Human Immunodeficiency Virus Community-Based Prevention Projects for the Commonwealth of Puerto Rico and the United States Virgin Islands; Notice of Availability of Funds

[Federal Register Volume 64, Number 50 (Tuesday, March 16, 1999)]
[Notices]
[Pages 13019-13025]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-6298]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention
[Program Announcement 99047]


Human Immunodeficiency Virus Community-Based Prevention Projects 
for the Commonwealth of Puerto Rico and the United States Virgin 
Islands; Notice of Availability of Funds

A. Purpose

    The Centers for Disease Control and Prevention (CDC) announces the 
availability of fiscal year (FY) 1999 funds to support cooperative 
agreements for HIV prevention projects with community-based 
organizations (CBOs) serving populations at increased risk of acquiring 
or transmitting HIV infection in the Commonwealth of Puerto Rico (the 
Commonwealth) or the United States Virgin Islands (The USVI). This 
program addresses the ``Healthy People 2000'' priority areas of 
Educational and Community-Based Programs, HIV Infection, and Sexually 
Transmitted Diseases. It also addresses the HIV Prevention 
Comprehensive Plan developed by the Commonwealth's Community Planning 
Group (CPG) and the Epidemiological Profile developed by the USVI 
Department of Health, by providing support for primary prevention for 
persons at increased risk for HIV infection and by increasing the 
availability and coordination of prevention and early intervention 
services for HIV-infected persons. A copy of the Commonwealth's 
Comprehensive plan, the USVI Epidemiological Profile and the Healthy 
People 2000 Objectives are included in the application kit.
    The purpose of this program is to (1) develop and implement 
effective community-based HIV prevention programs that reflect the 
Commonwealth's or the USVI HIV prevention priorities outlined in their 
comprehensive HIV prevention plan and Epidemiological profile developed 
through HIV Prevention Community Planning; and (2) promote 
collaboration and coordination of HIV prevention efforts among CBOs, 
Health Departments, and private agencies such as substance abuse 
agencies, educational agencies, criminal justice systems, and national 
and regional organizations.

B. Eligible Applicants

    Assistance will be provided only to nonprofit community-based 
organizations (CBOs) providing services in the Commonwealth or the 
USVI. To be eligible, CBOs must meet the following criteria:
    1. Be a non-governmental organization (non-profit corporation or 
association) established in the geographic area where the services will 
be provided, whose net earnings in no part accrue to the benefit of 
private shareholders or individuals. You must include a written 
Statement of Good Standing and a Certificate of Incorporation from the 
Commonwealth State Department or the USVI State Department as 
acceptable evidence of nonprofit status and experience in operating and 
centrally administering a community-based organization to be eligible 
to apply.
    2. Document that the majority of its programmatic and 
administrative staff involved in the project are representative of the 
population to be served.
    Successful applicants will be required to apply for an Internal 
Revenue Service (IRS) determination of 501(c)3 status during the first 
three months of funding. CDC will provide technical assistance and 
support in submitting this request.
    Applicants must submit (1) a Statement of Good Standing and (2) a 
Certificate of Incorporation issued by the State department as proof of 
nonprofit and ``Good Standing'' status with the application for 
determination of eligibility. No application will be accepted without 
these two documents.

    Note: Public Law 104-65 states that an organization described in 
section 501(c)(4) of the Internal Revenue Code of 1986 that engages 
in lobbying activities is not eligible to receive Federal funds 
constituting an award, grant, cooperative agreement, contract, loan 
or any other form.

C. Availability of Funds

1. The Commonwealth

    An annualized amount of approximately $1.1 million is available in 
FY 1999 to fund approximately 15 awards in the Commonwealth. It is 
expected that the average award will be $125,000, ranging from $85,000 
to $150,000.

2. The USVI

    Approximately $400,000 is available in FY 1999 to fund 
approximately 3 awards in the USVI. It is expected that the average 
award will be $125,000, ranging from $85,000 to $150,000.
    It is expected that the awards will begin on or about July 1, 1999, 
and will be made for a 12-month budget period within a project period 
of up to 4 years. Applications from CBOs in the Commonwealth requesting 
more than $180,000 per year, including direct and indirect costs, or 
from CBOs in the USVI requesting more than $200,000 per year, including 
direct and indirect costs, will be deemed ineligible and will not be 
accepted by CDC.
    Funding estimates may change based on the following: the 
availability of funds; the scope and the quality of applications 
received; distribution of the HIV epidemic in the Commonwealth and the 
USVI; the appropriateness and reasonableness of the budget request; and 
the proposed use of project funds.
    Noncompeting continuation awards within an approved project period 
will be made on the basis of satisfactory progress as evidenced by 
required reports, CDC site visits, and the availability of funds.

Use of Funds

    Funds available under this announcement must support activities 
directly related to primary HIV prevention. However, intervention 
activities which involve preventing other Sexually Transmitted Diseases 
(STDs) and drug use as a means of reducing or eliminating the risk of 
HIV infection may be supported. No funds will be provided for direct 
patient medical care (including substances abuse treatment, medical 
prophylaxis or drugs).
    These funds may not be used to supplant or duplicate existing 
funding. Although applicants may contract with other organizations 
under these cooperative agreements, applicants must perform a 
substantial portion of the activities (including program management and 
operations and delivery of prevention services) for which funds are 
requested.

Funding Priority

1. The Commonwealth
    Priority will be given to funding activities and interventions 
identified through the Commonwealth's HIV

[[Page 13020]]

Prevention Comprehensive Plan and epidemiological profile. Please refer 
to the Commonwealth's HIV Prevention Comprehensive Plan for the 
recommended HIV Prevention interventions for each priority population.
2. The USVI
    Priority will be given to funding activities and interventions 
identified through the USVI STD/HIV/AIDS epidemiological profile or 
comprehensive HIV prevention plan if available; and to CBOs with proven 
records of reaching their target populations.
    To maximize the effective use of CDC funds, each applicant must 
conduct at least one of the priority Health Education and Risk 
Reduction (HERR) interventions described in the attachment. Although 
activities may cross from one intervention type to another (e.g., 
individual or group level interventions may be a part of a community-
level intervention), each applicant must indicate which one of the four 
interventions is the primary focus. Because of the resources, special 
expertise, and organizational capacities needed for success, applicants 
are discouraged from undertaking more than two of the priority 
interventions previously listed.

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 activities 
under 2. (CDC Activities).

1. Recipient Activities

    a. Conduct a health education and risk reduction interventions 
(HERR) for individuals, groups or communities at high risk of becoming 
infected or transmitting HIV to others. The following four HERR 
interventions will be funded in FY 1999: Individual Level, Group Level, 
Community Level, and Street and Community Outreach. Each recipient must 
conduct at least one of these priority HERR interventions.
    b. As needed, refer high risk clients, both HIV negative and HIV 
positive, and assist them in gaining access to HIV antibody counseling 
and testing; HIV medical care or early medical intervention; STD 
screening, testing, and treatment; psycho-social support; mental health 
services; substance abuse treatment; TB prevention and treatment; 
reproductive health; and other supportive services.
    c. Coordinate and collaborate with the Commonwealth's or the USVI 
Health Department, community planning group, and other organizations 
and agencies involved in HIV prevention activities, especially those 
serving the target population(s) in the local area. This may include 
participation in the HIV Prevention Community Planning Process. 
Participation may include involvement in workshops; attending meetings; 
if nominated and selected, membership on the group; reporting on 
program activities; or commenting on plans.
    d. Conduct process and outcome evaluations of all major program 
activities and services supported with CDC HIV prevention funds.
    Further guidance on these recipient activities is available in the 
application kit.

2. CDC Activities

    a. Provide consultation and technical assistance in planning, 
operating, and evaluating prevention activities. CDC will provide 
consultation and technical assistance both directly and indirectly 
through prevention partners such as health departments, national and 
regional minority organizations (NRMOs), contractors, and other 
national organizations.
    b. Provide up-to-date scientific information on the risk factors 
for HIV infection, prevention measures, and program strategies for 
prevention of HIV infection.
    c. Assist in the evaluation of program activities and services.
    d. Assist recipients in collaborating with health departments, 
community planning groups, and other federally-supported HIV/AIDS 
recipients.
    e. Facilitate the transfer of successful prevention interventions 
and program models to other areas through convening meetings of 
grantees, workshops, conferences, newsletters, and communications with 
project officers.
    f. Monitor the recipient's performance of program activities, 
protection of client confidentiality, and compliance with other 
requirements.
    g. Facilitate exchange of program information and technical 
assistance between community organizations, health departments, and 
national and regional organizations.

E. Application Content

    Use the information in the Program Requirements, Other 
Requirements, and Evaluation Criteria sections to develop the 
application content. Your application will be evaluated on the criteria 
listed, so it is important to follow them in laying out your program 
plan.
    You must prepare your application in English. The narrative should 
be no more than 35 double-spaced pages. Number each page clearly, and 
provide a complete index to the application and its appendices. Please 
begin each separate section of the application on a new page. The 
original and each copy of the application set must be submitted 
unstapled and unbound. All material must be typewritten, in 12 point 
font type, on 8\1/2\'' by 11'' paper, with at least 1'' margins, 
headings and footers, and printed on one side only. Materials which 
should be part of the basic plan will not be accepted if placed in the 
appendices.
    In developing the application, you must follow the format and 
instructions below.

Format

1. Abstract
2. Assessment of Need and Justification for Proposed Activities
3. Organizational History and Capacity
4. Program Plan
5. Evaluation Plan
6. Communications/Dissemination Plan
7. Plan for Acquiring Additional or Matching Resources
8. Budget/Staffing Breakdown and Justification
9. Training and Technical Assistance Plan
10. Attachments

Instructions

    1. Abstract (not to exceed 3 pages): Summarize your proposed 
activities. Include the following:
    a. Summary of the need for the proposed activities;
    b. Long-term goals;
    c. Summary of proposed plan of operation, including the primary 
population(s) to be served and their risk behavior, activities to be 
conducted, and services to be provided;
    d. Summary of plans for evaluating the activities of this project; 
and
    e. Brief summary of future year activities.
    2. Assessment of Need and Justification for Proposed Activities 
(not to exceed 6 pages).
    a. Clearly describe the population(s) for which your proposed 
program will provide services.
    b. Clearly identify the need that will be addressed by your 
proposed program, and describe how you assessed the need. Include 
epidemiologic and other data that were used to identify the need. 
Include a description of existing HIV prevention and risk-reduction 
efforts provided by other organizations to address the needs of the 
target population(s), and an analysis of the gap

[[Page 13021]]

between the identified need and the resources currently available to 
address the need (i.e., How will the proposed activities or program 
address an important unmet HIV prevention need?).
    c. Describe the impact of the AIDS epidemic on the priority 
population and their community and any specific environmental, social, 
cultural, or linguistic characteristics of the priority population(s) 
which you have considered and addressed in developing prevention 
strategies, such as:
    (1) HIV prevalence and incidence (if available), reported AIDS 
cases, and risk behaviors (sexual behaviors, substance use, etc.) in 
the target population;
    (2) HIV/AIDS-related baseline knowledge, attitudes, beliefs, and 
behaviors;
    (3) Patterns of substance use and rates of STDs and tuberculosis 
(TB); and
    (4) Other relevant information. (Specify)
    d. Describe the specific behaviors and practices that the proposed 
interventions are designed to promote and prevent (e.g., increases in 
correct and consistent condom use, knowledge of serological status, not 
sharing needles, and enrollment in drug treatment and other preventive 
programs).
    e. Describe how your proposed program complements the HIV 
prevention priorities identified in the HIV Prevention Comprehensive 
Plan developed by the Commonwealth's Community Planning Group or the 
Epidemiological Profile developed by the USVI Department of Health. If 
the plan does not adequately provide the necessary information, justify 
the need and the priority of your proposed program activities and 
summarize how the activities address prevention gaps and complement 
ongoing prevention efforts. State why the funds requested in this 
application are necessary to address the need.
    f. Explain any specific barriers to the implementation of your 
proposed program and how you will overcome these barriers.
    3. Organizational History and Capacity (not to exceed 5 pages): 
Describe the following:
    a. Organizational structure, including the role, responsibilities, 
and racial/ethnic composition of board of directors; committee 
structure of board of directors; organizational management, 
administrative and program components; constituent or affiliate 
organizations or networks; how the organizational structure will 
support the proposed program activities; and how the structure offers 
the capacity to reach targeted populations.
    b. Past and current experience in developing and implementing 
effective HIV prevention strategies and activities, and in developing 
and implementing programs similar to the one(s) proposed in this 
application. Your discussion should include a description of programs 
provided in the past, both HIV prevention and general services and 
education programs.
    c. The decision-making process in your organization.
    d. Mechanism used by your organization to monitor program 
performance and quality assurance.
    e. Demonstrated ability (1) to work with governmental and non-
governmental organizations, including State, municipal and local health 
departments, local and State non-governmental organizations, national 
agencies or organizations, community planning groups, and other groups 
that provide HIV prevention services; and (2) to coordinate program 
joint program activities with existing governmental and private 
prevention efforts.
    f. Capacity to provide the proposed HERR interventions which are 
culturally competent and linguistically appropriate, and which respond 
effectively to the gender, environmental, and social characteristics of 
the target populations.
    g. For any of the above areas in which you do not have direct 
experience or current capacity, describe how you will ensure that the 
proposed program has that capacity (e.g., through staff development, 
collaboration with other organizations, or a subcontract).
    4. Program Plan (not to exceed 11 pages): Use this section to 
describe your proposed program.
    a. Behaviors and Practices the Interventions will Promote: Describe 
the specific behaviors and practices that the interventions are 
designed to promote and prevent (i.e., increases in correct and 
consistent condom use, knowledge of serological status, not sharing 
needles, and enrollment in drug treatment and other preventive 
programs).
    b. Scientific, Theoretical, Conceptual, or Program Experience 
Foundation for Proposed Activities: Provide a detailed description of 
the scientific, theoretical, conceptual, or program experience 
foundation on which the proposed activities are based and which support 
the potential effectiveness of these activities for addressing the 
stated need.
    c. Involvement of the target population: Describe the involvement 
of the target population in planning, implementing, and evaluating 
activities and services throughout the project period.
    d. Appropriateness of Interventions: Describe how the proposed 
priority interventions and services are culturally competent, sensitive 
to issues of sexual identity, developmentally appropriate, 
linguistically-specific, and educationally appropriate. (Please 
reference the appendix for definitions of these terms.)
    e. Intervention goals and objectives: Describe the broad HIV 
prevention goals that your proposed program aims to achieve over the 
course of the project period. Develop objectives that are specific, 
measurable, time-phased, realistic, related to the proposed activities 
(Reference Appendix for additional guidance on writing objectives), and 
if applicable, how it relates to the prevention priorities outlined in 
the jurisdiction's comprehensive HIV prevention plan. Describe the 
expected results of program activities on its priority population(s). 
Describe potential barriers to or facilitators for reaching these 
objectives.
    f. Plan of Operation:
    (1) Describe the specific activities to be conducted to accomplish 
the objectives.
    (2) Describe the services to be provided to accomplish the 
objectives.
    (3) Specify the approximate dates when activities will be 
accomplished and staff responsible for conducting activities.
    (4) Describe the potential for volunteer involvement in your 
program. If volunteers will be involved, describe plans to recruit, 
train, place, and retain volunteers.
    (5) Describe how you will collaborate with State, municipal and 
local health departments, community planning groups, members of the 
target population, and other appropriate service groups or 
organizations in the development and implementation of your program.
    (6) Describe your mechanism for soliciting program participants.
    (7) Describe how you will promote your program in the community.
    (8) Describe the mechanism to assure client satisfaction.
    (9) Provide the following as attachments: (a) a list of major 
community resources and health care providers to which referrals will 
be made; (b) a plan for ongoing training to ensure that staff are 
knowledgeable about HIV and STD risks and prevention measures; (c) a 
plan to assess the performance of staff to ensure that they are 
providing information and services accurately and effectively; (d) a 
mechanism to initiate and verify

[[Page 13022]]

referrals; and (e) protocols to guide and document training, 
activities, services, and referrals (e.g., applicants seeking funds for 
Street and Community Outreach Interventions must provide a description 
of the policies and procedures that will be followed to assure the 
safety of outreach staff).
    g. Coordination/Collaboration:
    (1) Specify the organizations and agencies with which you will 
establish linkages and coordinate activities in the process of 
developing and implementing your project. These must include State, 
municipal, and local health departments, the appropriate HIV prevention 
community planning group, and should include, as appropriate, the 
following:
    (a) Community groups and organizations, including churches and 
faith groups;
    (b) HIV/AIDS service organizations;
    (c) Ryan White CARE Title I and Title II planning bodes;
    (d) Schools, boards of education, and other State or local 
education agencies;
    (e) State and local substance abuse agencies, community-based and 
other drug treatment or detoxification programs;
    (f) Federally funded community projects, such as those funded by 
the Center for Substance Abuse Treatment (CSAT), Center for Substance 
Abuse Prevention (CSAP), Health Resource Services Administration 
(HRSA), Office of Minority Health (OMH), and other federal agencies;
    (g) Providers of services to youth in high risk situations (e.g., 
youth in shelters);
    (h) State or local departments of mental health;
    (i) Juvenile and adult criminal justice, correctional or parole 
systems and programs;
    (j) Family planning and women's health agencies; and
    (k) STD and TB clinics and programs.
    (2) Describe the activities that will be coordinated with each 
organization.
    (3) Submit and include as attachments memoranda of understanding or 
agreement as evidence of these established or agreed-upon collaborative 
relationships. Memoranda of agreement should specifically describe the 
proposed collaborative activities. Evidence of continuing collaboration 
must be submitted each year to ensure that the collaborative 
relationships are still in place. Memoranda of agreement from health 
departments should include a statement that your application has been 
reviewed.
    5. Evaluation Plan (not to exceed 6 pages): Describe how you will 
monitor progress to determine if the objectives are being achieved 
(process evaluation), and determine if the methods used to deliver the 
proposed activities are effective. Describe how data will be collected, 
analyzed, and used to improve the program.
    a. Evaluation Questions. Specify the questions to be answered 
through the evaluation activities that are being proposed. These 
questions should guide the evaluation process and be directly linked to 
the objectives stated above.
    b. Evaluation Data. Specify the information (data) that will be 
collected to answer the Evaluation Questions stated above. This data 
should enable you to measure quantity (i.e., the number of activities 
conducted or people served) and quality (i.e., the effectiveness of the 
activities conducted and services provided from the program 
participant's point of view).
    c. Sources of Data. Specify the sources of information (data) to be 
collected. Data sources may include program documentation records 
(i.e., client registration forms, participant evaluation forms, 
referral forms, field notes, etc.), information from other service 
providers or institutions (i.e., HIV testing clinics, STD clinics, drug 
treatment centers, schools, etc.), and feedback from staff and clients 
(i.e., client and staff satisfaction forms, etc.). Also specify at what 
points during delivery of the interventions(s), that data will be 
collected.
    d. Collection Method. Specify the methods for data collection. For 
example, data should be collected routinely as a part of program 
services using data collection tools such as sign-in logs, registration 
forms, activity documentation forms, etc. Specify additional methods 
for collecting data such as the use of questionnaires, surveys, other 
data collection instruments, interviews and focus groups, etc.
    e. Baseline Data. Since this evaluation is designed to measure 
change as a result of the intervention, specify the baseline against 
which the change is being measured. Baseline data, such as existing 
attitudes, beliefs, behaviors, and knowledge of participants, is 
established by collecting information prior to the intervention.
    f. Evaluator. Specify the person(s) responsible for designing and 
implementing evaluation activities, collecting and analyzing data, and 
reporting findings.
    g. Use of Data. Explain how the data resulting from the evaluation 
will be used to improve or expand the program.
    h. Dissemination plan. Discuss how the results of the evaluation 
will be reported and who will receive the results.

    Note: Include samples of data collection tools in the 
attachments, if available.

    Your process evaluation plan should:
    a. Provide a detailed description of:
    (1) Each program activity and the documented need for that 
activity; and
    (2) Progress toward achieving each stated objective in the 
cooperative agreement;
    b. Provide detailed information for:
    (1) The specific service or intervention that was provided and how 
it differed from the planned services;
    (2) the description and the number of persons who received the 
service, including demographics such as age, race and ethnicity, 
gender, and if appropriate and available, sexual orientation and risk 
exposure, and how the persons actually served differed from those the 
program intended to serve;
    (3) When and how often the service or intervention was provided and 
how this differed from program plans; and,
    (4) Where the service or intervention was provided (e.g., 
Counseling, Testing, Referral, and Partner Notification (CTRPN) site, 
STD clinic, street corner, housing project) and a comparison of these 
data to the expected locations of service delivery.
    c. Document and describe program successes, unmet needs, barriers 
and problems encountered in planning, implementing, or providing 
services, or in coordinating services with other organizations and 
agencies serving target populations.
    d. Document and describe the success of referral systems, including 
the numbers of persons referred and the number actually receiving 
services by site, and how well the system functions in identifying 
sources of services and in assisting persons in obtaining and receiving 
them.
    e. Document and describe problems that affect planning or 
implementing program activities (e.g., recruiting, hiring, or retaining 
staff; training or ensuring quality staff performance; establishing or 
maintaining contracts with other CBOs or ensuring the quality of their 
performance), and
    f. Describe client satisfaction with HIV prevention services. 
Client satisfaction should be assessed periodically via quantitative or 
qualitative methods (e.g., periodic focus groups with current or former 
clients).
    You are encouraged to conduct outcome evaluation. However, due to 
the additional cost and need for scientific support beyond the scope of 
these cooperative agreements, you

[[Page 13023]]

cannot conduct impact evaluations with cooperative agreement funds 
(e.g., long-term effects of the program in terms of changes in 
behavior). CDC will continue to support special projects to evaluate 
the behavioral and other outcomes of interventions commonly used by 
CBOs and other organizations, and disseminate information and lessons 
learned from this research to CBOs, health departments, community 
planning groups, and other organizations and agencies involved in HIV 
prevention programs. If funds become available, CDC may supplement 
these cooperative agreements for outcome evaluation. Indicate which 
members of the staff will be responsible for developing and 
implementing the evaluation plan.
    6. Communications/Dissemination Plan (not to exceed 2 pages): 
Describe how you will share successful approaches and ``lessons 
learned'' with other organizations.
    7. Plan for Acquiring Additional or Matching Resources (not to 
exceed 1 page): Describe your plan for obtaining additional resources 
from other (non-CDC) sources to supplement the program conducted 
through this cooperative agreement and to increase the likelihood of 
its continuation after the end of the project period.
    2. Budget/Staffing Breakdown and Justification:
    a. Detailed Budget: Provide a detailed, separate budget for each 
HERR intervention proposed (i.e., individual level, group level, 
community level, or street and community outreach) to be undertaken, 
with accompanying justification of all operating expenses that is 
consistent with the stated objectives and planned priority activities. 
CDC may not approve or fund all proposed activities. Be precise about 
the program purpose of each budget item and itemize calculations 
wherever appropriate.
    In the personnel section, specify the job title, annual salary/rate 
of pay, and percentage of time spent on this program. If the identity 
of any key personnel who will fill a position is known, his or her name 
and resume should be attached. Experience and training related to the 
proposed project should be noted.
    For contracts, applicants should name the contractor, if known; 
describe the services to be performed which justifies the use of a the 
contractor; provide a breakdown of and justification for the estimated 
costs of the contracts; the period of performance; the method of 
selection; and method of monitoring the contract.

    Note: If indirect costs are requested, you must provide a copy 
of your organization's current negotiated Federal indirect cost rate 
agreement.

    b. Staffing Plan: Provide a job description for each position for 
this program that specifies job title, function, general duties, 
activities, and salary range. Include the level of effort and 
allocation of time for each project activity by staff positions. If the 
identity of any key personnel who will fill a position is known, her/
his name and resume should be attached. Experience and training related 
to the proposed project should be attached. Experience and training 
related to the proposed project should be noted. If the identity of 
staff is not known, describe your recruitment plan. If volunteers are 
involved in the project, provide job descriptions.
    3. Training and Technical Assistance Plan (not to exceed 2 pages): 
Describe areas in which you anticipate needing technical assistance in 
designing, implementing, and evaluating your program and how you will 
obtain this technical assistance. Describe anticipated staff training 
needs related to the proposed program and how these needs will be met.
    10. Attachments:
    Provide the following as attachments:
    a. Statement of Good Standing issued by the State department;
    b. Certificate of Incorporation issued by the State department;
    c. A list of the members of its governing body along with their 
positions on the board, their expertise in working with or providing 
services to the proposed target population, and their racial/ethnic 
backgrounds (Submission of information regarding the HIV status or 
other confidential information regarding any individual is optional);
    d. An organizational chart of existing and proposed staff, 
including the board of directors, volunteer staff, and their racial/
ethnic backgrounds;
    e. A description of funds received from any source to conduct HIV/
AIDS programs and other similar programs targeting the population 
proposed in the program plan. This summary must include: the name of 
the sponsoring organization/source of income, amount of funding, a 
description of how the funds have been used, and the budget period. In 
addition, identify proposed personnel devoted to this project who are 
supported by other funding sources and the activities they are 
supporting;
    f. A summary of the objectives and activities of the funded 
program(s);
    g. An assurance that the funds being requested will not duplicate 
or supplant funds received from any other Federal or non-Federal 
source. CDC awarded funds can be used to expand or enhance services 
supported with other Federal or non-Federal funds;
    h. Independently audited financial statements from a Certified 
Public Accountant (CPA) for the previous 2 years written in English;
    i. Affiliates of national organizations must include with the 
application an original, signed letter from the chief executive officer 
of the national organization assuring their understanding of the intent 
of this program announcement and the responsibilities of recipients; 
and
    j. Memoranda of Agreement with collaborative organizations which 
describes nature and duration of the relationship and specific joint 
activities to be conducted.

    Note: Materials submitted as attachments should be printed on 
one side of 8\1/2\x11 paper. Please do not attach bound materials 
such as booklets or pamphlets. Rather, submit copies of the 
materials printed on one side of 8\1/2\x11 paper. Bound materials 
will not be reviewed.

F. Submission and Deadline

    Submit the original and two copies of the PHS 5161 (OMB Number 
0937-0189). forms are in the application kit. On or before May 7, 1999, 
submit the application written in English to: Patrick Smith, Grants 
Management Specialist, Grants Management Branch, Procurement and Grants 
Office, Centers for Disease Control and Prevention (CDC), Announcement 
Number 99047, 2920 Brandywine Road, Suite 3000, Atlanta, Georgia 30341-
4146.
    Deadline: Applications shall be considered as meeting the deadline 
if they are either:
    (a) Received on or before the deadline date; or
    (b) Sent on or before the deadline date and received in time for 
orderly processing. (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 
are not acceptable proof of timely mailing.)
    Late Applications: Applications which do not meet the criteria in 
(a) or (b) above are considered late applications, will not be 
considered, and will be returned to the applicant.

G. Evaluation Criteria

    Each application will be evaluated individually against the 
following criteria by an independent review group appointed by CDC.
    1. Abstract (not scored).

[[Page 13024]]

    2. Assessment of Need and Justification for the Proposed Activities 
(20 points):
    a. The extent to which the applicant soundly documents a 
substantial need for the proposed program and activities. (10 points)
    b. The quality of the applicant's plan to ensure consistency with 
applicable State and local comprehensive HIV prevention plans and, if 
applicable, the adequacy with which the applicant demonstrates the 
rational for deviating from the jurisdiction's comprehensive HIV 
prevention plan. (10 points)
    3. Organizational History and Capacity (15 points): The extent to 
which the applicant's documents having at least 12 months experience in 
operating and centrally administering a community-based organization 
targeting priority populations as described in the Commonwealth's HIV 
Prevention Comprehensive Plan and the USVI Epidemiological Profile; and 
demonstrates experience, capacity, and ability to address the 
identified needs and implement the proposed activities, including:
    a. How the applicant's organizational structure and planned 
collaborations (including constituent or affiliated organizations or 
networks) will support the proposed program activities, and how the 
proposed program will have the capacity to reach targeted populations; 
(3 points)
    b. Applicant's past and current experience in developing and 
implementing effective HIV prevention strategies and activities, and in 
developing and implementing programs similar to those proposed in this 
application; (3 points)
    c. Applicant's capacity to provide culturally competent and 
appropriate services which respond effectively to the cultural, gender, 
environmental, social and multilingual character of the target 
audiences, including documentation of any history of providing such 
services; (3 points)
    d. Applicant's experience and ability in collaborating with 
governmental and non-governmental organizations, including other 
national agencies or organizations, State and local health departments, 
community planning groups, and State and local non-governmental 
organizations that provide HIV prevention services; (3 points) and
    e. Plans to ensure capacity to implement proposed program where no 
direct experience or capacity currently exists within the applicant 
organization. (3 points)
    4. Program Plan (45 total points):
    a. Behaviors and Practices the Interventions will Promote (5 
points): The degree to which the applicant describes the specific 
behaviors and practices that the interventions are designed to promote 
and prevent (i.e., increases in correct and consistent condom use, 
knowledge of serological status, not sharing needles, and enrollment in 
drug treatment and other preventive programs).
    b. Scientific, Theoretical, Conceptual, or Program Experience 
Foundation for Proposed Activities (5 points): The degree to which the 
applicant provides a detailed description of the scientific, 
theoretical, conceptual, or program experience foundation on which the 
proposed activities are based and which support the potential 
effectiveness of these activities for addressing the stated need.
    c. Involvement of the target population (5 points): The degree to 
which the applicant describes the involvement of the target population 
in planning, implementing, and evaluating activities and services 
throughout the project period.
    d. Appropriateness of Interventions (5 points): The degree to which 
the applicant describes how the proposed priority interventions and 
services are culturally competent, sensitive to issues of sexual 
identity, developmentally appropriate, linguistically-specific, and 
educationally appropriate. (Please reference the appendix for 
definitions of these terms.)
    e. Goals and Objectives (10 points): Degree to which the proposed 
objectives are specific, measurable, time-phased, related to the 
proposed activities, and consistent with the program's long-term goals; 
the extent to which the applicant identifies possible barriers to or 
facilitators for reaching these objectives.
    f. Plan of Operations (10 points): The quality of the applicant's 
plan for conducting program activities, and the potential effectiveness 
of the proposed activities in meeting objectives.
    g. Coordination/Collaboration (5 points): Appropriateness of 
collaboration and coordination with other organizations serving the 
same priority population(s). At minimum, the applicant provides a 
description of the collaboration and a signed memoranda of agreement 
for each agency with which collaborative activities are proposed, and 
other evidence of collaboration that describe previous, current, as 
well as future areas of collaboration.
    5. Evaluation Plan (10 points): The potential of the evaluation 
plan to measure the effectiveness of program implementation, 
achievement of program objectives, and facilitate program improvement.
    6. Communications/Dissemination Plan (5 points): The degree to 
which the applicant describes how successful approaches and ``lessons 
learned'' will be shared with other organizations.
    7. Plan for Acquiring Additional or Matching Resources (5 points): 
The degree to which the applicant describes the plan for obtaining 
additional resources from other (non-CDC) sources to supplement the 
program conducted through this cooperative agreement and to increase 
the likelihood of its continuation after the end of the project period.
    8. Budget/Staffing Breakdown and Justification (not scored):
    a. Personnel (not scored) Appropriateness of the staffing pattern 
for the proposed project.
    b. Budget (not scored) Appropriateness of the budget for the 
proposed project.
    9. Training and Technical Assistance Plan (not scored): The extent 
to which the applicant describes areas in which technical assistance is 
anticipated in designing, implementing, and evaluating the proposed 
program and how the applicant will obtain this technical assistance. 
The extent to which the applicant describes anticipated staff training 
needs related to the proposed program and how these needs will be met.
    Before final award decisions are made, CDC will either make 
predecisional site visits to CBOs whose applications are highly ranked 
or review the items below with the local or State health department and 
applicant's board of education.
    a. The organizational and financial capability of the applicant to 
implement the proposed program.
    b. The application and program plans for priority HERR 
interventions, compliance with the jurisdictional's HIV prevention 
priorities as outlined in the comprehensive plan or, if the proposed 
program varies from the jurisdiction's comprehensive plan, evaluate the 
rationale for the variance.
    c. The special programmatic conditions and technical assistance 
requirements of the applicant.
    A business management and fiscal recipient capability assessment 
may be required of some applicants prior to the award of funds.

H. Other Requirements

Technical Reporting Requirement

    Provide CDC with the original plus two copies of:
    1. Progress reports quarterly;
    2. Financial status report, no more than 90 days after the end of 
the budget period; and

[[Page 13025]]

    3. Final financial status and performance reports, no more than 90 
days after the end of the project period.
    Send all reports to: Patrick Smith, Grants Management Specialist, 
Grants Management Branch, Procurement and Grants Office, Centers for 
Disease Control and Prevention, 2920 Brandywine Road, Suite 3000, 
Atlanta, GA 30341-4146.
    The following additional requirements are applicable to this 
program. For a complete description of each, see Attachment I in the 
application package.

AR-4  HIV/AIDS Confidentiality Provisions
AR-5  HIV Program Review Panel Requirements
AR-7  Executive Order 12372
AR-8  Public Health System Reporting Requirements
AR-9  Paperwork Reduction Act Requirements
AR-10  Smoke-Free Workplace Requirements
AR-11  Healthy People 2000
AR-12  Lobbying Restrictions
AR-14  Accounting System Requirements
AR-15  Proof of Non-Profit Status

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. Sections 241 and 247B], as amended. The 
Catalog of Federal Domestic Assistance Number is 93.939.

J. Where To Obtain Additional Information

    To receive additional written information and to request an 
application kit, call 1-888-GRANTS4 (1-888-472-6874). You will be asked 
to leave your name and address and will be instructed to identify the 
Announcement number of interest.
    If you have questions after reviewing the contents of all the 
documents, business management technical assistance may be obtained 
from: Patrick Smith, Grants Management Specialist, Grants Management 
Branch, Procurement and Grants Office, Announcement Number 99047, 
Centers for Disease Control and Prevention (CDC), 2920 Brandywine Road, 
Suite 3000, Atlanta, GA 30341-4146, telephone (770) 488-2731, Email 
address: phs3@cdc.gov
    For program technical assistance, contact Samuel Martinez, Project 
Officer at (404) 639-5219, Email address: sbm5@cdc.gov or Samuel 
Taveras, Team Leader, at (404) 639-5230, Email address: syt2@cdc.gov.
    See also the CDC homepage on the Internet: www.cdc.gov
John L. Williams,
Director, Procurement and Grants Office, Centers for Disease Control 
and Prevention (CDC).
[FR Doc. 99-6298 Filed 3-15-99; 8:45 am]
BILLING CODE 4163-18-M