[Federal Register Volume 66, Number 72 (Friday, April 13, 2001)]
[Notices]
[Pages 19168-19173]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-9153]


-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention

[Program Announcement 01046]


Support State Oral Disease Prevention Programs; Notice of 
Availability of Funds

A. Purpose

    The Centers for Disease Control and Prevention (CDC) announces the 
availability of fiscal year (FY) 2001 funds for a cooperative agreement 
program to ``Support State Oral Disease Prevention Programs''. This 
program addresses ``The Healthy People 2010'' focus areas of Oral 
Health, Public Health Infrastructure, and Educational and Community-
Based Programs. For additional Healthy People 2010 information please 
see AR-11 in Attachment I.
    The purpose of this program is to establish, strengthen and expand 
the capacity of states, territories, and tribes to plan, implement, and 
evaluate oral disease prevention and health promotion programs, 
targeting populations and disparities, as outlined in ``Oral Health in 
America: A Report of the Surgeon General'', see appendix IV. These 
programs may include addressing dental caries, periodontal diseases, 
oral and pharyngeal cancers, and other oral conditions considered to be 
public health problems. With enhanced capacity, States can direct and 
integrate strategies and resources, serving as the linking agent for 
collaboration between the federal, state, and local levels, including 
both the private and public sectors, in support of improved oral health 
outcomes. Competitive cooperative agreements with state health 
departments or agencies are announced for:

Part A: CORE

    To assist States, territories, and tribes in establishing, 
strengthening or expanding oral health core capacity and infrastructure 
to the level required for effective programs. For more information on 
the components of state oral health programs as outlined in the 
Association of State and Territorial Dental Directors' ``Building 
Infrastructure and Capacity in State and Territorial Oral Health 
Programs'' see Appendices I and IV.
    It is expected that CORE funding will be used to establish, 
strengthen and expand core capacity and infrastructure which may 
include, but not be limited to, support for (1) oral health program 
leadership (e.g., state dental director); (2) epidemiologic expertise 
needed to collect and analyze data, monitor oral health status, risk 
behaviors, preventive interventions and programs, and target 
intervention efforts; and (3) coordination and/or management of 
PREVENTION INTERVENTION(S) (e.g., prevention program management and/or 
coordination, support staff and community health awareness, education 
and health awareness).

Part B: Prevention Interventions

    To provide funding to support the establishment, enhancement or 
expansion of oral health disparity reduction programs once adequate 
capacity and infrastructure are in place. For more information on 
community-based oral disease prevention strategies, see Appendix IV, 
``The Community Guide to Preventive Services''. Prevention programs 
are:
    B-(1) Community water fluoridation; or
    B-(2) School based or school linked dental sealant programs.

B. Eligible Applicants

Limited Competition

    Assistance will be provided only to the health departments of 
States or their bona fide agents, including the District of Columbia, 
the Commonwealth of Puerto Rico, the Virgin Islands, the Commonwealth 
of the Northern Mariana Islands, American Samoa, Guam, federally 
recognized Indian tribal governments, the Federated States of 
Micronesia, the Republic of the Marshall Islands, and the Republic of 
Palau. In consultation with States, assistance may be provided to 
political subdivisions of States.
    Applicants may apply for assistance under Part A or Part A and Part 
B. All applicants are required to demonstrate the existing oral health 
program components as described under CORE (Part A). Applicants may 
also request support under Prevention Interventions (Part B), for 
either community water fluoridation (B-(1)), or school-based or school-
linked dental sealants (B-(2)), but not both.
    All applicants are eligible for CORE (Part A) funding. Eligible 
applicants or their bona fide agents for Prevention Interventions (Part 
B) are applicants successfully competing for CORE (Part A) and are not 
excluded as follows:
Part B-(1) Community water fluoridation
    Applicants receiving funding for community water fluoridation under 
CDC's Program Announcement 99111, Water Fluoridation Assistance 
Program, are not eligible to apply for Part B-(1), but are eligible to 
apply for funding under Part B-(2).
Part B-(2) School-based or school-linked dental sealants
    Applicants receiving funding for school-based or school-linked 
dental sealants under CDC's Program Announcement 99071, Oral Disease 
Prevention in School-Aged Children Using School-based or School-linked 
Oral Health Programs, are not eligible to apply for Part B-(2), but are 
eligible to apply for funding under Part B-(1).
    In order to compete for funding under Part B, the applicant must 
either demonstrate the current existence of oral health program 
components, or apply and be approved for funding to establish, 
strengthen, or expand components under Part A.

    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 $1.2 million is available in FY 2001 to fund 
approximately 3 to 6 awards.

Part A: Core

    Approximately $800,000 is available for 3 to 6 CORE awards. It is 
expected that the average award will be $200,000.

Part B: Prevention Interventions

    Approximately $400,000 is available for approximately 3 to 4 
Prevention Intervention awards. It is expected that the average award 
will be $80,000.

B-(1) Approximately $200,000 for approximately 2 awards for community 
water fluoridation.
B-(2) Approximately $200,000 for approximately 2 awards for school-
based or school-linked dental sealant programs.

    It is expected that awards will begin on or about July 1, 2001, and 
will be made for a 12-month budget period within a project period of up 
to five years. Funding estimates may vary and are subject to change.
    Continuation awards within the project period will be made on the 
basis

[[Page 19169]]

of satisfactory progress as evidenced by required reports and 
evaluation findings and the availability of funds.
Direct Assistance
    You may request federal personnel as direct assistance in years two 
through five, in lieu of a portion of financial assistance.
Use of Funds
    Applicants may not use these funds to supplant oral health program 
funds from local, state, or federal (e.g., Preventive Health and Health 
Services Block Grant). Applicants must maintain current levels of 
support dedicated to oral health from these other sources. Funding 
received under this program announcement cannot be used for the 
purchase of dental services.
    CORE funding may be used to establish or enhance needed oral health 
core capacity and infrastructure. Funding for core capacity may 
include, but not be limited to support for:
    (1) Oral health program leadership (e.g., state dental director).
    (2) Epidemiologic expertise.
    (3) Coordination and/or management of oral health Prevention 
Intervention, and efforts in oral health awareness, health 
communication, and education.
    (4) Support infrastructure needed to monitor and maintain the 
quality of water fluoridation (e.g., fluoridation specialist), 
including Information Technology equipment.
    (5) Establish/manage state oral health coalition or advocacy group.
    (6) Evaluate program accomplishments, including the processes and 
support to the coalition.
    Prevention Intervention funding may be used to establish, enhance 
and/or expand program for:
(1) B-(1) Community Water Fluoridation Programs
    a. Training and development of training materials for State 
fluoridation engineers and water plant operators.
    b. Development of educational materials on the benefits of water 
fluoridation.
    c. Support to monitor the quality of water fluoridation.
    e. New and/or replacement fluoridation equipment, if needed.
    f. Evaluation of progress of a community water fluoridation 
program.
    g. Surveillance of ongoing fluoride systems.
    h. Participation in CDC's Water Fluoridation Reporting System 
(WARS).
(2) B-(2) School-based or school-linked dental sealant programs
    a. Program coordination or management.
    b. Assessment of extent to which schools within the State are 
incorporating prevention oriented oral health information, prevention 
or treatment services.
    c. Linkage and coordination activities resulting in more school-
aged children with dental sealants.
    d. Implementation of program activities.
    e. Evaluation of program outcomes.
    Pending the availability of funds:
    (1) Purchase of dental sealant materials.
    (2) Purchase of portable dental sealant equipment, if needed.
Recipient Financial Participation
    Applicants requesting funding for community water fluoridation 
equipment under B-(1) of the Prevention Interventions (Part B), will be 
required to provide matching funds. Matching funds are required from 
state and/or local sources in an amount of not less than $1 for each $3 
of federal funds awarded for community water fluoridation equipment 
under this program announcement. Matching funds may be in cash or its 
equivalent, including donated or in-kind appropriate equipment, 
supplies and or services.
    CDC funding covers some of the costs of oral health core capacity, 
infrastructure and community-based prevention interventions, but it is 
not intended to fully support all aspects of the oral health program.

D. Program Requirements

    In conducting activities to achieve the purpose of this program, 
the recipient will be responsible for the activities under 1 and 2 
(Recipient Activities). CDC will be responsible for the activities 
listed under 3 (CDC Activities).

(1) Recipient Activities (CORE Part A)

    a. Describe the oral health disparities within the state and 
document unmet oral health needs of target populations and the existing 
oral health assets (e.g., professional dental/dental hygiene schools, 
prevention interventions within the state).
    b. Describe a feasible, measurable and realistic one year plan for 
reducing disparities in oral health. The one year plan must be in the 
context of the five year plan for this project. Applicants will be 
expected to annually update their one year plan.
    c. Establish a coalition to assist in the formulation of plans, 
guide project activities, and identify additional financial resources 
for this project, including state, local and private sources. (This 
committee should be representative of stakeholder organizations within 
the state (e.g., state and local agencies, dental societies, public 
awareness groups, consumer groups, businesses)).
    d. Based on the oral health indicators consistent with the National 
Oral Health Surveillance System (NOHSS) and WFRS, establish and 
maintain a surveillance system to:
    (1) Monitor state-specific, population-based oral disease burden 
and track oral disease trends; and
    (2) Measure changes in program capacity and community water 
fluoridation access and quality.
    e. Identify prevention opportunities for reducing disparities in 
oral health and opportunities for collaboration with state and local 
partners, including changes in policy and communication and education.
    f. Build linkages with partners to increase community capacity to 
address oral health issues.
    g. Integrate, coordinate and implement population-based 
interventions.
    h. Evaluate, document, and share state program accomplishments, 
best practices, lessons learned, and program costs. For more detailed 
information on evaluation, refer to ``Framework for Program Evaluation 
in Public Health''. For more information, see Appendix IV.

(2) Recipient Activities (Prevention Interventions (Part B))

a. Community water fluoridation (B-(1))
    (1) Describe and document the unmet needs in community water 
fluoridation, oral health needs of target populations, and existing 
oral health assets (e.g., dental/dental hygiene schools, state 
fluoridation coordinator, fluoridation training or education programs) 
within the state.
    (2) Support infrastructure for the coordination and management of 
community water fluoridation programs and the infrastructure needed to 
monitor and maintain the quality of community water fluoridation.
    (3) Develop or purchase and disseminate educational materials to 
increase awareness of the benefits of community water fluoridation.
    (4) Provide and/or develop fluoridation training and fluoridation 
training materials for fluoridation engineers and water plant 
operators.
    (5) Implement community-based health awareness:
    a. Outline the nature and scope of the oral disease burden;
    b. Target at-risk sub-populations or oral disease conditions; and

[[Page 19170]]

    c. Evaluate the program, based on a clear evaluation strategy.
    (6) Purchase new and/or replacement fluoridation equipment for 
community water systems, as needed.
    (7) Evaluate community water fluoridation program accomplishments.
    (8) Participate in CDC's (WFRS).
b. School-based or school-linked dental sealants (B-2)
    (1) Describe and document the unmet oral health needs of target 
populations, number of eligible public or secondary schools, and 
existing oral health assets (e.g., dental/dental hygiene schools, oral 
disease prevention programs) within the state.
    (2) Document collaborative working relationships between the state 
health department and the state educational agency and formal 
agreements (e.g., MOA).
    (3) Support infrastructure for the coordination and management of 
school-based or school-linked dental sealant programs.
    (4) Assess, implement, integrate and/or strengthen coordination of 
oral health education, prevention and linkages to preventive and 
treatment services within existing school health or coordinated 
(comprehensive) school health programs, including school-based health 
centers.
    (5) Develop school-based or school-linked dental sealant programs 
targeting public elementary or secondary schools located in:
    a. Urban areas, and in which more than 50% of the student 
population of that school or school entity is participating in federal 
or state free and reduced meal programs; or
    b. Rural school districts having a median income that is at or 
below 235 percent of the poverty line, as defined in section 673(2) of 
the Community Services Block Grant Act (42 U.S.C. 9902(2)).
    (6) Enhance linkages between coordinated (comprehensive) school 
health programs and oral health treatment providers and/or services for 
at-risk children.
    (7) Evaluate the accomplishments and effectiveness of the 
implemented dental sealant program.

(3) CDC Activities

    a. Update and provide information related to the purposes or 
activities of the program announcement and cooperative agreement 
program.
    b. Provide programmatic and technical assistance for recipients and 
their stakeholders and partners through programmatic and technical 
consultation, workshops, information exchanges, and other forms of 
guidance, assistance, and information sharing to:
    (1) Assist the recipient in the assessment the oral health status 
and behaviors of target sub-populations;
    (2) Assist the recipient to design and implement strategies for 
Prevention Interventions based on best available science;
    (3) Assist the recipient to design, evaluate and monitor the 
effectiveness of their Prevention Interventions;
    (4) Distribute information documented on lessons learned, best 
practices and program costs; and
    (5) Assist in the enhancing of recipients to evaluate state core 
capacity and their oral health program.
    c. Communicate and share information, evaluations, data, and 
programmatic activities with other recipients and partners, as 
appropriate.
    d. Coordinate conference calls, workshops and other info-sharing 
opportunities, as appropriate.

E. Application Content

Competing Applications

    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.
    For the CORE (Part A), the narrative should be no more than 32 
double-spaced pages. For each Prevention Intervention (Part B-(1) or B-
2)) the narrative should be no more than 19 double-spaced pages. The 
application should be printed on one side with one inch margins, and 12 
point Universal unreduced font.
    An application, either requesting assistance for or satisfactory 
demonstration of existing CORE (Part A), is required of all applicants. 
The Prevention Interventions (Part B) is optional.

Application Content

(CORE Part A)
(1) Executive Summary (not to exceed 4 pages)
    The applicant should provide a clear, concise 4 page written 
summary to include
    a. Synthesis of the need for oral health programs to reduce 
disparities.
    b. Changes in infrastructure required to support the proposed oral 
health disparity programs.
    c. Major proposed objectives for implementation of the operational 
plan.
    d. Amount of federal funding requested for Part A and Part B of 
this cooperative agreement.
(2) Statement of Need (not to exceed 7 pages)
    a. Describe the oral health disparities within the State. 
Applicants should indicate specific sub-populations and the source(s) 
of data provided.
    b. Describe the current assets and capacity of the State to reduce 
identified disparities with existing resources (e.g., private dental 
care providers, dental schools, state and local dental public health 
programs, Medicaid and States Children's Health Insurance Plan 
(SCHIP)).
    c. Identify barriers and facilitators likely to affect the 
reduction of oral health disparities identified within various state 
sub-populations.
    d. Describe the gaps in statewide infrastructure affecting the 
capability of the applicant to perform core functions and operate 
prevention programs to reduce the identified oral health disparities.
(3) Goals and Objectives (not to exceed 5 pages)
    a. Design a logic model for your state oral health program. See 
APPENDIX II for a general logic model. Incorporate planned PREVENTION 
INTERVENTIONS if appropriate, into your state oral health logic model.
    b. Goals: List feasible, realistic goals related to the logic model 
to be achieved during the budget period and during years two through 
five (project period).
    c. Objectives: Provide specific, time-phased and measurable 
objectives to accomplish each goal related to your logic model. State 
how the achievement of the objectives will contribute to meeting the 
goal.
(4) Operational plan (not to exceed 5 pages)
    a. Describe the operational plan for achieving each of the 
objectives in Section 1 above.
    b. The operational plan should describe activities planned to 
complete each of the objectives. Applicants should link each time-
phased objective with the activities intended to support that 
objective.
    c. The operational plan should establish a time line for the 
completion of each component or major activity.
    d. Identify the specific individual (person) responsible for each 
objective or activity.

[[Page 19171]]

(5) Evaluation Plan (not to exceed 6 pages)
    Describe the plan for monitoring progress toward achieving the 
objectives stated in Section 1 above.
    a. Indicate how the applicant plans to measure the achievement of 
each objective.
    b. For the above objectives, specify measures, data collection 
protocols, and data quality required to obtain needed information for 
evaluation activities.
    c. Using your logic model as a framework, specify
    (1) The indicators for process and outcome objectives,
    (2) Expected increase in capacity of the state oral health program, 
delivery systems, and communities as appropriate,
    (3) Changes in oral health outcomes due to oral disease reduction 
programs.
    d. Plans for analysis, interpretation, and reporting of evaluation 
findings.
    e. Plans for use of evaluation findings to strengthen the oral 
health program, support policies, and improve oral health outcomes.
    f. Provide a time-line for the completion of the evaluation.
(6) Program Management (not to exceed 5 pages)
    a. Describe the employing agencies or institutions, as well as 
professional backgrounds of existing or proposed staff that will be 
responsible for each functional aspect involved with this project, 
including percent of time commitment. Include Cum Vitas as 
appropritate.
    b. Describe the qualifications of in-kind and project budgeted 
staff.
    c. Provide evidence of state support for the proposed project.
    d. Describe how the coalition will be involved in the planning, 
implementation, and evaluation of the proposed project.
    e. Describe the management team and how they will coordinate 
responsibility for different program aspects.
    f. Identify staff that will direct the evaluation efforts and 
oversee any additional team members assigned to evaluation tasks. 
Provide a detailed description of expertise, experience, and 
delineation of staff, and responsibilities for the program evaluation 
team.
(7) Budget and Accompanying Justification (no page limitation)
    Submit a detailed budget for CORE (Part A), and line-item 
justification that is consistent with the purpose of the program and 
the proposed project objectives and activities, using the format of the 
sample budget provided in appendix III.
    To the extent necessary, applicants are encouraged to include 
travel for up to four (4) persons associated with this project to each 
attend up to three (3) workshops, training courses, or technical 
assistance meetings. For the purpose of the initial funding period, the 
applicant should budget for the workshops, training courses, and 
technical assistance meetings to be held in Atlanta, Georgia.
    To the extent necessary, applicants are encouraged to include 
travel for two (2) staff or selected representatives to annually 
participate in the National Oral Health Conference. For the purpose of 
the initial funding period, the applicant should budget for the 2002 
National Oral Health Conference to be held in Boston, MA.

Application Content

Prevention Interventions (Part B)
(1) Executive Summary (not to exceed 4 pages)
    The applicant is asked to provide a clear, concise 4 page written 
summary to include:
    a. Synthesis of the need for oral health programs to reduce 
disparities;
    b. Changes in infrastructure required to support the proposed oral 
health disparity programs;
    c. Major proposed objectives for implementation of the operational 
plan; and
    d. Amount of federal funding requested for Part A and Part B of 
this cooperative agreement.
(2) Statement of Need (not to exceed 7 pages)
    The applicant is encouraged to reference their CORE Statement of 
Need section as necessary. Be sure to describe the need for Prevention 
Interventions (Part B-(1) or B-(2)) for which funding is being 
requested.
    a. Describe the oral health disparities within the state and how 
these areas relate to community water fluoridation and school-linked/or 
school-based dental sealant programs. Applicants should indicate 
specific sub-populations and the source(s) of data provided.
    b. Describe the current assets and capacity of the state to reduce 
identified disparities with existing resources (e.g. private dental 
care providers, dental schools, state, and local dental public health 
programs, Medicaid and States Children's Health Insurance Plan 
(SCHIP)).
    c. Identify barriers and facilitators likely to affect the 
reduction of oral health disparities identified within various state 
sub-populations.
    d. Describe the gaps in statewide infrastructure affecting the 
capability of the applicant to perform core functions and operate 
prevention programs to reduce the identified oral health disparities.
(3) Goals and Objectives (not to exceed 1 page)
    a. Goals: List realistic goals related to the logic model to be 
achieved during the budget period and during years two through five 
(project period).
    b. Objectives: Provide specific, time-phased and measurable 
objectives to accomplish each goal as related to your logic model. 
Reference Section 3 of your CORE Goals and Objectives as appropriate or 
Appendix II for more information. State how the achievement of the 
objective will contribute to meeting the goal.
(4) Operational plan (not to exceed 3 pages)
    a. Describe the operational plan for achieving each of the 
objectives in Section 1 above.
    b. The operational plan should describe activities planned to 
complete each of the objectives. Applicants should link each time-
phased objective with the activities intended to support that 
objective.
    c. The operational plan must establish a time line for the 
completion of each component or major activity.
    d. Identify which individual will be responsible for each objective 
or activity.
(5) Evaluation Plan (not to exceed 2 pages)
    Describe the plan for monitoring progress toward achieving the 
objectives stated in Section 1 above.
    a. Indicate how the applicant plans to measure the achievement of 
each objective.
    b. For the above objectives, specify measures, data collection 
protocols, and data quality required to obtain needed information for 
evaluation activities.
    c. Using your logic model as a framework, specify
    (1) The indicators for process and outcome objectives,
    (2) Expected increase in capacity of the state oral health program, 
delivery systems, and communities as appropriate,
    (3) Changes in oral health outcomes due to oral disease reduction 
programs.
    d. Plans for analysis, interpretation and reporting of evaluation 
findings.
    e. Plans for use of evaluation findings to strengthen the oral 
health program, supporting policies and improve oral health outcomes.

[[Page 19172]]

    f. Provide a time line for the completion of the evaluation.
(6) Program Management (not to exceed 2 pages)
    a. Describe the employing agencies or institutions, as well as 
professional backgrounds of existing or proposed staff that will be 
responsible for each functional aspect involved with this project, 
including percent of time commitment.
    b. Describe the qualifications of in-kind and project budgeted 
staff.
    c. Provide evidence of state support for the proposed project.
    d. Describe how the coalition will be involved in the planning, 
implementation, and evaluation of the proposed project.
    e. Describe the management team and how they will coordinate 
responsibility for different program aspects.
    f. Identify staff that will direct the evaluation efforts and 
oversee any additional team members assigned to evaluation tasks. 
Provide a detailed description of expertise, experience and areas of 
responsibility for the program evaluation.
    g. If an applicant is requesting funding for Prevention 
Interventions (Part B-(2)), (e.g., dental sealant program) provide a 
copy of an appropriate MOA, or other written agreement(s) between the 
state heath department and other State agencies (e.g., state 
educational agency). If an appropriate MOA, or other written 
agreement(s) are unavailable, the applicant must provide letters from 
both agencies showing a commitment for the development of an 
appropriate MOA, or other written agreement(s) is encouraged.
(7) Budget and Accompanying Justification (no page limitation)
    Submit a detailed separate budget for the Prevention Interventions 
(Part B) and line-item justification that is consistent with the 
purpose of the program and the proposed project objectives and 
activities and using the format of the sample budget provided in 
Appendix III. If applicant is requesting support for community water 
fluoridation (Part B-(1)), please include the match portion (refer to 
Recipient Financial Participation under section C) in your budget. 
Include type (cash, or cash equivalent, in-kind or donated), source, 
and how the valuation was determined.
Direct Assistance
    To request new direct-assistance assignees, include:
    (1) number of assignees requested;
    (2) description of the position and proposed duties;
    (3) ability or inability to hire locally with financial assistance;
    (4) justification for request;
    (5) organizational chart and name of intended supervisor;
    (6) opportunities for training, education, and work experiences for 
assignees; and
    (7) description of assignee's access to computer equipment for 
communication with CDC (e.g., personal computer at home, personal 
computer at workstation, shared computer at workstation on site, shared 
computer at a central office).

F. Submission and Deadline

Letter of Intent (LOI)

    Prospective applicants are asked to submit a letter of intent to 
enable CDC to determine the level of interest in this announcement. 
Although a letter of intent is not required, is not binding and will 
not enter into the review of subsequent applications, the information 
that it contains will allow CDC staff to estimate the potential 
workload and to avoid conflict of interest in the review. Your letter 
of intent should include the following information. (1) Program 
Announcement number 01046, as noted above and (2) intent to request 
CoreORE and Prevention Interventions (B-(1) or B-(2)) finding. The 
letter of intent must be submitted on or before April 17, 2001, to the 
Grants Management Specialist identified in the ``Where to Obtain 
Additional Information'' section of this announcement.

Application

    Submit the original and two copies of PHS 5161-1 (OMB Number 0937-
0189). Forms are available at the following Internet address: 
www.cdc.gov/od/pgo/forminfo.htm, or in the application kit. On or 
before May 15, 2001, submit the application to the Grants Management 
Specialist identified in the ``Where to Obtain Additional Information'' 
section of this announcement.
    Deadline: Applications shall be considered as meeting the deadline 
if they are either:
    a. Received on or before the deadline date.
    b. 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.)
    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. 
Applications for Parts A and B will be individually scored. Each part 
will be allocated a total of 100 points, according to the following 
criteria. See chart below for more details.

------------------------------------------------------------------------
                                                                 Part  B-
                                                           Part  1 or  B-
                                                            A       2
------------------------------------------------------------------------
1. Statement of Need....................................     15       15
2. Goals & Objectives...................................     20       20
3. Operational Plan.....................................     30       30
4. Evaluation Plan......................................     15       20
5. Program Management...................................     20       15
6. Budget...............................................    Not   Scored
------------------------------------------------------------------------

(1) Statement of Need

    The extent to which applicant identifies specific needs related to 
the purpose of this program announcement. Disparities of specific sub-
populations have been identified along with barriers and needs. (Refer 
to Section D.1.a, D.2.a.1, and D.2.b.1 for more details.)

(2) Goals and Objectives

    The extent to which (1) applicant's logic model ties project goals 
and objectives to health outcomes, (2) goals are feasible and 
realistic, (3) objectives are realistic, time phased, and measurable 
and are linked to appropriate evaluation criteria.

(3) Operational Plan

    The adequacy of the applicant's plan to carry out the proposed 
activities supports the achievement of the objectives and seems 
realistic. The extent to which the applicant's proposed activities are 
necessary and sufficient to accomplish of each of the stated 
objectives.

(4) Evaluation Plan

    The extent to which the following are identified: (1) measures 
selected to monitor accomplishments; (2) development and implementation 
of an evaluation plan; (3) strategies for measuring program 
effectiveness, obtaining data, reporting results; (4) use of the 
results for making programmatic decisions that are feasible and result 
in improvements in the program, policies, and the state oral health 
plan. (Refer to

[[Page 19173]]

Section D.1.g, D.2.a.6.c, D.2.a.8, and D.2.b.7 for more detail.)

(5) Program Management

    The extent to which current, proposed staff and staff functions 
support the applicant's capacity to perform the project and the extent 
to which the following have been demonstrated: (1) clear delineation of 
responsibility; (2) commitment of sufficient time by key staff; (3) 
commitment of state resources to proposed project; (4) meaningful 
involvement of coalition in planning, implementation, and evaluation; 
(5) specificity and soundness of the approach for how the program will 
be managed.

(6) Budget (not scored)

    The extent to which the applicant provides a detailed and clear 
budget along with justifications, a demonstration that the proposed use 
of funding is consistent with the proposed program objectives and 
activities see the sample budget in Appendix III.

H. Other Requirements

Technical Reporting Requirements

    Provide CDC with original plus two copies of
    (1) Semi-annual progress reports. The progress reports should 
include the following for each objective involved:
    a. Progress made toward accomplishment of goals and objectives, 
including specific comparisons of actual accomplishment of objectives 
compared to the planned accomplishments for the reporting period;
    b. The reasons for slippage as appropriate; and
    c. Other pertinent information including, when appropriate, 
analysis and explanation of unexpectedly high costs for performance.
    (2) Financial status report, no more than 90 days after the end of 
the budget period.
    (3) Final financial and performance reports, no more than 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 Attachment I in the 
application kit.

AR-7  Executive Order 12372 Review
AR-9  Paperwork Reduction Act Requirements
AR-10  Smoke-Free Workplace Requirements
AR-11  Healthy People 2010
AR-12  Lobbying Restrictions

I. Authority and Catalog of Federal Domestic Assistance Number

    This program is authorized under section 301(a), 311 (b) and (c), 
317 (k)(2), and 317M of the Public Health Service Act, [42 U.S.C. 
section 241(a), 243 (b) and (c), 247b (k)(2) and 247b-14], as amended. 
The Catalog of Federal Domestic Assistance number is 93.283.

J. Where to Obtain Additional Information

    This and other CDC announcements can be found on the CDC home page 
Internet address--http://www.cdc.gov Click on ``Funding'' then ``Grants 
and Cooperative Agreements.''
    If you have questions after reviewing the contents of all the 
documents, business management technical assistance may be obtained 
from: Cynthia Collins, Grants Management Specialist, Grants Management 
Branch, Procurement and Grants Office, Centers for Disease Control and 
Prevention, Program Announcement 01046, 2920 Brandywine Road, Room 
3000; Mailstop E-18, Atlanta, GA 30341-4146; Telephone number (770) 
488-2757; Email address [email protected].
    For program technical assistance, contact: Kathleen Heiden, RDH, 
MSPH, Division of Oral Health, National Center for Chronic Disease 
Prevention and Health Promotion, Centers for Disease Control and 
Prevention (CDC), Mail Stop F-10, 4770 Buford Highway, NE, Atlanta, GA; 
Telephone number (770) 488-6056; Email Address 
[email protected].

    Dated: April 9, 2001.
John L. Williams,
Director, Procurement and Grants, Office.
[FR Doc. 01-9153 Filed 4-12-01; 8:45 am]
BILLING CODE 4163-18-P