[Federal Register Volume 67, Number 113 (Wednesday, June 12, 2002)]
[Notices]
[Pages 40309-40316]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-14729]



[[Page 40309]]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention

[Program Announcement 02104]


Cooperative Agreement to Support State Assessment Initiatives 
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 to improve the ability of states to assess progress toward 
achieving national, state, and community health objectives; to conduct 
health assessment through partnerships; and to use assessment 
information for policy development and program management. This program 
addresses the ``Healthy People 2010'' focus area of Public Health 
Infrastructure.
    The purpose of the program is to improve the ability of states to 
monitor progress toward achieving measurable national, state, and 
community health objectives; use assessment information for public 
health policy development and assurance; and monitor progress toward 
addressing health disparities among various population subgroups.
    The focus of this initiative is to produce a general knowledge 
related to effective assessment methods and practices that can be 
disseminated to and used by other states. This will be accomplished 
through the formation of working partnerships between state public 
health departments and other public and private partner organizations 
and groups. These groups may include, but are not limited to, state 
Medicaid agencies, managed care organizations, county/city health 
departments, philanthropic organizations, universities, hospital 
associations, clinical provider organizations/networks, community-based 
organizations, and Indian tribes.
    This announcement consists of two parts:
    Part A.--Building new assessment capability
    Part B.--Evaluating and institutionalizing existing assessment 
capability and disseminating model assessment methods, systems, and 
approaches to other states.
    Applicants may apply under either Part A or Part B to develop or 
improve assessment capability in one of three focus areas. These focus 
areas are:

1. Data Access or Linkage

    Work with identified partner organization(s)/agency(s) to gain 
access to and analyze new data sets, or link existing data sets in new 
ways to increase the usefulness of the data. Data sets selected must be 
of primary interest to both the state health department and the partner 
organization(s) and integral to the mission of both. Data sets selected 
should also be available to most states (e.g., Behavioral Risk Factor 
Surveillance System (BRFSS), vital statistics, etc.) so that methods 
developed by award recipients can be disseminated and adopted by other 
states.

2. Data Dissemination Systems

    Implement new systems or improve existing systems for dissemination 
of public health data (e.g., electronic/web-based data dissemination 
systems) and evaluate the impact of these systems on identified 
partners and users. Activities involving electronic data dissemination 
systems should be done in accordance with technical standards and 
specifications for interoperability outlined in the National Electronic 
Disease Surveillance System (NEDSS) guidance found at: http://www.cdc.gov/nedss, or the CDC Information Technology Functions and 
Specifications found at: http://www.cdc.gov/cic/functions-specs.

3. Community Health Assessment Practices

    Develop, implement, and evaluate tools, strategies, and approaches 
to improve the capability of local public health agencies and 
communities to conduct meaningful community health assessments, and 
demonstrate how the resulting data have been used to affect public 
health programs or policy.
    Background information on the Assessment Initiative, the role of 
assessment in public health, and examples of projects under each of the 
three focus areas described above, can be found in Attachment III of 
this program announcement. Attachment(s) can be found on CDC Web site 
at: http://www.cdc.gov/od/pgo.funding/grantmain.htm.
    The Assessment Initiative provides a unique opportunity for 
applicants to integrate the activities/objectives of various programs 
and projects to achieve common goals related to improving state and 
local assessment capability. Attachment IV of this program announcement 
provides examples of other projects with potential for this type of 
integration.
    Measurable outcomes of the program will be in alignment with one or 
more of the following performance goals for the Epidemiology Program 
Office:
    1. Maximize the distribution and use of scientific information and 
prevention messages through modern communication technology.
    2. Encourage state health departments to develop efficient and 
comprehensive public health information and surveillance systems by 
promoting the use of the Internet and by focusing on development of 
standards for communication and data elements.
    3. Efficiently respond to the needs of our public health partners 
through the provision of epidemiologic assistance.
    4. Implement accessible training programs to provide an effective 
work force for staffing state and local health departments.

B. Authority and Catalog of Federal Domestic Assistance Number

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

C. Eligible Applicants

    Assistance will be provided only to the health departments of 
states or their bona fide agents, specifically, 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.
    States/territories/tribes are invited to apply under either Part A 
or Part B of this announcement, but not both. No more than one 
application per state, territory, or tribe should be submitted.
    To be eligible to apply under Part B, applicants must provide 
evidence that they have accomplished all of the following prior to 
submitting their application:
    1. Successfully collaborated with one or more partner groups or 
organizations in their state/territory/tribe to develop an innovative 
system or method to improve one of the following:
    a. Data access/linkage.
    b. Data dissemination.
    c. Community health assessment practices.
    2. Implemented the system/method, resulting in a positive impact on 
public health programs or policy.
    3. Obtained evidence of interest in the system/method by other 
state(s)/territory(s)/tribe(s)(i.e., letter confirming interest in 
adopting and using the system or method).

[[Page 40310]]

    Applicants under Part B must also be able to describe how the 
system/method they have developed to improve assessment capability is 
generalized to other states.

    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.

D. Availability of Funds

    Approximately $1,500,000 is available in FY 2002 to fund 
approximately seven to nine awards. 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 and the 
availability of funds.
    Part A.--Building new assessment capability. Approximately $500,000 
is available to fund approximately three to four awards under Part A. 
It is expected that the average award will be $140,000, ranging from 
$125,000 to $175,000.
    Part B.--Evaluating and institutionalizing existing assessment 
capability and disseminating model assessment methods, systems, and 
approaches to other states.
    Approximately $1,000,000 is available to fund approximately four to 
five awards under Part B. It is expected that the average award will be 
$225,000, ranging from $200,000 to $275,000.
    Matching funds is not a requirement for this program announcement.

E. 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

Part A.--Building new assessment capability
Year One
    a. Form an advisory committee that will meet a minimum of quarterly 
to provide guidance and direction for the project. Include 
representatives from each of the partner groups/organizations, as well 
as representatives from other key programs or divisions within the 
state/territorial/tribal health department whose participation is 
integral to the success of the project.
    b. Conduct an evaluation of the current systems and methods used by 
each partner organization relevant to the project's focus (i.e., data 
access/linkage, data dissemination systems, or community health 
assessment practices). Identify and use available tools to assist in 
completing this evaluation (e.g., CDC Guidelines for Evaluating Public 
Health Surveillance Systems).
    c. Develop a four year work plan, based on the results of the 
evaluation, to improve assessment capability relevant to the project's 
focus. The work plan should include project goals, process and outcome 
objectives, activities to accomplish the objectives, time frames for 
completion of activities, identification of project staff responsible 
for each activity, and specific evaluation measures that will assess 
whether each goal has been achieved. A work plan template is provided 
in Attachment II of this program announcement; the template is also 
available electronically at: http://www.cdc.gov/epo/dphsi/index.htm 
under the heading of ``Capacity Building.''
    d. Begin implementation of the work plan.
Years Two through Four
    a. Continue implementation of the work plan.
    b. Coordinate activities among project partners and with other 
appropriate organizational units within the state/territorial/tribal 
health department. Establish a forum for regular, ongoing communication 
between internal and external partners to carry out project activities 
and to identify barriers early and modify the work plan as needed.
    c. Prepare and disseminate health assessment information through 
presentations and publication in appropriate forums.
    d. Share and discuss project methodology, accomplishments, and 
barriers through regular participation in quarterly conference calls 
and an annual Assessment Initiative conference, and through 
contributions to the CDC Assessment Initiative Web Site.
Year Five
    a. Conclude implementation of the work plan.
    b. Complete a thorough evaluation of the systems and methods used 
to improve assessment capability. Include a discussion of the 
following:
    i. Identified strengths and weaknesses of the system/method 
employed.
    ii. Specific examples depicting ways in which the system/method has 
had a positive impact on public health programs or policy development 
(as indicated by the evaluation measures in the work plan).
    iii. Recommendations regarding modifications or improvements needed 
to the system or method.
    c. Prioritize project activities and outcomes according to the 
degree of success achieved based on the results of the evaluation. Work 
with partners to develop a plan to institutionalize high-priority 
activities/outcomes so they will continue in the absence of federal 
funding.
Part B.--Evaluating and institutionalizing existing assessment 
capability and disseminating model assessment methods, systems, and 
approaches to other interested states
Year One
    a. Form or re-activate a project advisory committee made up of 
representatives from each of the relevant partner groups/organizations, 
as well as representatives from other key programs or divisions within 
the state/territorial/tribal health department whose participation is 
integral to the success of the project.
    b. Complete a thorough evaluation of the existing system/method to 
improve assessment capability in the focus area selected (i.e., data 
access/linkage, data dissemination systems, or community health 
assessment practices). Document the results of this evaluation which 
should include, at a minimum, a discussion of the following:
    i. Identified strengths and weaknesses of the system/method 
employed.
    ii. Specific examples depicting ways in which the system/method has 
had a positive impact on public health programs or policy development.
    iii. Summary of modifications or additions needed to improve the 
system or method, with supporting justification.
    c. Develop a four year work plan, based on the results of the 
evaluation, to further improve the targeted system/method and support 
the dissemination and transfer of the system/method to a minimum of one 
other interested state/territory/tribe. The work plan should include 
project goals, process and outcome objectives, activities to accomplish 
the objectives, time frames for completion of activities, 
identification of project staff responsible for each activity, and 
evaluation measures that will assess whether each goal has been 
achieved. A work plan template is provided in Attachment II of this 
program announcement; the template also available electronically at: 
http://www.cdc.gov/epo/dphsi/index.htm under the heading of ``Capacity 
Building.''
    d. Begin implementation of the work plan.

[[Page 40311]]

Years Two Through Four
    a. Continue implementation of the work plan.
    b. Coordinate activities among project partners, including other 
appropriate organizational units within the state/territorial/tribal 
health department, and representatives from the recipient state(s)/
territory(s)/tribe(s) selected. Establish a forum for regular, ongoing 
communication between internal and external partners to carry out 
project activities and to identify barriers early and implement 
modifications to the work plan as needed.
    c. Provide ongoing technical assistance and training to support the 
successful transfer and implementation of the model system/method by 
the recipient state(s)/territory(s)/tribe(s) identified. This should 
include a minimum of one annual site visit to the recipient state(s)/
territory(s)/tribe(s) or one annual training session conducted by the 
sponsoring state, to which representatives of the recipient state(s)/
territory(s)/tribe(s) are invited.
    d. Prepare and disseminate health assessment information through 
presentations and publication in appropriate forums.
    e. Share and discuss project methodology, accomplishments, and 
barriers through regular participation in quarterly conference calls 
and an annual Assessment Initiative conference, and through 
contributions to the CDC Assessment Initiative Web Site.
Year Five
    a. Conclude implementation of the work plan.
    b. Work with partners to develop a plan to institutionalize 
improvements to the system/method; this includes identifying resources 
to sustain the project in the absence of federal funding.
    c. Work with representatives of the recipient state(s)/
territory(s)/tribe(s) to conduct an evaluation of the model system/
method transfer. Document the results of this evaluation, which should 
include, at a minimum, a discussion of the following:
    i. Outcome of the transfer (i.e., To what extent has the recipient 
state(s)/territory(s)/tribe(s) been successful in adopting the new 
system/method and what has been the resulting impact on public health 
programs or policy?)
    ii. Discussion of the factors that had a positive or negative 
influence on the outcome of the transfer from the perspective of both 
the donor and recipient state(s)/territory(s)/tribe(s)
    iii. Recommendations regarding next steps

2. CDC Activities

    a. Provide coordination among the recipient organizations by 
assisting in the transfer of information, resources, and methodologies.
    b. Provide ongoing guidance, consultation, and technical assistance 
in conducting recipient activities.
    c. Provide project oversight; engage in ongoing monitoring 
activities.
    d. Sponsor training, as appropriate, on public health assessment 
practices, methods, and approaches and other relevant topics.
    e. Provide assistance to recipients in analyzing, interpreting, and 
using health assessment data to measure program effectiveness, improve 
interventions, and formulate relevant policies.
    f. Collaborate with recipients in preparing and presenting relevant 
findings to appropriate state and national audiences.

F. Content

Letter of Intent (LOI)

    A LOI is requested, but not required, for this program. The program 
announcement title and number must appear in the LOI. The letter should 
be no more than two single spaced pages, printed on one side, with one 
inch margins, and unreduced fonts. LOIs will be used to estimate the 
potential review workload and avoid conflict of interest in the review. 
The letter should include the following information:
    1. Number and title of the CDC program announcement
    2. Name, address, telephone number, and e-mail address of the 
Principal Investigator(s)
    3. Information as to whether the applicant will be applying under 
Part A or Part B of the announcement
    4. The proposed focus area of the project (i.e., data access/
linkage, data dissemination systems, or community health assessment 
practices)
    5. Part B applicants should also describe the existing system or 
method for improving assessment capability on which their proposed 
project will be based.
    The LOI should be submitted to the Grants Management Specialist 
listed under the ``Where to Obtain Additional Information'' section of 
this announcement no later than Friday, July 5, 2002.

Applications

    Applicants should use the information in the Program Requirements, 
Other Requirements, and Evaluation Criteria sections to develop the 
application content. Applications will be evaluated on the criteria 
listed. The narrative should be no more than 35 single spaced pages, 
printed on one side, with one inch margins, and unreduced fonts. The 
program announcement title and number must appear in the application.
    Applicants should also submit appendices including curriculum 
vitae, organizational charts, and letters of support/endorsement from 
participating partners, as appropriate. The appendices should not 
exceed an additional 30 pages, printed on one side.
    All materials should be provided in an unbound, one-sided, print 
format, and suitable for photocopying.
    Approval signatures from the state epidemiologist and director of 
the state center for health statistics, or equivalent, are required on 
the application.
    If research is proposed, applicants should also submit an Optional 
Form 310, Protection of Human Subjects Assurance Identification/
Certification/Declaration. This form can be accessed at: http://forms.psc.gov/forms/OF/OF-310.pdf.
    Applications for funding under Part A should contain the following:
1. Executive Summary
    Provide a clear, concise, two page summary of the following:
    a. Background/need for the project
    b. Focus area selected (i.e., data access/linkage, data 
dissemination systems, or community health assessment practices)
    c. Internal and external project partners identified
    d. Major goals and objectives proposed
    e. Project's potential for broad public health impact (e.g., 
generable to other states/territories/ tribes)
    f. Applicant's ability to carry out proposed goals and objectives
    g. Requested amount of Federal funding
2. Background and Need
    Describe the current role of assessment in setting the 
organization's public health priorities, the organization's current 
assessment capability, and how this project will strengthen that 
capability.
3. Project Design and Evaluation
    a. Identify the focus area for the project (i.e., data access/
linkage, data dissemination systems, or community health assessment 
practices).
    b. Identify the internal and external partner organizations/groups 
that will be collaborating on the project, along with a rationale for 
their involvement.

[[Page 40312]]

    c. Provide (in the appendices) a copy of the applicant agency's 
organizational chart, indicating where the proposed Assessment 
Initiative Project will be placed. The chart should also identify the 
internal linkages with other programs/divisions that will be necessary 
to successfully carry out the project.
    d. Develop a work plan to improve assessment capability relevant to 
the focus area selected. The work plan should include both long-term 
(five year) goals and short-term (one year) goals. Short-term goals 
should have corresponding objectives, activities, time frames, and 
responsible team members identified. Both short- and long-term goals 
should have corresponding evaluation measures (``measures of 
effectiveness'') that will be used to measure the intended outcome of 
the goal. Definitions and requirements for these components are 
described below:
    i. Project goals (general statements of what the project hopes to 
accomplish)

    Note: It is mandatory that applicants include a goal aimed at 
identifying resources to sustain successful project activities 
beyond the five year funding cycle.

    Applicants selecting focus area two, and whose projects involve 
electronic data dissemination systems, should also include a goal aimed 
at achieving the interoperability standards and specifications outlined 
in the NEDSS guidance found at: http://www.cdc.gov/nedss, or the CDC 
Information Technology Functions and Specifications found at: http://www.cdc.gov/cic/functions-specs.
    ii. Process and outcome objectives (specific, measurable statements 
that describe what is to be accomplished under each goal)
    iii. Activities (action steps/tasks that will be completed under 
each objective in order to achieve that objective)
    iv. Time frame (anticipated time frame for accomplishing each 
activity).
    v. Project staff responsible for each activity (should include 
representatives from all partner organizations).
    vi. Evaluation measures (quantitative measures of effectiveness 
that will be used to measure the intended outcome of the goal). 
Evaluation measures should include components to assess the project's 
impact on public health programs or policy.
    Applicants should use the work plan template provided to develop 
their short-term (one year) work plan. This template is included as 
Attachment II of this program announcement; it is also available 
electronically at:
    http://www.cdc.gov/epo/dphsi/index.htm under the heading of 
``Capacity Building.''
    Long-term (five year) goals and corresponding evaluation measures 
need not be included on the template, but should be included in the 
narrative component of this section.
4. Ability to Carry Out the Proposed Project
    a. Provide examples of previous efforts to conduct assessment 
activities and describe the impact these activities have had on public 
health programs or policy. Where possible, include examples in which 
data from two or more public or private sources have been integrated to 
serve this purpose.
    b. Describe the organization's current relationship with identified 
partners with regard to assessment; discuss the availability of data 
and information for the project from the proposed partners.
    c. Identify the proposed project staff and describe their 
qualifications and experience in areas relevant to the project's focus 
(e.g., epidemiology, surveillance, statistical applications, program 
management, policy development, community health assessment, electronic 
health information systems). Include curriculum vitae for key project 
staff in the appendices.
5. Potential for Public Health Impact
    a. Describe the applicability and relevance of the proposed 
project, and the type of data and information targeted, to other 
states/territories/tribes.
    b. Describe ways in which this project will benefit the applicant 
organization and external partner organizations.
6. Commitment from Internal/External Partners
    Provide evidence of internal and external partners' willingness to 
support and be actively involved in carrying out project objectives. 
(If letters of support are submitted, they should be included in the 
Appendices).
7. Budget
    a. Provide a detailed budget request and complete line item 
justification for all proposed operating expenses consistent with the 
recipient activities proposed. Be precise about the purpose of each 
budget item as it relates to the project.
    b. The annual budget should include funding for two staff members 
to make one three-day trip to attend an annual Assessment Initiative 
Conference. (Base cost estimates on travel to Atlanta).
    c. If applicable, applicants requesting monies for contracts should 
include the name of the person or firm to be contracted, a description 
of the services to be performed, an itemized and detailed budget 
including justification, the period of performance, and the method of 
selection.
    d. Funding levels for years two through five should be estimated.
    8. Approval signatures from the state epidemiologist and director 
of the state center for health statistics, or equivalent.
    9. Appendix containing curriculum vitae, organizational charts, and 
letters of support/endorsement from participating partners, as 
appropriate.
    Applications for funding under Part B should contain the following:
1. Executive Summary
    Provide a clear, concise, two page summary of the following:
    a. Focus area selected (i.e., data access/linkage, data 
dissemination systems, or community health assessment practices).
    b. Brief description of the existing system/method the project will 
focus on.
    c. Impact on public health programs or policy that resulted from 
the implementation of the system/method.
    d. Major goals and objectives proposed.
    e. Internal and external project partners identified and specific 
state(s)/territory(s)/tribe(s) identified to adopt the system/method.
    f. Project's potential for broad public health impact (e.g. the 
ability to generalize to other states/territories/tribes).
    g. Requested amount of federal funding.
2. Description of Existing System/Method to Improve Assessment 
Capability
    a. Provide a thorough description of the existing system/method for 
assessment and identify the appropriate focus area it addresses (i.e., 
data access/linkage, data dissemination systems, or community health 
assessment practices).
    b. Explain how the system/method is generalized to other states/
territories/tribes.
    c. List internal/external partners who collaborated on developing/
implementing the existing system and explain their roles in the 
process.
    d. Describe the impact on public health programs or policy that 
resulted from implementing the system/method.
    e. Note: It is mandatory that applicants include documentation from

[[Page 40313]]

a minimum of one other state/territory/tribe confirming their interest 
in adopting and utilizing the system/method.
3. Project Design and Evaluation
    a. Identify the external and internal partner organizations/groups 
that will be collaborating on the project, along with a rationale for 
their involvement.
    b. Provide (in the appendices) a copy of the applicant agency's 
organizational chart indicating where the proposed Assessment 
Initiative Project will be placed. The chart should also identify the 
internal linkages with other programs/divisions that will be necessary 
to successfully carry out the project.
    c. Develop a work plan to improve assessment capability relevant to 
the focus area selected.
    The work plan should include both long-term (five year) goals and 
short-term (one year) goals. Short-term goals should have corresponding 
objectives, activities, time frames, and responsible team members 
identified. Both short and long-term goals should have corresponding 
evaluation measures that will be used to measure the intended outcome 
of the goal. Definitions and requirements for these components are 
described below:
    i. Goals (general statements of what the project hopes to 
accomplish);

    Note: It is mandatory that applicants include a goal aimed at 
identifying resources to sustain successful project activities 
beyond the five year funding cycle, and a goal aimed at successfully 
transferring the system/method to a minimum of one other interested 
state/territory/tribe.

    Applicants selecting focus area two, and whose projects involve 
electronic data dissemination systems, should also include a goal aimed 
at achieving the interoperability standards and specifications outlined 
in the NEDSS guidance found at: http://www.cdc.gov/nedss, or the CDC 
Information Technology Functions and Specifications found at: http://www.cdc.gov/cic/functions-specs.
    ii. Process and outcome objectives (specific, measurable statements 
that describe what is to be accomplished under each goal).
    iii. Activities (action steps/tasks that will be completed under 
each objective in order to achieve that objective).
    iv. Time frame (anticipated time frame for accomplishing each 
activity).
    v. Project staff responsible for each activity (should include 
representatives from all partner organizations).
    vi. Evaluation measures (quantitative measures of effectiveness 
that will be used to measure the intended outcome of the goal); 
evaluation measures should include components to assess the project's 
impact on public health programs or policy.
    Applicants should use the work plan template provided to develop 
their short-term (one-year) work plan. This template is included as 
Attachment II of this program announcement; it is also available 
electronically at: http://www.cdc.gov/epo/dphsi/index.htm under the 
heading of ``Capacity Building.''
    Long-term (five year) goals and corresponding evaluation measures 
need not be included on the template but should be included in the 
narrative component of this section.
4. Ability to Carry Out the Proposed Project
    Identify the proposed project staff and describe their 
qualifications and experience in areas relevant to the project's focus 
(e.g., epidemiology, surveillance, statistical applications, program 
management, policy development, community health assessment, electronic 
health information systems). Include curriculum vitae for key project 
staff in the appendices.
5. Potential for Public Health Impact
    a. Describe the applicability and relevance of the proposed 
project, and the type of data and information targeted, to other 
states/territories/tribes.
    b. Describe ways in which this project will benefit the applicant 
organization, the external partner organizations, and the specific 
recipient state(s)/territory(s)/tribe(s) selected to adopt the system/
method.
6. Commitment From Internal/External Partners.
    Provide evidence of internal and external partner's willingness to 
support, and be actively involved in, carrying out project objectives. 
(If letters of support are submitted, they should be included in the 
Appendices).
7. Budget
    a. Provide a detailed budget request and complete line-item 
justification for all proposed operating expenses consistent with the 
activities proposed. Be precise about the purpose of each budget item 
as it relates to the project.
    b. The annual budget should include funding for two staff members 
to make one three day trip to attend an annual Assessment Initiative 
Conference. (Base cost estimates on travel to Atlanta).
    c. If applicable, applicants requesting monies for contracts should 
include the name of the person or firm to be contracted, a description 
of the services to be performed, an itemized and detailed budget 
including justification, the period of performance, and the method of 
selection.
    d. Funding levels for years two through five should be estimated.
    8. Approval signatures from the state epidemiologist and director 
of the state center for health statistics, or equivalent.
    9. Appendix containing curriculum vitae, organizational charts, and 
letters of support/endorsement from participating partners, as 
appropriate.

G. Submission and Deadline

Letter of Intent (LOI)

    On or before Friday, July 5, 2002, submit the LOI to the Grants 
Management Specialist identified in the ``Where to Obtain Additional 
Information'' section of this announcement. (A letter of intent is 
requested but not required).

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: http://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 P.M. Eastern Time on Friday, July 19, 2002, submit 
the application to the Technical Information Management Section, Office 
of the Director, Procurement and Grants Office, 2920 Brandywine Road, 
Suite 3000, Atlanta, GA 30341.
    Deadline: Letters of intent and applications shall be considered as 
meeting the deadline if they are received before 5 p.m. 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

[[Page 40314]]

application is received after closing due to the following: (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 discarded. Applicants will be 
notified of their failure to meet the submission requirements.

H. Evaluation Criteria

Application

    Applicants are required to provide Measures of Effectiveness that 
will demonstrate the accomplishment of the various identified 
objectives of the cooperative agreement. Measures of Effectiveness must 
relate to the performance 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.

    Note: For the purposes of this cooperative agreement, ``Measures 
of Effectiveness'' are defined as the ``Evaluation Measures'' 
discussed under Evaluation Criteria.

    Each application will be evaluated individually against the 
following criteria by an independent review group appointed by CDC.
    Applications for Funding under Part A:
1. Project Design (25 points)
    a. The extent to which the applicant has identified one focus area 
for the project (i.e., data access/linkage, data dissemination systems, 
or community health assessment practices).
    b. The extent to which the applicant has identified internal and 
external project partners, and included an organizational chart in the 
appendices showing where the project will be placed and the necessary 
linkages with other programs/divisions.
    c. The degree to which the applicant provides a clear and organized 
proposed project plan.
    d. The extent to which the work plan and time line appear 
reasonable and consistent with the guidelines in the program 
announcement (i.e., goals, objectives, and activities are appropriate 
based on the recipient activities described in the program 
announcement; both five year and one year goals are documented; one 
year goals have corresponding measurable objectives, activities, time 
frames, and responsible staff identified).
    e. The extent to which the applicant has included a reasonable goal 
aimed at identifying resources to sustain successful project activities 
beyond the five year funding cycle.
    f. For applicants whose projects involve electronic data 
dissemination systems, the extent to which a goal has been included to 
address achievement of the interoperability standards and 
specifications outlined in the NEDSS guidance found at: http://www.cdc.gov/nedss, or the CDC Information Technology Functions and 
Specifications found at: http://www.cdc.gov/cic/functions-specs.
2. Potential for Public Health Impact (20 points)
    a. The extent to which the applicant describes anticipated project 
outcomes and discusses the related impact on public health policy and/
or program management for the participating organizations/agencies.
    b. The extent to which the applicant demonstrates the significance 
of project goals and proposed outcomes to a broader public health 
audience, including other states/territories/tribes.
3. Background and Need (15 points)
    a. The extent to which the applicant has adequately described the 
organization's current assessment capability and provided a 
justification for the project.
    b. The extent to which the applicant has adequately described how 
this project will strengthen the capability to conduct assessment 
activities.
4. Evaluation (15 points)
    a. The extent to which the applicant provides reasonable evaluation 
measures (i.e., required ``measures of effectiveness'') that measure 
the intended outcomes of both one year and five year goals (see work 
plan template for more information).
    b. The extent to which the evaluation measures provided are 
appropriate to assess the project's impact on public health programs or 
policy.
5. Ability to Carry Out the Proposed Project (15 points)
    a. The extent to which the applicant provides information on 
previous assessment activities conducted and describes the impact of 
those activities on public health programs or policy.
    b. The extent to which the applicant provides evidence of prior 
experience in integrating information/data from two or more existing 
public or private sources for program development and evaluation.
    c. The extent to which the applicant provides evidence of a working 
relationship with identified partners and demonstrates the availability 
of data from those partners, as appropriate.
    d. The extent to which the applicant demonstrates the ability to 
successfully carry out the project, taking into consideration the 
depth, breadth, and complexity of the proposed objectives, the 
available resources/staff, and the proposed time line.
    e. The extent to which the applicant provides evidence that key 
project staff have experience in areas relevant to the project's focus 
(e.g., epidemiology, surveillance, statistical applications, program 
management, policy development, community health assessment, electronic 
health information systems).
6. Commitment from Internal/External Partners (10 points)
    a. The extent to which the applicant provides evidence that the 
organization has interest, support, and commitment from identified 
external partner organizations and groups.
    b. The extent to which the applicant provides evidence that the 
organization has internal support for the project from administration 
and from other divisions/departments whose involvement is integral to 
the success of the project.
7. Budget and Justification (not scored)
    The extent to which the proposed budget is adequately justified, 
reasonable, and consistent with this program announcement and 
applicant's implementation plan.
8. Human Subjects Protection (not scored)
    If applicable, the extent to which the application adequately 
addresses the requirements of Title 45 CFR, part 46 for the protection 
of human subjects.
Applications for Funding Under Part B
1. Description of Existing System/Method to Improve Assessment 
Capability (25 points)
    a. The extent to which the applicant provides a thorough 
description of a preexisting system/method developed and implemented by 
the applicant to improve assessment capability around data access/
linkage, data dissemination, or community assessment practices.
    b. The extent to which the applicant provides reasonable evidence 
that the system/method is able to generalize to other states/
territory(s)/tribe(s).

[[Page 40315]]

    c. The extent to which the applicant provides evidence that they 
have collaborated with external partner organizations/groups in the 
development and implementation of the system or method.
    d. The extent to which the applicant provides evidence of a 
positive impact on public health policy or program management as a 
result of implementing the system/method.
    e. The extent to which the applicant provides evidence of a minimum 
of one other state/territory/tribe's interest in using the system/
method (i.e., letters/written documentation). This is a mandatory 
requirement.
3.2. Project Design (25 points)
    a. The extent to which the applicant identifies internal and 
external project partners and includes an organizational chart in the 
appendices showing where the project will be placed and the necessary 
linkages with other programs/divisions.
    b. The degree to which the applicant provides a clear and organized 
proposed project plan.
    c. The extent to which the work plan and time line appear 
reasonable and consistent with the guidelines in the program 
announcement (i.e., goals, objectives, and activities are appropriate 
based on the recipient activities described in the program 
announcement; both five year and one year goals are documented; one 
year goals have corresponding measurable objectives, activities, time 
frames, and responsible staff identified).
    d. The extent to which the applicant includes a reasonable goal 
aimed at successfully disseminating the system/method to a minimum of 
one other state/territory/tribe and a goal aimed at identifying 
resources to sustain successful project activities beyond the five year 
funding cycle.
    e. For applicants whose projects involve electronic data 
dissemination systems, the extent to which a goal has been included to 
address achievement of the interoperability standards and 
specifications outlined in the NEDSS guidance found at: http://www.cdc.gov/nedss, or the CDC Information Technology Functions and 
Specifications found at: http://www.cdc.gov/cic/functions-specs.
3. Evaluation (15 points)
    a. The extent to which the applicant provides reasonable evaluation 
measures (i.e., required ``measures of effectiveness'') to measure the 
intended outcomes of both one year and five year goals (see work plan 
template for more information).
    b. The extent to which the evaluation measures provided are 
appropriate to assess the project's impact on public health programs or 
policy.
4. Ability to Carry Out the Proposed Project (15 points)
    a. The extent to which the applicant demonstrates the ability to 
successfully carry out the project, taking into consideration the 
depth, breadth, and complexity of the proposed objectives, the 
available resources/staff, and the proposed time line.
    b. The extent to which the applicant provides evidence that key 
project staff have experience in areas relevant to the project's focus 
(e.g., epidemiology, surveillance, statistical applications, program 
management, policy development, community health assessment, electronic 
health information systems).
5. Potential for Public Health Impact (15 points)
    a. The extent to which the applicant describes anticipated project 
outcomes and discusses the related impact on public health policy and/
or program management for the participating organizations/agencies and 
the state(s)/territory(s)/tribe(s) selected to adopt the system/method.
    b. The degree to which the applicant demonstrates the relevance/the 
ability to generalize project goals and proposed outcomes to a broader 
public health audience, including other states/territories/tribes.
6. Commitment from Internal/External Partners (5 points)
    a. The extent to which the applicant organization provides evidence 
of interest, support, and commitment from identified external partner 
organizations and groups.
    b. The extent to which the applicant organization provides evidence 
that they have internal support for the project from administration and 
from other divisions/departments whose involvement is integral to the 
success of the project.
7. Budget and Justification (not scored)
    The extent to which the proposed budget is adequately justified, 
reasonable, and consistent with this program announcement and 
applicant's implementation plan.

8. Human Subjects Protection (not scored)

    If applicable, the extent to which the application adequately 
addresses the requirements of Title 45 CFR, Part 46 for the protection 
of human subjects.

I. Other Requirements

Technical Reporting Requirements

    Provide CDC with original plus two copies of
    1. Semiannual progress reports (The progress report will include a 
data requirement that demonstrates measures of effectiveness). A format 
will be provided by the Project Officer.
    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.
    4. Applicants are required to provide Measures of Effectiveness 
that will demonstrate the accomplishment of the various identified 
objectives of the grant or cooperative agreement.
    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 this 
program announcement.

AR-1  Human Subjects Requirements
AR-2  Requirements for Inclusion of Women and Racial and Ethnic 
Minorities in Research
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
AR-22  Research Integrity

J. Pre-application Conference Call

    A teleconference will be held on Friday, June 28, from 1 to 2:30 
P.M. Eastern Time, for all interested applicants. The purpose of the 
call is to describe the application process and respond to any 
questions regarding the program announcement. To connect to the call, 
dial: 1-800-311-3437 and enter the following conference code: 339555. 
Participants in the Atlanta area should dial: (404)639-3277 to connect 
to the call and should not use the 800 number.

K. 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 obtain business management technical assistance, contact: Mattie 
B. Jackson, Grants Management Specialist, Requisition and Assistance 
Branch A,

[[Page 40316]]

Procurement and Grants Office, Centers for Disease Control and 
Prevention, 2920 Brandywine Road, Room 3000, Atlanta, GA 30341-4146, 
Telephone number: (770) 488-2696, E-mail address: [email protected].

    For program technical assistance, contact: Pat Schumacher, 
Epidemiology Program Office, Division of Public Health Surveillance & 
Informatics, Applied Sciences Branch, Centers for Disease Control and 
Prevention, 4770 Buford Highway, MS K-74, Atlanta, GA 30341-3717, 
Telephone: (770) 488-8375, E-mail address: [email protected].

    Dated: June 6, 2002.
Edward Schultz,
Deputy Director, Procurement and Grants Office, Centers for Disease 
Control and Prevention.
[FR Doc. 02-14729 Filed 6-11-02; 8:45 am]
BILLING CODE 4163-18-P