[Federal Register Volume 67, Number 35 (Thursday, February 21, 2002)]
[Notices]
[Pages 8020-8024]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-4110]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention

[Program Announcement 02003]


Community-Based Participatory Prevention Research; Notice of 
Availability of Funds

A. Purpose

    The Centers for Disease Control and Prevention (CDC) announces the 
availability of fiscal year (FY) 2002 funds for a grant program for the 
Office of Extramural Prevention Research. This program addresses the 
``Healthy People 2010'' focus area, Educational and Community-Based 
Programs. It is also related to the Department of Health and Human 
Services Strategic Plan Goal 6: ``Strengthen the nation's health 
sciences research enterprise and enhance its productivity through the 
Prevention Research Initiative.''
    The purpose of the program is to stimulate investigator-initiated 
participatory research on community-based approaches to prevention. 
Findings from these projects should advance the practice of public 
health and policy in order to promote health and reduce disease, 
disability, and injury. Specifically, this announcement seeks to 
support multi-disciplinary, multi-level, participatory research that 
will enhance the capacity of communities and population groups to 
address health promotion and the prevention of disease, disability and 
injury.
    Multi-level research involves interventions directed at two or more 
levels, such as individual, family, neighborhood, organizational, 
broader community (e.g., city, county, state), environmental and/or 
policy or legislative levels. Community refers to populations that may 
be defined by geography, race, ethnicity, gender, sexual orientation, 
or disability or other health conditions, or to groups that have a 
common interest or cause, such as health or service agencies and 
organizations, practitioners, policy makers, or lay public groups with 
public health concerns.
    Participatory research involves collaboration with the community 
being studied, at least in formulating the research questions and in 
interpreting and applying research findings, and, if the community so 
chooses, in selecting methods and analyzing data. This announcement is 
not limited to any particular model of participatory research.
    While the direction of the research must be guided by the expressed 
needs and interests of the community engaged in the study, this program 
is especially targeted to supporting cross-cutting research (i.e., 
research that considers interventions or methods that would now or in 
the future be applicable to more than one health condition).

B. Eligible Applicants

    Applications may be submitted by public and private nonprofit 
organizations and by governments and their agencies; that is, 
universities, colleges, research institutions, hospitals, other public 
and private nonprofit

[[Page 8021]]

organizations, State and local governments 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, the Federated States of Micronesia, the Republic 
of the Marshall Islands, and the Republic of Palau, federally 
recognized Indian tribal governments, Indian tribes, or Indian tribal 
organizations.

    Note: Title 2 of the United States Code section 1611 states that 
an organization described in section 501(c)(4) of the Internal 
Revenue Code that engages in lobbying activities is not eligible to 
receive Federal funds constituting an award, grant, or loan.

    Additional applicant requirements are:
    1. A principal investigator who has conducted research, published 
the findings in peer-reviewed journals, and has specific authority and 
responsibility to carry out the proposed project.
    2. Demonstrated experience (on the applicant's project team) in 
conducting, evaluating, and publishing prevention research in peer-
reviewed journals.
    3. Effective and well-defined working relationships within the 
performing organization and with partnering communities (including 
public health agencies) that will ensure implementation of the proposed 
activities.
    4. The overall match between the applicant's proposed theme and 
research objectives, and the program's interests as described under the 
heading ``Programmatic Interests.''

C. Availability of Funds

    Approximately $13,000,000 is available in FY 2002 to fund 
approximately 30 awards. It is expected that the average award will be 
$450,000, ranging from $400,000 to $500,000. It is expected that the 
awards will begin on or about September 30, 2002, and will be made for 
a 12-month budget period within a project period of up to three years. 
Funding estimates may change.
    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.

D. Program Requirements

1. Recipient Requirements

    In conducting activities to achieve the purpose of this program, 
the recipient will be responsible for the following activities:
    Specifically, because these projects are participatory and 
community-based and embrace both research and its application, program 
applicants are expected to maximize opportunities for information 
exchange between institutional researchers and community members (even 
if the institutional researchers are also community members). 
Additionally, applicants are required to provide ``Measures of 
Effectiveness'' that will demonstrate the accomplishment of the various 
identified objectives of the grant. Measures must be objective/
quantitative and must measure the intended outcome. These Measures of 
Effectiveness (1) shall be submitted with the application and shall be 
an element of evaluation, and (2) shall be a data requirement to be 
submitted with or incorporated into the periodic progress reports. As 
part of this program, applicants must generate, on at least an annual 
basis, reports for community members that describe progress, community 
input and involvement, research project implementation, and relevant 
findings. Such reports must use plain language and accessible formats 
(e.g., print, Web, and readable from the Web by assistive technology, 
as specified by section 508 of the Workforce Rehabilitation Act), so as 
to be easily comprehended and critiqued by community members. 
Applicants must budget for production and broad dissemination of such 
reports.

2. Programmatic Interests

    Prevention research can be divided into phases that extend from (a) 
basic and descriptive research, to (b) intervention development and 
testing for efficacy and effectiveness, through (c) research on 
dissemination, translation to other populations or health issues, and 
implementation of interventions found to be effective, to (d) research 
on development and maintenance of supportive policies and environments, 
to (e) research to develop and validate surveillance and evaluation 
methods and other mechanisms to monitor the health of the public and 
the quality and impact of public health programs, services, or other 
interventions. The main foci of this announcement are items (c), (d), 
and (e).
    Applicants should use the Guide to Community Preventive Services\1\ 
as documentation of the need to test effectiveness of a specific 
population-based public health intervention. Applicants should also 
consult guidelines on participatory research, such as those provided at 
http://www.ihpr.ubc.ca/guidelines.html, and the campus-community 
partnership principles at http://futurehealth.ucsf.edu/ccph/principles.html#principles.
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    \1\ Task Force on Community Preventive Services. Introducing the 
Guide to Community Preventive Services: Methods, first 
recommendations, and expert commentary. American Journal of 
Preventive Medicine 2001;18(1S).
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    Multi-disciplinary, multi-level, participatory research into 
prevention approaches that address complex health issues common to 
communities and population groups might include (but are not limited 
to) descriptive, methodological, experimental, or quasi-experimental 
studies such as:
    a. Research on how to enhance working relationships between 
researchers and community organizations (representing practitioners, 
policy makers, or diverse lay public groups with public health 
concerns), to promote appropriate, tailored, and effective public 
health practice and/or the development or enforcement of sound public 
health law or policy. For example, a descriptive retrospective case 
study might examine the factors that appear to account for the 
successful or unsuccessful efforts of one or more communities in 
forming coalitions to bring about changes in local ordinances related 
to providing healthful food choices in cafeterias and vending machines 
in public schools. A quasi-experimental study might compare multiple 
community coalitions prospectively as they undertake such efforts with 
or without state or federal support. A methodological study might aim 
to identify and validate objective indicators of successful and 
unsuccessful community coalitions for use in survey instruments, 
surveillance, or evaluation.
    b. Research on combining previously tested elements to produce 
multi-component, multi-level interventions that can improve health 
outcomes more efficiently; address social, environmental, and economic 
determinants of health; and/or reach more diverse populations.
    c. Research on disseminating, translating (adapting), and applying 
effective, locally appropriate, and affordable interventions within or 
across communities defined by geography, interests, profession, race, 
ethnicity, gender, sexual orientation, or other health condition.
    d. Research on developing new methods for enhancing surveillance, 
needs assessments, setting of priorities, program delivery, monitoring, 
evaluation, dissemination of information, translation of research, and/
or distance learning including new uses of information technology.
    e. Research on how to increase productive participation of 
practitioners, policy makers, citizens and/or lay leaders in defining 
the

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research questions, conducting and analyzing the research, and 
interpreting and applying the research findings.
    f. Research on how to build the capacity of organizations to 
mobilize community resources to achieve disease and disability 
prevention and health promotion.
    g. Research on how to strengthen public health systems and 
services, public health infrastructure, and the community's readiness 
to respond effectively to threats or occurrences of disaster.
    h. Research on institutionalizing or sustaining programs and/or 
collaborative relationships beyond their demonstration funding.

E. Content

1. Letter of Intent (LOI)

    A non-binding LOI is requested for this program. The narrative 
should be no more than one, double-spaced page, printed on one side, 
with one inch margins, and unreduced font. It should identify the 
announcement number, name of the proposed project director, name of the 
organization, descriptive title of the proposed research, and a brief 
description of the proposed project. Your letter of intent will be used 
to allow CDC to determine the level of interest in the announcement and 
to plan the review more efficiently.

2. Applications

    Use the information in the Program Requirements, Other 
Requirements, and Evaluation Criteria sections of this announcement to 
develop the application content. Your application will be evaluated on 
the criteria listed, so it is important to follow them in laying out 
your program plan. The narrative should be no more than 25 double-
spaced pages, printed on one side, with one inch margins, and unreduced 
font.
    The grant applications should include:
    a. Justification of the research needs and explanation of the 
scientific basis for the research, the expected outcome, and the 
relevance of the findings to preventing disease, injury, and 
disability, and promoting health.
    b. Specific, measurable, and explicitly scheduled objectives.
    c. A detailed plan describing the methods by which the objectives 
will be achieved, including their sequence. A comprehensive evaluation 
plan is an essential component of the application.
    d. A description of the roles and responsibilities of the principal 
investigator and all co-investigators.
    e. A description of all project staff and their roles in the 
proposed research, regardless of their funding source. The description 
should include their titles, qualifications, experience, and 
responsibilities in the proposed research; percentage of time each will 
devote to the research; and the portion of their salaries to be paid by 
the grant.
    f. A description of any activities related to, but not supported 
by, the grant.
    g. A description of how the specified community groups, 
organizations, and other entities will be involved in the proposed 
research. The description should include a clear statement of their 
roles. Letters of support from each group, organization, and entity 
should be included in the Appendices.
    h. A detailed first year's budget for the grant with projections 
for two additional years, if applicable.
    The original application must include specific salary and fringe 
benefit amounts for individuals; however, applicant organizations have 
the option of omitting specific salary and fringe benefit amounts for 
individuals from the copies of the application that are made available 
to outside reviewing groups. To exercise this option: On the original 
and five copies of the application, the applicant must use asterisks to 
indicate those individuals for whom salaries and fringe benefits are 
not shown, but the subtotals must still be shown.

F. Submission and Deadline

Letter of Intent (LOI)

    On or before March 20, 2002, submit the requested LOI to the Grants 
Management Specialist identified in the ``Where to Obtain Additional 
Information'' section of this announcement.

Application

    Submit the original and five copies of PHS-398 (OMB Number 0925-
0001) (adhere to the instructions on the Errata Instruction Sheet for 
PHS 398). Forms are available in the application kit and at the 
following Internet address: www.cdc.gov/od/pgo/forminfo.htm.
    In addition to sending the original and five copies of the 
proposal, please also enclose a copy of the proposal on a 3.5 diskette 
in WordPerfect, Word, or ASCII format. If you have access to an 
electronic version of PHS-398 (OMB Number 0925-0001), please include 
electronic forms on the diskette. If you do not have access or 
capability to use an electronic version, please ensure that the 
following items in narrative format are included on your diskette: 
Abstract, Biographical Sketches, Research Plan (items A-I as required 
in PHS-398), and Other Support Pages. Label the diskette with your 
name, operating system, software, and proposal title (example: John 
Doe, DOS, WordPerfect 6, Engaging the Community in Securing Emergency 
Preparedness). If the title is too long, please truncate.
    On or before April 30, 2002, 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:
    1. Received on or before the deadline date; or
    2. 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 which do not meet the criteria in 1.or 2. above 
will be returned to the applicant.

G. Evaluation Criteria

Application

    Upon receipt, applications will be reviewed by CDC staff to assure 
that they are complete and comply with the section on Eligible 
Applicants. Incomplete applications and applications that are not in 
compliance will be returned to the applicant without further 
consideration. Applications that are complete and in compliance will be 
further evaluated by a dual peer review process.
    The First Stage of the Peer Review Process
    In the first stage of this process, applications will be evaluated 
by a Special Emphasis Panel (SEP) of researchers external to CDC who 
are known for their expertise in prevention research and participatory 
research.
    Each application will be subjected initially to a streamlined 
review by the SEP to determine if the application is of sufficient 
technical and scientific merit to warrant further review. Applications 
judged to be noncompetitive will be withdrawn from further 
consideration and CDC will promptly notify the principal investigator/
program director and the official signing for the applicant 
organization.
    Competitive applications will undergo full review by the SEP and 
will be scored against the following criteria:
    1. Significance--Does this study address an important problem 
related to

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the research goals outlined in the Purpose and Programmatic Interests 
sections of this document? If the aims of the application are achieved, 
how would scientific knowledge be advanced? What would be the effect of 
this study on the concepts and methods that drive this field?
    2. Approach--Are the conceptual framework, design (including 
composition of study population), methods, and analyses adequately 
developed, well-integrated, and appropriate to the aims of the project? 
Does the applicant acknowledge potential problem areas and consider 
alternative tactics?
    3. Innovation--Does the project employ novel concepts, approaches, 
or methods? Are the aims original and innovative? Does the project 
challenge existing paradigms or develop new methodologies that can 
serve as models for future research?
    4. Investigator--Is the investigator appropriately trained and well 
suited to carry out this work? Is the work proposed appropriate to the 
experience level of the principal investigator and other researchers, 
if any?
    5. Environment--Does the scientific environment in which the work 
will be done contribute to the probability of success? Do the proposed 
experiments take advantage of unique features of the scientific 
environment or employ useful collaborative arrangements? Is there 
documentation of cooperation from necessary participants in the 
project, where applicable? Is there evidence of institutional support 
and availability of resources necessary to perform the project?
    6. Human Subjects--If human subjects are involved, does the 
applicant adequately address the requirements of 45 CFR part 46 for the 
protection of human subjects? (Not scored; however, an application can 
be disapproved if the research risks are sufficiently serious and 
protection against risks is so inadequate as to make the entire 
application unacceptable.)
    7. 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. This includes:
    a. The proposed plan for the inclusion of both sexes and racial and 
ethnic minority populations for appropriate representation.
    b. The proposed justification when representation is limited or 
absent.
    c. A statement as to whether the design of the study to measure 
differences when warranted.
    d. 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.
    8. In addition to the above criteria, all applications will be 
reviewed with respect to the following:
    a. Extent of community sanction/liaison. Rationale for selection of 
the targeted community and documentation of health needs and risk 
factors. Evidence of access to, interaction with, and participation of 
the community in development and conduct of the project. Establishment 
of collaborative interactions among all project participants. Extent to 
which the design demonstrates sensitivity to cultural and socioeconomic 
factors in the community where the public health program or problem 
resides.
    b. Demonstration of effective communication channels between 
researchers and the community.
    c. Plans for useful and practical dissemination of project 
activities and findings within the affected program(s). Active 
involvement of at least one community partner is a minimal requirement 
for responsiveness to this program announcement.
    d. Appropriateness of the proposed budget, including that of the 
community partner(s), and project duration in relation to the project's 
objectives.
    e. Attempt to reduce health disparities by targeting various 
socioeconomic, racial, and ethnic groups.
    The Second Stage of the Peer Review Process A second programmatic 
review will be conducted by a chartered committee or a panel of senior 
federal officials. Awards will made based on the priority score ranking 
determined by the peer review panel and the availability of funds.

H. Other Requirements

Technical Reporting Requirements

    Provide CDC with original plus two copies of
    1. Annual progress reports. These reports should be a maximum of 
five pages in length and should include a discussion, in plain 
language, of any changes made to the research plan from the funded 
proposal, progress to date, community input and involvement, project 
implementation, and relevant findings.
    2. Annual ``Measures of Effectiveness'' reports for CDC. Annual 
reports that describe and evaluate progress toward objective/
quantitative measures of effectiveness that demonstrate the 
accomplishment of the various identified objectives of the grant. These 
reports should be submitted to CDC with the annual progress reports.
    3. Annual (or more frequent) reports for community members that 
describe progress, community input and involvement, project 
implementation, and relevant findings. Such reports must be in plain 
language and accessible formats, so as to be easily comprehended and 
critiqued by community members. These reports should be submitted to 
CDC with the annual progress reports.
    4. Financial status report, no more than 90 days after the end of 
each budget period; and
    5. 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 of the 
announcement.

AR-1 Human Subjects Requirements
AR-2 Requirements for Inclusion of Women and Racial and Ethnic 
Minorities in Research
AR-4 HIV/AIDS Confidentiality Provisions
AR-5 HIV Program Review Panel Requirements
AR-7 Executive Order 12372 Review
AR-8 Public Health System Reporting Requirements
AR-10 Smoke-Free Workplace Requirements
AR-11 Healthy People 2010
AR-12 Lobbying Restrictions
AR-15 Proof of Non-Profit Status
AR-22 Research Integrity

I. Authority and Catalog of Federal Domestic Assistance Number

    This program is authorized under section 301 of the Public Health 
Service Act, [42 U.S.C. 241], 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.''
    To receive additional written information and to request an 
application kit, call 770-488-2740. You will be asked to leave your 
name and address and will be instructed to identify the Program 
Announcement number of interest.

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    If you have questions after reviewing the contents of all the 
documents, business management technical assistance may be obtained 
from:

Juanita Crowder, Grants Management Specialist, Grants Management 
Branch, Procurement and Grants Office, Centers for Disease Control and 
Prevention, 2920 Brandywine Road, Room 3000, Atlanta, GA 30341, 
Telephone number 770-488-2734, E-mail address: [email protected].
For program technical assistance, contact: Cheryl A. Coble, Program 
Analyst, Office of Extramural Prevention Research, Public Health 
Practice Program Office, Centers for Disease Control and Prevention, 
4770 Buford Highway, MS K-56, Atlanta, GA 30341, Telephone number
770-488-8027, E-mail address: [email protected].

    Dated: February 14, 2002.
Rebecca B. O'Kelley,
Chief, International Grants and Contracts Branch, Procurement and 
Grants Office, Centers for Disease Control and Prevention (CDC).
[FR Doc. 02-4110 Filed 2-20-02; 8:45 am]
BILLING CODE 4163-18-P