments and developing tailored capacity-
building packages to be delivered over the long-term and as appropriate 
to the identified needs. This plan must be shared with the appropriate 
health departments and CPGs.
    (6) Identify, collaborate with, and complement the capacity-
building resources currently available in the region to avoid 
duplication of effort.
    (7) Develop and implement a system that responds to requests for 
assistance in strengthening HIV Prevention Community Planning. This 
system must include mechanisms for assessing and prioritizing requests; 
linking requests to other capacity-building resources and to services 
provided in Priority Areas (1), (2) and (3); delivering services; and 
conducting quality assurance.
    (8) Ensure that capacity-building assistance is allocated according 
to priority needs for ``Community Planning Participation and 
Effectiveness'' in CPGs needing increased Parity,

[[Page 48653]]

Inclusion and Representation among racial and ethnic minority members 
and community stakeholders.
    (9) Design a marketing plan that promotes and educates CBOs and 
community stakeholders about the HIV prevention community planning 
process.
    (10) Coordinate program activities with appropriate national, 
regional, State, and local HIV prevention programs, capacity-building 
providers, and community planning groups.

D. Evaluation Criteria

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

1. Applicant Organization's Experience and Capacity
2. Justification of Need [Priority Area (3) only]
3. Program Plan
4. Program Evaluation Plan
5. Communication and Dissemination Plan
6. Plan for Acquiring Additional Resources
7. Budget and Staffing Breakdown and Justification (not scored)
8. Training and Technical Assistance Plan (not scored)

    Site visits by CDC staff may be conducted before final funding 
decisions are made. A fiscal Recipient Capability Assessment (RCA) may 
be required of some applicants before funds are awarded.

    Dated: August 31, 1999.
Joseph R. Carter,
Associate Director for Management and Operations, Centers for Disease 
Control and Prevention.
[FR Doc. 99-23152 Filed 9-3-99; 8:45 am]
BILLING CODE 4163-18-P