[Federal Register Volume 67, Number 90 (Thursday, May 9, 2002)]
[Notices]
[Pages 31309-31312]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-11564]



[[Page 31309]]

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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention

[Program Announcement 02085]


Addressing Asthma From a Public Health Perspective: 
Implementation of State Asthma Plans; 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 cooperative agreement 
program for Addressing Asthma from a Public Health Perspective. This 
program addresses the ``Healthy People 2010'' focus areas of 
Environmental Health, Respiratory Diseases and Occupational Safety and 
Health.
    The purpose of this program is the to implement State Asthma Plans.
    Measurable outcomes of the program will be in alignment with the 
following performance goal for the National Center for Environmental 
Health (NCEH): Improve state and local public health capacity to 
prevent and control asthma.

B. Eligible Applicants

    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, the Federated 
States of Micronesia, the Republic of the Marshall Islands, the 
Republic of Palau, and federally recognized Indian tribal governments.
    If currently funded applicants under Program Announcements 99109 or 
01106 Part A apply and are selected for funding under this 
announcement, they will lose continued funding under those Program 
Announcements (see Attachments I and II).
    To be eligible, applicants must:
    1. Submit a copy of your approved, comprehensive State Asthma Plan. 
Approval can be documented with a letter from the Agency's Health or 
Medical Director and letters from key partners or by appropriate sign-
offs in the asthma plan. Plans that are pending final approval may be 
accepted if the draft plan is accompanied by letters from the Agency's 
Health or Medical Director and key partners stating their commitment to 
and approval of the plan, as well as a description of the plan's 
approval process status.
    2. Have an operational surveillance system for asthma. This may be 
demonstrated through submission of your most comprehensive published 
surveillance report(s) (at least one, no more than three) that 
describes asthma within the jurisdiction, including, if available, a 
report on asthma in the Medicaid population.
    These documents should be placed directly behind the face page 
(first page) of your application. Applications that fail to submit 
evidence requested above will be considered non-responsive and returned 
without review.

    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.

C. Availability of Funds

    Approximately $1,500,000 is available in FY 2002 to fund 
approximately two to four awards. It is expected that the average award 
will be $700,000. 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 five 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.

Use of Funds

    No research may be conducted as a part of this cooperative 
agreement.

D. Program Requirements

    In conducting activities to achieve the purpose of this program, 
the recipient will be responsible for the activities under 1. 
(Recipient Activities) and CDC will be responsible for the activities 
listed under 2. (CDC Activities).
1. Recipient Activities:
    a. Expand and continue existing surveillance efforts related to 
asthma occurrence, severity, management and other indicators in order 
to monitor the effectiveness of the intervention activities.
    b. Conduct analysis and interpretation of surveillance data and 
disseminate this data through appropriate surveillance reports to 
local, state and federal partners and agencies.
    c. Maintain existing statewide coalition and partnership activities 
to oversee implementation and evaluation of the state asthma plan. 
Expand partnership activities as appropriate.
    d. Implement defined aspects of the completed state asthma plan. 
Assure institutionalization of asthma intervention activities.
    e. Maintain existing asthma related activities currently underway 
in the health agency and expand as appropriate.
    f. For all activities, develop and implement an evaluation plan 
which measures the effectiveness of your activities involved in each 
step indicated and document lessons learned.
    g. Participate in CDC convened meetings and periodic conference 
calls for grantees to share experiences, data and materials.
2. CDC Activities
    a. Participate with recipients in further development and 
enhancement of existing surveillance activities, including data 
collection methods and data analysis.
    b. Collaborate with recipients on data analysis and interpretation 
of individual state surveillance data and release of surveillance 
reports.
    c. Provide technical and scientific assistance and consultation on 
program development, implementation of asthma plan and intervention 
activities and operational issues.
    d. Serve as a facilitator for communication between states to share 
expertise regarding various topics, including the expansion and 
development of partnerships, implementation of state plans, 
surveillance activities and others.
    e. Facilitate working group conference calls with recipients.
    f. Collaborate on the development of an appropriate evaluation plan 
which measures the effectiveness of recipient activities involved in 
each step indicated.
    g. Convene meetings and periodic conference calls for grantees to 
share experiences, data and materials.

E. Content

Letter of Intent (LOI)

    A nonbinding LOI is required for this program. The Program 
Announcement title and number must appear in the LOI. The narrative 
should be no more than two pages, single-spaced, printed on one side, 
with one inch margins and at least 12 point font. Your letter of intent 
will be used to ascertain the level of interest in this announcement 
and to assist in determining the size and composition of the 
independent review panel and should include the following information:
    1. Name and address of organization.
    2. Contact person and telephone number.

[[Page 31310]]

Applications

    The Program Announcement title and number must appear in the 
application. The narrative should be no more than 30 double-spaced 
pages, printed on one side, with one-inch margins, and at least 12 
point font.
    Excluding documents requested in this announcement (e.g., asthma 
plan, surveillance reports, letters of support, organizational chart, 
CVs/resumes) attachments/appendices should be limited to 20 pages. The 
application and attachments/appendices must be submitted unstapled, 
one-sided and unbound.
    The applicant should document assurance of their ability to access 
and utilize funds, if awarded, for the purposes of this announcement.
    The applicant should document assurance of the ability of project 
staff to travel to Atlanta to participate in the CDC National Asthma 
Conference and/or grantee meetings and willingness to share 
innovations, information, data and materials.
    Include each of the following sections:
1. Description of Problem
    Describe what is known of the asthma problem in the State or 
jurisdiction. Include a description of populations at increased risk of 
poorly controlled asthma within the jurisdiction (e.g., ethnic groups, 
socio-economic groups, geographic areas). Attach published surveillance 
reports that describe asthma within the jurisdiction including, if 
available, reports on asthma in the Medicaid population and for the 
enrollees of the State Children's Health Insurance Program (SCHIP).
2. Approved Asthma Plan
    Describe how the asthma plan and the plan's implementation strategy 
were developed. Include a list of the partners that participated in the 
development of the plan (if not listed in the provided plan). Also, 
show support for the plan as demonstrated by a letter from the Agency's 
Health or Medical Director and from key partners. The approved plan (or 
attachments to that plan) must include:
    a. An assessment of the asthma burden in the state/territory/tribe 
using population-based data.
    b. Measurable objectives that address people with asthma across the 
state/territory/tribe and include people with asthma of all ages, race/
ethnic groups and gender.
    c. A description of how the plan's implementation would reach all 
persons with asthma in the state regardless of age, race/ethnicity or 
gender.
    d. Proposed strategies to meet the plan's objectives, including, 
but not limited to, efforts to (1) expand surveillance for asthma, (2) 
improve provider compliance with the National Asthma Education and 
Prevention Program's (NAEPP) ``Guidelines for the Diagnosis and 
Management of Asthma,'' (Clinical Practice Guidelines, Guidelines for 
the Diagnosis and Management of Asthma. National Institutes of Health 
(NIH), National Heart, Lung and Blood Institute. NIH Publication No. 
97-4051, April 1997), (3) improve the skills of patients and families 
affected by asthma to manage the disease.
    e. A methodology for evaluating the asthma plan's implementation 
and measure progress toward objectives described in ``b.'' above.
    f. An assessment of existing and needed resources to implement 
these strategies.
3. Partnership Oversight
    Describe how the partners who developed the asthma plan will 
continue to work together to implement and monitor the intervention 
activities and modify the asthma plan over time.
4. Surveillance and Evaluation
    Describe the surveillance system currently in place within the 
health agency and its ability to support the evaluation of asthma 
intervention activities and a continued planning process. All asthma 
indicators assessed over time should be noted including, but not 
limited to, prevalence, mortality, hospitalization, emergency care and 
measures of disease management status (refer as needed to the 
surveillance reports that were included under Section 1. Description of 
the Problem). Ability to provide measurement of progress in meeting all 
plan objectives should be addressed. Intentions to use Behavioral Risk 
Factor Surveillance System (BRFSS) asthma module(s) and the frequency 
of use should be included; also, plans for further development of the 
asthma surveillance activity should be presented in detail. 
Surveillance of work-related/occupational asthma is encouraged and must 
be discussed. This section might include the applicant's definition of 
work-related/occupational asthma (e.g., Surveillance of Work-Related 
Asthma in Selected U.S. States Using Surveillance Guidelines for State 
Health Departments--California, Massachusetts, Michigan and New Jersey, 
1993-1995--MMWR June 25, 1999/48(SS03); 1-20). Discussion might include 
which existing databases will be used to collect and analyze work-
related/occupational asthma.
5. Implementation of the Asthma Plan
    a. Identify the specific objectives of the asthma plan that are to 
be focused upon and the specific intervention strategies from the plan 
to be implemented that will use the resources provided through this 
announcement. Interventions that change systems and individuals to 
provide improved disease management or education are preferred. Provide 
specific, realistic, measurable and time-phased process objectives for 
each of the strategies and interventions to be implemented that reflect 
the five-year period of this announcement. Describe how both process 
and outcome objectives for all activities will be evaluated and 
documented.
    b. Demonstrate the scientific basis for proposed interventions. If 
proposed interventions include case management programs, assure that 
patients enrolled are those with moderate to severe persistent asthma 
and are receiving care consistent with the NAEPP Guidelines for the 
Diagnosis and Management of Asthma. Explain how it was decided by 
members of the statewide partnership group that these particular 
objectives and strategies will be addressed.
    c. Describe which objectives and strategies from the plan are 
currently being addressed utilizing other resources.
    d. Demonstrate that the plan addresses asthma in persons of all 
ages, race/ethnic groups and gender, and includes key environments in 
which persons with asthma spend significant time (e.g., home, school, 
workplace). Include a discussion on work-related/occupational asthma in 
the plan. This discussion might include the guidelines that the 
applicant will use for work-related/occupational asthma (e.g., Minimum 
and Comprehensive State-Based Activities in Occupational Safety and 
Health, June 1995--DHHS (NIOSH) Publication No. 95-107).
    e. Explain how the resources from this solicitation will be 
utilized to leverage additional resources for implementation of other 
components of the plan. Explain how interventions will be 
institutionalized and sustained without funding under this 
announcement.
6. Management and Staffing for Intervention Activities
    a. Describe existing asthma program staff within the health 
department and their management structure, the current function of the 
asthma staff and their role in this project plan. Provide an 
organizational chart for the health agency that identifies the unit(s) 
that

[[Page 31311]]

will participate in the proposed activities. If plan implementation 
will be coordinated from an office other than within the health 
department, describe that office and its staff, the oversight of that 
office and its staff, an organizational chart and the ties of that 
office to the health agency.
    b. Describe asthma surveillance staff and their role within the 
project activities. Describe all staff who will be responsible for 
oversight of program evaluation.
    c. If intervention activities will be implemented through 
contracts, define the process by which these contracts will be awarded 
and monitored.
    d. Describe staff available or to be hired for those aspects of the 
plan to be implemented with these resources. For each position, 
describe the primary roles and responsibilities over the five-year 
grant period.
    e. Include the specific staff activities that will contribute to 
meeting each objective that is to be addressed. Discuss the role of the 
statewide partnership group in oversight of intervention activities.
    f. Document assurance of ability of key project staff to travel to 
Atlanta to participate in the CDC National Asthma Conference and/or 
grantee meetings and willingness to share innovations, information, 
data and materials.
    g. Document assurance of ability to access and utilize funds, if 
awarded, for the purposes of this announcement.
7. Budget
    This section must include a detailed first-year budget and 
narrative justification and future annual projections. The applicant 
should describe the program purpose for each budget item. For contracts 
contained within the application budget, applicants should name the 
contractor, if known; describe the services to be performed; justify 
the use of a third party; and provide a breakdown or a justification 
for the estimated costs of the contracts, the kinds of organizations or 
parties to be selected, the period of performance and the method of 
selection. The budget should include travel for key project staff to 
meet once per year with CDC staff and other grantees. This section 
should also include a listing of other funds, outside the cooperative 
agreement, that will be used to support this intervention.

F. Submission and Deadline

Letter of Intent (LOI)

    On or before May 24, 2002, submit the LOI 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 0920-
0428). Forms are available in the application kit and at the following 
Internet address: www.cdc.gov/od/pgo/forminfo.htm
    Application forms must be submitted in the following order:
Cover Letter
Table of Contents
Application
Budget Information Form
Budget Justification
Checklist
Assurances
Certifications
Disclosure Form
HIV Assurance Form (if applicable)
Human Subjects Certification (if applicable)
Indirect Cost Rate Agreement (if applicable)
Narrative
    On or before 5:00 pm Eastern Time June 24, 2002, submit the 
application to:
    Technical Information Management-PA02085, Procurement and Grants 
Office, Centers for Disease Control and Prevention, 2920 Brandywine 
Rd., Room 3000, Atlanta, GA 30341-4146.
    Deadline: Letters of intent and applications shall be considered as 
meeting the deadline if they are received before 5:00 pm Eastern Time 
on the deadline date. Applicants sending applications by the United 
States Postal Service or commercial delivery services must ensure that 
the carrier will be able to guarantee delivery of the application by 
the closing date and time. If an application is received after closing 
due to (1) carrier error, when the carrier accepted the package with a 
guarantee for delivery by the closing date and time or (2) significant 
weather delays or natural disasters, CDC will upon receipt of proper 
documentation, consider the application as having been received by the 
deadline.
    Applications which do not meet the above criteria will not be 
eligible for competition and will be destroyed. Applicants will be 
notified of their failure to meet the submission requirements.

G. Evaluation Criteria

    Applicants are required to provide Measures of Effectiveness that 
will demonstrate the accomplishment of the various identified 
objectives of the grant or cooperative agreement. Measures of 
Effectiveness must relate to the performance goal (or goals) as stated 
in section ``A. Purpose'' of this announcement. Measures must be 
objective and quantitative and must measure the intended outcome. These 
Measures of Effectiveness shall be submitted with the application and 
shall be an element of evaluation.
    Each application will be evaluated individually against the 
following criteria by an independent review group appointed by CDC:
1. Description of the Problem (5 points)
    The extent to which the agency's commitment to addressing asthma is 
demonstrated by accomplishments to date in understanding the problem. 
The extent to which the agency has been able to identify populations at 
increased risk and effectively disseminate and use that information in 
the planning process.
2. Asthma Plan (20 points)
    The extent to which a wide variety of appropriate partners were 
engaged to develop the asthma plan; the commitment by the Agency to the 
implementation of this plan as demonstrated by the inclusion of a 
letter of support from the Agency's Health or Medical Director; the 
extent to which the intervention plan is supported in the community by 
the inclusion of letters of support from key members of the community; 
and the extent to which the asthma plan is comprehensive and includes 
the items listed in the application section for this announcement.
3. Partnership Oversight (10 points)
    The extent to which appropriate partners will be a part of the 
implementation and oversight of the asthma plan.
4. Surveillance and Evaluation (20 points)
    The current state of the asthma surveillance system; the quality 
and scope of surveillance reports provided; the ability to provide a 
measurement of progress in meeting all plan objectives; the plan for 
appropriate continued development of the asthma surveillance activity; 
and the ability to support evaluation of implementation activities.
5. Implementation of the Asthma Plan (30 points)
    Clear link between the asthma plan and the proposed implementation; 
the appropriateness and scientific support for the proposed 
implementation; the involvement of statewide partners in implementation 
of the plan and its monitoring over time; the use of these resources to 
leverage additional resources for plan implementation; the plans to 
institutionalize specific

[[Page 31312]]

interventions; specific objectives that are realistic, measurable and 
time phased; and clear definition of both process and outcome measures 
for the evaluation of implementation activities.
6. Management and Staffing for Intervention Activities (15 points)
    The current functioning of asthma staff (program and surveillance) 
within the health agency; the description of staff to be hired or 
contracts to be developed; the link of staff to program objectives; and 
the continued role of the statewide partnership group.
7. Budget (Not scored)
    The extent to which the budget is reasonable, adequately justified 
and consistent with the intended use of the cooperative agreement 
funds.

H. Other Requirements

Technical Reporting Requirements

    Provide CDC with original plus two copies of:
    1. Semi-annual progress reports (The progress report will include a 
data requirement that demonstrates measures of effectiveness.) The 
progress reports shall include the following items:
    a. A brief project description.
    b. A comparison of actual accomplishments to the goals and 
objectives established for the period.
    c. In the case that established goals and objectives may not be 
accomplished or are delayed; documentation of both the reason for the 
deviation and the anticipated corrective action or a request for 
deletion of the activity for the project.
    d. A financial summary of obligated dollars to date as a percentage 
of total available dollars.
    e. Other pertinent information (i.e. curriculum vitae for new key 
personnel).
    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 III of 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 sections 301 and 317 of the Public 
Health Service Act, [42 U.S.C. section 241 and 247b], as amended. The 
Catalog of Federal Domestic Assistance number is 93.283.

J. Where To Obtain Additional Information

    This and other CDC announcements, the necessary applications and 
associated forms can be found on the CDC home page Internet address--
http://www.cdc.gov Click on ``Funding'' then ``Grants and Cooperative 
Agreements.''
    For business management assistance, contact:
    Sonia V. Rowell, Grants Management Specialist, Procurement and 
Grants Office, Centers for Disease Control and Prevention, Program 
Announcement 02085, 2920 Brandywine Road, Room 3000, Atlanta, GA 30341-
4146. Telephone number: (770) 488-2724. Email address: [email protected].
    For program technical assistance, contact:
    Daniel J. Burrows, M.S., Public Health Advisor, Air Pollution and 
Respiratory Health Branch, National Center for Environmental Health, 
Centers for Disease Control and Prevention, Mailstop E-17, 1600 Clifton 
Rd., NE, Atlanta, GA 30333.
    Telephone number: (404) 498-1004.
    Email address: [email protected].

    Dated: May 4, 2002.
Sandra R. Manning,
Director, Procurement and Grants Office, Centers for Disease Control 
and Prevention.
[FR Doc. 02-11564 Filed 5-8-02; 8:45 am]
BILLING CODE 4163-18-P