Community-Based Human Immunodeficiency Virus (HIV) Prevention Projects

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Centers for Disease Control and Prevention

[Announcement No. 704]

Community-Based Human Immunodeficiency Virus (HIV) Prevention

Projects

Introduction

The Centers for Disease Control and Prevention (CDC) announces the

expected availability of fiscal year (FY) 1997 funds for cooperative

agreements for HIV prevention projects for minority and other

community-based organizations (CBOs) serving populations at increased

risk of acquiring or transmitting HIV infection.

CDC is committed to achieving the health promotion and disease

prevention objectives of ``Healthy People 2000,'' a national activity

to

[[Page 51703]]

reduce morbidity and mortality and improve the quality of life. This

announcement relates to the priority areas of Educational and

Community-Based Programs, HIV Infection, and Sexually Transmitted

Diseases (STDs). It addresses the ``Healthy People 2000'' objectives 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 summary of the HIV-related objectives will be included in the

application kit. (To order a copy of ``Healthy People 2000,'' see the

section entitled ``Where to Obtain Additional Information.'')

Preapplication Workshops

The following preapplication technical assistance workshops will be

held to assist all prospective applicants in understanding CDC

application requirements and program priorities:

10/11 Washington, DC

National Skills Building Conference, Washington Hilton Towers, 1919

Connecticut Ave. NW

10/15 San Juan, PR

Sands Hotel--Isla Verde, San Juan

10/15 Detroit, MI

Dept. of Health, Herman Kiefer Health Center, 1151 Taylor St., 7th

Floor Chapel

10/16 Dallas, TX

Holiday Inn, 3005 W. Airport Freeway, (Bedford, TX)

10/16 Philadelphia, PA

Doubletree Hotel, Broad Street at corner of Locust Street

10/16 St. Louis, MO

St. Louis City Health Dept., 634 N. Grand Ave., Conference Rm 100

10/16 Orlando, FL

Radisson Hotel, 60 S. Ivanhoe Blvd.

10/17 Ft. Lauderdale, FL

Broward County Public Library, 1350 E. Sunrise Blvd., Suite 100

10/18 Kansas City, MO

Bartle Hall Convention Center, 301 West 13th St.

10/18 Austin, TX

Red Lion Inn, 6121 North I-35 Hwy 290

10/21 Memphis, TN

State Tech Inst.-Farris Auditorium, 5983 Macon Cove

10/21 Seattle, WA

Wyndham Garden Hotel Sea/Tac, 18118 Pacific Highway South

10/21 Cleveland, OH

Cleveland Convocation Center, 2000 Prospect Avenue

10/22 Minneapolis, MN

Minnesota American Indian Women's Resource Center, 2300-15th Ave S.

10/23 Denver, CO

Cherry Creek Inn, 600 S. Colorado Blvd

10/24 Atlanta, GA

Holiday Inn, 130 Clairmont Ave., (Decatur, GA)

10/24 Richmond, VA

Sheraton Airport, 4700 S. Laburnum Ave.

10/24 Chicago, IL

Chicago Public Library, Harold Washington Center, 400 South State

St.

10/25 Washington, DC

American Society of Association Executives, 1575 I Street NW

10/25 Phoenix, AZ

State Health Dept., 1740 West Adams St., 4th floor Conf. Room A/B,

10/28 Rock Hill, SC

Baxter Hood Center, 452 S. Anderson Rd.

10/28 Boston, MA

Dept. of Public Health, 250 Washington Street

10/29 New York, NY

New York Hilton Conference Center, 1335 Avenue of the Americas,

53rd to 54th St.

10/29 Orange Co, CA

Red Lion Inn, 3050 Bristol St. (Costa Mesa, CA)

10/30 New Orleans, LA

Radisson Inn New Orleans Airport, 2150 Veterans Blvd. (Kenner, LA)

10/30 North Haven, CT

Holiday Inn North Haven, 201 Washington Ave.

10/31 Oakland, CA

Oakland Marriott, 1001 Broadway St.,

11/01 Somerset, NJ

Woodbridge Hilton, 120 Wood Ave. South, (Iselin, New Jersey)

All workshops are scheduled from 9:00 a.m.-4:00 p.m. and are being

held in the high HIV prevalence Metropolitan Statistical Areas.

Application kits will be available at the workshops.

Conference calls for States/territories categorized as low HIV

prevalence geographic areas will be scheduled as follows:

10/29, 12-3 p.m. EDST (WY, ID, MT, SD, ND, UT, WI, IN, IA, NE, NV)

11/4, 9-12 p.m. EDST (ME, NH, VI, WV)

11/6, 11-2 p.m. EDST (MS, AL, KY, OK, AR, NM, KS)

11/8, 4-7 p.m. EDST

(Marshall Islands, Micronesia, HI, AK, Palau, Samoa, Guam, Mariana

Islands)

The telephone number for all conference calls is: 404-639-4100 and

the pass code (when asked by the automated voice) is 267012.

For additional information about the conference calls or workshops,

call your State or City Health Department Contact.

During the workshops, information will be presented on application

and business management requirements, programmatic priorities, HIV

prevention community planning, and how to access additional

preapplication resources relevant to application development.

For additional information concerning workshops in your area,

please contact your State or local health department or a project

officer in the Division of HIV/AIDS Prevention, National Center for

HIV, STD, and TB Prevention, Centers for Disease Control and Prevention

(CDC), Mail Stop E-58, Atlanta, GA 30333, telephone (404) 639-8317.

Prospective applicants are encouraged to attend a workshop in their

area.

Authority

This program is authorized under the Public Health Service Act,

Sections 301(a) (42 U.S.C. 241(a)), and 317(k)(2) (42 U.S.C.

247b(k)(2)).

Smoke-Free Workplace

CDC strongly encourages all grant recipients to provide a smoke-

free workplace and promote the non-use of all tobacco products, and

Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in

certain facilities that receive Federal funds in which education,

library, day care, health care, and early childhood development

services are provided to children.

Eligible Applicants

To be eligible for funding under this announcement, applicants must

be a tax-exempt, non-profit CBO whose net earnings in no part accrue to

the benefit of any private shareholder or person. Tax-exempt status is

determined by the Internal Revenue Service (IRS) Code, Section

501(c)(3). Tax-exempt status may be proved by either providing a copy

of the pages from the IRS' most recent list of 501(c)(3) of tax-exempt

organizations or a copy of the current IRS Determination Letter. Proof

of tax-exempt status must be provided with the application.

Note: Organizations authorized under section 501(c)(4) of the

Internal Revenue Code of 1986 are not eligible to receive Federal

grant/cooperative agreement funds.

CBOs may apply as either: (1) minority CBOs intending to serve

predominantly racial or ethnic minority populations at high risk of

acquiring or transmitting HIV infection, or (2) CBOs serving high-risk

populations without regard to their racial or ethnic identity. Each

organization may submit only one application. The applicant must

clearly indicate whether it is applying as a minority or other CBO. To

apply as a minority CBO the applicant

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organization must have the following: (1) a governing board composed of

more than 50% racial or ethnic minority members, (2) a significant

number of minority individuals in key program positions (including

management, administrative and service provision) who reflect the

racial and ethnic demographics and other characteristics of the

population to be served, and (3) an established record of service to a

racial or ethnic minority community or communities. In addition, if the

minority organization is a local affiliate of a larger organization

with a national board, the larger organization must meet the same

requirements listed above. If applying as a minority CBO, proof of

minority status must be provided with the application. Affiliates of

national organizations must provide proof of their national

organization's eligibility and include with the application an

original, signed letter from their chief executive officer assuring

their understanding of the intent of this program announcement and the

responsibilities of recipients.

Organizations applying as a CBO serving high-risk populations,

without regard to their racial or ethnic identity, must meet the

criteria listed above, except for the proof of minority status.

CDC will not accept an application without proof of tax-exempt

status, minority status (if applicable), and proof of eligibility for

affiliates of national organizations (if applicable).

Applications requesting funds to support only administrative and

managerial functions will not be accepted.

Governmental or municipal agencies, their affiliate organizations

or agencies (e.g., health departments, school boards, public

hospitals), and private or public universities and colleges are not

eligible for funding under this announcement.

CBOs requesting funds under this announcement will be categorized

into one of two mutually exclusive groups: (1) high prevalence

Metropolitan Statistical Areas (MSAs) or (2) lower prevalence

geographic areas. For the purposes of this program, high prevalence

MSAs are defined by greater than 500 reported AIDS cases in racial or

ethnic minorities (African Americans, Alaskan Natives, American

Indians, Asian Americans, Latinos/Hispanics, and Pacific Islanders) in

the 3 year period 1993, 1994, and 1995, or as Title I eligible

metropolitan areas (EMAs) for FY 1996 under the Ryan White

Comprehensive AIDS Resources Emergency (CARE) Act. Eligible high

prevalence MSAs (and the corresponding OMB Federal Identification

Processing (FIPS) code) are the following:

Arizona................................... Phoenix-Mesa (6200).

California................................ Los Angeles-Long Beach

(4480), Oakland (5775),

Orange County (5945),

Riverside-San Bernardino

(6780), Sacramento (6920),

San Diego (7320), San

Francisco (7360), San Jose

(7400), Santa Rosa (7500).

Colorado.................................. Denver (2080).

Connecticut............................... Hartford (3283), New Haven-

Bridgeport-Stamford-Danbury-

Waterbury (5483).

Delaware-Maryland......................... Wilmington-Newark (9160).

District of Columbia-Maryland-Virginia- Washington, D.C. (8840)

West Virginia. (including Prince Georges

County).

Florida................................... Ft. Lauderdale (2680),

Jacksonville (3600), Miami

(5000), Orlando (5960),

Tampa-St. Petersburg-

Clearwater (8280), West

Palm Beach-Boca Raton

(8960).

Georgia................................... Atlanta (520).

Illinois.................................. Chicago (1600).

Louisiana................................. New Orleans (5560).

Maryland.................................. Baltimore (720).

Massachusetts-New Hampshire............... Boston-Worcester-Lawrence-

Lowell-Brockton (1123).

Michigan.................................. Detroit (2160).

Minnesota-Wisconsin....................... Minneapolis-St. Paul (5120).

Missouri-Kansas........................... Kansas City (3760).

Missouri-Illinois......................... St. Louis (7040).

New Jersey................................ Newark (5640), Jersey City

(3640), Bergan-Passaic

(875), Middlesex-Somerset-

Hunterdon (5015), Monmouth-

Ocean (5190), Vineland-

Millville-Bridgeton (8760).

New York.................................. Duchess County (2281), New

York City (5600), Nassau-

Suffolk (5380).

North Carolina-South Carolina............. Charlotte-Gastonia-Rock Hill

(1520).

Ohio...................................... Cleveland-Lorain-Elyria

(1680).

Oregon-Washington......................... Portland-Vancouver (6440).

Pennsylvania-New Jersey................... Philadelphia (6160).

Puerto Rico............................... Caguas (1310), Ponce (6360),

San Juan-Bayamon (7440).

South Carolina............................ Columbia (1760).

Tennessee-Arkansas-Mississippi............ Memphis (4920).

Texas..................................... Austin-San Marcos (640),

Dallas (1920), Ft. Worth-

Arlington (2800), Houston

(3360), San Antonio (7240).

Virginia-North Carolina................... Norfolk-Virginia Beach-

Newport News (5720),

Richmond-Petersburg (6760).

Washington................................ Seattle-Bellevue-Everett

(7600).

CBOs not located in the aforementioned list of high prevalence MSAs

will be categorized as lower prevalence geographic areas.

Availability of Funds

In FY 1997, CDC expects a total of up to $17,000,000 to be

available for funding approximately 80 CBOs (70 in high prevalence MSAs

and 10 in lower prevalence geographic areas).

A. High Prevalence MSAs

Up to $15,400,000 of the total $17,000,000 will be made available

to CBOs in high prevalence MSAs. The estimated awards will average

$200,000 and will range from $75,000 to $300,000. In high prevalence

MSAs, $11,500,000 will be dedicated to supporting minority CBOs that

represent and serve racial or ethnic minority persons and that meet the

criteria outlined in the section entitled Eligible Applicants. The

remaining $3,900,000 will be dedicated to supporting CBOs serving high-

risk

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populations without regard to their racial or ethnic identity, in high

prevalence MSAs.

B. Lower Prevalence Geographic Areas

The remaining $1,600,000 of the total funds expected will be made

available to fund CBOs in lower prevalence geographic areas. These

estimated awards will average $100,000. Of the $1,600,000 available, up

to $1,200,000 will support minority CBOs and at least $400,000 will

support CBOs serving high-risk populations without regard to their

racial or ethnic identity.

These estimates are subject to change based on the following: the

actual availability of funds; the scope and the quality of applications

received; appropriateness and reasonableness of the budget request;

proposed use of project funds; and the extent to which the applicant is

contributing its own resources to HIV/AIDS prevention activities.

Applications for more than $300,000 will be deemed ineligible and

will not be accepted by CDC.

Funds available under this announcement must support activities

directly related to primary HIV prevention. However, intervention

activities which involve preventing other 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

substance 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.

Awards will be made for a 12-month budget period within a 3-year

project period. (Budget period is the interval of time into which the

project period is divided for funding and reporting purposes. Project

period is the total time for which a project has been programmatically

approved.)

Noncompeting continuation awards for a new budget period within an

approved project period will be made on the basis of satisfactory

progress in meeting project objectives and the availability of funds.

Progress will be determined by site visits by CDC representatives,

progress reports, and the quality of future program plans. Proof of

eligibility will be required with the noncompeting continuation

application.

Purpose

This program will provide assistance to CBOs to: (1) Develop and

implement effective community-based HIV prevention programs that

reflect national program goals and are consistent with the HIV

prevention priorities outlined in their State or local health

department's comprehensive HIV prevention plan developed through HIV

Prevention Community Planning (where available); and (2) promote

collaboration and coordination of HIV prevention efforts among CBOs and

the local activities of HIV prevention service agencies, public

agencies including local and State health departments (and HIV

prevention community planning groups), substance abuse agencies,

educational agencies, criminal justice systems, and affiliates of

national and regional organizations.

In order 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 below. 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 its

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 listed below.

HERR interventions include programs and services to reach persons

at increased risk of becoming HIV-infected or, if already infected, of

transmitting the virus to others. The goal of HERR interventions is to

reduce the risk of these events occurring. These interventions should

be directed to persons whose behaviors or personal circumstances place

them at high risk.

The following have been identified as successful HERR interventions

for HIV prevention and will be funded within the scope of this

announcement: Individual Level Interventions (including prevention case

management), Group Level Interventions, Community Level Interventions,

and Street and Community Outreach. The Guidelines for Health Education

and Risk Reduction Activities (included in the application kit) will

provide additional information on these interventions. A brief

description of the priority interventions follows:

A. Individual Level Interventions provide a range of one-on-one

client services that offer counseling, assist clients in assessing

their own behavior and planning individual behavior change, support and

sustain behavior change, and facilitate linkages to services in clinic

and community settings (e.g., substance abuse treatment programs) in

support of behaviors and practices that prevent the transmission of

HIV. Some clients may be at very high risk of becoming HIV-infected or,

if already infected, of transmitting the virus to others. Additional

prevention counseling, as appropriate to the needs of these clients,

should be offered. Prevention Case Management is an individual level

intervention directed at persons who need highly individualized

support, including substantial psychosocial, interpersonal skills

training, and other support, to remain seronegative or to reduce the

risk of HIV transmission to others. HIV prevention case management

services are not intended as substitutes for medical case management or

extended social services. Services provided under this component should

concentrate on the identification, coordination, and receipt of

appropriate prevention services. Prevention case management services

should complement ongoing HIV prevention services such as HIV antibody

counseling, testing, referral, and partner notification and early

medical intervention programs. Coordination with HIV counseling and

testing clinics, STD clinics, TB testing sites, substance abuse

treatment programs, family planning services, and other health service

agencies is essential to successfully recruiting or referring persons

at high risk who are appropriate for this type of intervention.

B. Group Level Interventions shift the delivery of service from

individual to groups of varying sizes. Group level interventions

provide education and support in group settings to promote and

reinforce safer behaviors and to provide interpersonal skills training

in negotiating and sustaining appropriate behavior change to persons at

increased risk of becoming infected or, if already infected, of

transmitting the virus to others. The content of the group session

should be consistent with the format, i.e., groups can meet one time or

on an on-going basis. One-time sessions can provide participants an

opportunity to hear and learn from one another's experiences, role play

with peers, and offer and receive support. Ongoing sessions may offer

stronger social influence with potential for developing emergent norms

that can support risk reduction. A group level intervention can include

more tailored individual

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level interventions with some of the group members.

C. Community Level Interventions are directed at changing community

norms, rather than the individual or a group, to increase community

support of the behaviors known to reduce the risk for HIV infection and

transmission. While individual and group level interventions also may

be taking place within the community, interventions that target the

community level are unique in their purpose and are likely to lead to

different strategies than other types of interventions. Community level

interventions aim to reduce risky behaviors by changing attitudes,

norms, and practices through health communications, social (prevention)

marketing, community mobilization and organization, and community-wide

events. The primary goals of these programs are to improve health

status, to promote healthy behaviors, and to change factors that affect

the health of community residents. The community may be defined in

terms of a neighborhood, region, or some other geographic area, but

only as a mechanism to capture the social networks that may be located

within those boundaries. These networks may be changing and

overlapping, but should represent some degree of shared communications,

activities, and interests. Community level interventions are designed

to promote community support of prevention efforts by working with the

social norms or shared beliefs and values held by members of the

community. Specific activities include:

Identifying and describing (through needs assessments and

ongoing feedback from the community) structural, environmental,

behavioral, and psychosocial facilitators and barriers to risk

reduction in order to develop plans to enhance facilitators and

minimize or eliminate barriers.

Developing and implementing, with participation from the

community, culturally competent, developmentally appropriate,

linguistically specific, and sexual- identity-sensitive interventions

to influence specific structural, environmental, behavioral, and

psychosocial factors thought to promote risk reduction.

Persuading community members who are at risk of acquiring

or transmitting HIV infection to accept and use HIV prevention

measures.

D. Street and Community Outreach Interventions are defined by their

locus of activity and by the content of their offerings. Street and

community outreach programs reach persons at high risk, individually or

in small groups, on the street or in community settings, and provide

them prevention messages, information materials, and other services,

and assist them in obtaining primary and secondary HIV-prevention

services such as HIV-antibody counseling and testing, HIV risk-

reduction counseling, STD and TB treatment, substance abuse prevention

and treatment, family planning services, tuberculin testing, and HIV

medical intervention. Street and Community Outreach is an activity

conducted outside a more traditional, institutional health care setting

for the purpose of providing direct HERR services or referrals. The

fundamental principle of these outreach activities is that the outreach

worker establishes face-to-face contact with the client in his or her

own environment to provide HIV/AIDS risk reduction information,

services, and referrals.

Program Requirements

A cooperative agreement is a legal agreement between CDC and the

recipient in which CDC provides financial assistance and substantial

Federal programmatic involvement with the recipient during the

performance of the project. In a cooperative agreement, CDC and the

recipient of Federal funds share roles and responsibilities. In

conducting activities to achieve the purpose of this program, the

recipient will be responsible for the activities under A. below; CDC

will be responsible for activities under B. below.

A. Recipient Activities

1. Conduct a health education and risk reduction intervention(s)

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 1997: Individual Level, Group Level,

Community Level, and Street and Community Outreach. Each recipient must

conduct at least one of these priority HERR interventions.

2. 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; psychosocial support; mental health

services; substance abuse treatment; TB prevention and treatment;

reproductive health; and other supportive services.

3. Coordinate and collaborate with health departments, community

planning groups, and other organizations and agencies involved in HIV

prevention activities, especially those serving the target populations

in the local area. This includes 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.

4. Evaluate all major program activities and services supported

with CDC HIV prevention funds.

Further guidance on these recipient activities is available in the

application kit.

B. CDC Activities

1. 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.

2. Provide up-to-date scientific information on the risk factors

for HIV infection, prevention measures, and program strategies for

prevention of HIV infection.

3. Assist in the evaluation of program activities and services.

4. Assist recipients in collaborating with State and local health

departments, community planning groups, and other federally-supported

HIV/AIDS recipients.

5. 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.

6. Monitor the recipient's performance of program activities,

protection of client confidentiality, and compliance with other

requirements.

7. Facilitate exchange of program information and technical

assistance between community organizations, health departments, and

national and regional organizations.

Review and Evaluation Criteria

Eligible applications will be evaluated by a two-step process. Step

1 is a review of the merits of the application against the criteria

listed in A.1. below. If an exceptionally large number of applications

are received, CDC may conduct a two-phased review in which all

applications receive a preliminary review (A.1.-A.3. below) and the

applications with high ratings receive the second phase of the review

(A.1.-A.7.). Step 2 is a predecisional site visit.

[[Page 51707]]

CDC-convened Special Emphasis Panels will evaluate each application

by the following criteria:

A. Application

1. Extent of experience in providing HIV prevention services to the

target population; (20 points).

2. Extent of need for the program as evidenced by the comprehensive

HIV prevention plan and other needs assessment information provided by

the applicant; (10 points).

3. How well the program plan identifies and describes how proposed

HERR interventions address prevention gaps related to their proposed

priority population(s); (10 points).

4. Degree to which the proposed objectives are specific,

measurable, time-phased, related to the proposed activities, related to

prevention priorities outlined in the jurisdiction's comprehensive HIV

prevention plan and national HIV prevention goals, and consistent with

the applicant organization's overall mission; (15 points).

5. The quality of the applicant's plan for conducting program

activities, and the potential effectiveness of the proposed activities

in meeting objectives; (20 points).

6. Degree of collaboration and coordination with other

organizations serving the same priority population(s). This includes

signed work plans, agreements, or other evidence of collaboration that

describe previous, current, as well as future areas of collaboration;

(15 points) and

7. The potential of the evaluation plan to measure the

accomplishment of program objectives. (10 points)

B. Predecisional Site Visits

Before final award decisions are made, CDC may make site visits to

CBOs whose applications are highly ranked. The purpose of these site

visits will be to assess the organizational and financial capability of

the applicant to implement the proposed program, review the application

and program plans for priority HERR interventions, assess compliance

with the jurisdiction's HIV prevention priorities as outlined in the

comprehensive plan, and determine any special programmatic conditions

and technical assistance requirements of the applicant.

A fiscal Recipient Capability Audit may be required of some

applicants prior to the award of funds.

Funding Priorities

In making awards, priority will be given to: (1) ensuring a

geographic balance of funded CBOs (the number of funded CBOs may be

limited in each eligible area based on the number of reported AIDS

cases, e.g., no more than one funded CBO for each 1,000 reported AIDS

cases in minority populations in 1993, 1994, and 1995), (2) providing

support to racial and ethnic minority CBOs and CBOs serving high risk

populations without regard to their racial or ethnic identity, with

proven records of effectively reaching their target populations, and

(3) supporting activities that address the HIV prevention priorities

identified in the jurisdiction's comprehensive HIV prevention plan (if

available). Consideration will also be given to ensuring a national

balance of funded CBOs in terms of targeted populations and behaviors.

Executive Order 12372 Review

Applications are subject to review as governed by Executive Order

(E.O.) 12372, Intergovernmental Review of Federal Programs. E.O. 12372

sets up a system for State and local government review of proposed

Federal assistance applications. Applicants should contact their State

single point of contact (SPOC) as early as possible to alert them to

the prospective applications and receive instructions on the State

process. For proposed projects serving more than one State, the

applicant is advised to contact the SPOC for each State. A current list

of SPOCs is included in the application kit. If SPOCs have any State

process recommendations on applications submitted to CDC, they should

forward them to Van Malone, Grants Management Officer, Grants

Management Branch, Procurement and Grants Office, Centers for Disease

Control and Prevention (CDC), 255 East Paces Ferry Road, NE., Room 300,

Mail Stop E-15, Atlanta, GA 30305, no later than 60 days after the

application deadline date.

CDC does not guarantee to accommodate or explain State process

recommendations it receives after that date.

Public Health System Reporting Requirements

This program is subject to the Public Health System Reporting

Requirements. Under these requirements, all community-based

nongovernmental applicants must prepare and submit the items identified

below to the head of the appropriate State and/or local health

agency(s) in the program area(s) that may be impacted by the proposed

project no later than the receipt date of the Federal application. The

appropriate State and/or local health agency is determined by the

applicant. The following information must be provided:

A. A copy of the face page of the application (SF 424);

B. A summary of the project that should be titled ``Public Health

System Impact Statement (PHSIS),'' not to exceed one page, and include

the following:

1. A description of the population to be served;

2. A summary of the services to be provided; and

3. A description of the coordination plans with the appropriate

State and/or local health agencies.

If the State and/or local health official should desire a copy of

the entire application it may be obtained from the State Single Point

of Contact (SPOC) or directly from the applicant.

Catalog of Federal Domestic Assistance Number

The Catalog of Federal Domestic Assistance Number is 93.939, HIV

Prevention Activities--Non-Governmental Organization Based.

Other Requirements

A. HIV Program Review Panel

Recipients must comply with the terms and conditions included in

the document titled Content of HIV/AIDS-Related Written Materials,

Pictorials, Audiovisuals, Questionnaires, Survey Instruments, and

Educational Sessions in Centers for Disease Control and Prevention

(CDC) Assistance Programs (June 1992), a copy of which is included in

the application kit. In complying with the program review panel

requirements contained in this document, recipients are encouraged to

use a current program review panel such as the one created by the State

health department's HIV/AIDS Prevention Program. If the recipient forms

its own program review panel, at least one member must also be an

employee or a designated representative of a State or local health

department. The names of review panel members must be listed on the

Assurance of Compliance Form, CDC 0.1113.

B. Accounting System

The services of a certified public accountant licensed by the State

Board of Accountancy or equivalent must be retained throughout the

budget period as a part of the recipient's staff or as a consultant to

the recipient's accounting personnel. These services may include the

design, implementation, and maintenance of an accounting system

[[Page 51708]]

that will record receipts and expenditures of Federal funds in

accordance with accounting principles, Federal regulations, and terms

of the cooperative agreement.

C. Audits

Funds claimed for reimbursement under this cooperative agreement

must be audited annually by an independent certified public accountant

(separate and independent of the consultant referenced above or

recipient's staff certified public accountant). This audit must be

performed within 60 days after the end of the budget period, or at the

close of an organization's fiscal year. The audit must be performed in

accordance with generally accepted auditing standards (established by

the American Institute of Certified Public Accountants (AICPA)),

governmental auditing standards (established by the General Accounting

Office (GAO)), and Office of Management and Budget (OMB) Circular A-

133.

D. Human Subjects

If the proposed project involves research on human subjects, the

applicant must comply with the Department of Health and Human Services

Regulations (45 CFR Part 46) regarding the protection of human

subjects. Assurance must be provided (in accordance with the

appropriate guidelines and form provided in the application kit) to

demonstrate that the project will be subject to initial and continuing

review by an appropriate institutional review committee.

E. Paperwork Reduction Act

Data collection initiated under this cooperative agreement has been

approved by the Office of Management and Budget under number 0920-0249,

``HIV Prevention Programs in Minority and Other Community-Based

Organizations Project Reports,'' Expiration date 8/31/99.

F. Confidentiality

All personally-identifying information obtained in connection with

the delivery of services provided to any individual in any program

supported under this announcement shall not be disclosed unless

required by a law of a State or political subdivision or unless such an

individual provides written, voluntary informed consent.

1. Non-personally-identifying, unlinked information, that preserves

the individual's anonymity, derived from any such program may be

disclosed without consent:

a. In summary, statistical, or other similar form, or

b. For clinical or research purposes.

2. Personally-identifying information: Recipients of CDC funds who

obtain and retain personally-identifying information as part of their

CDC-approved work plan must:

a. Maintain the physical security of such records and information

at all times;

b. Have procedures in place and staff trained to prevent

unauthorized disclosure of client-identifying information;

c. Obtain informed client consent by explaining the possible risks

from disclosure and the recipient's policies and procedures for

preventing unauthorized disclosure;

d. Provide written assurance to this effect including copies of

relevant policies; and

e. Obtain assurances of confidentiality by agencies to which

referrals are made.

Some projects may require an Institutional Review Board (IRB)

approval or a certificate of confidentiality.

Application Submission and Deadline

On or before January 6, 1997, submit the original and two copies of

the application (PHS Form 5161-1, OMB Number 0937-0189) to Van Malone,

Grants Management Officer, Grants Management Branch, Procurement and

Grants Office, Centers for Disease Control and Prevention (CDC), 255

East Paces Ferry Road, NE., Room 300, Mail Stop E-15, Atlanta, GA

30305. Faxed copies will NOT be accepted. In addition, CDC strongly

recommends that all applicants simultaneously submit a copy of the

application to their State HIV/AIDS Directors.

Deadline: Applications will meet the deadline if they are either

received on or before the deadline of 4:30 p.m. (EDST), January 6,

1997, or sent on or before the deadline date and received in time for

submission to the review group. (Applicants must request a legibly

dated U.S. Postal Service postmark or obtain a legibly dated receipt

from a commercial carrier or U.S. Postal Service. Private metered

postmarks will not be acceptable proof of timely mailing.)

Applications that do not meet these criteria will be considered

late and will not be considered in the current funding cycle. Late

applications will be returned to the applicant.

Where to Obtain Additional Information

To receive the application kit, call (404) 332-4561. You will be

asked to leave your name, address, and telephone number, and you must

refer to Announcement Number 704. You will then receive program

announcement 704, required application forms and attachments, a current

list of SPOCs, a summary of HIV-related objectives, a list of the State

health departments contact, and the HERR guidelines. The announcement

is also available through the CDC home page on the Internet. The

address for the CDC home page is http://www.cdc.gov.

If you have questions after reviewing the contents of the

documents, business management technical assistance may be obtained

from Maggie Slay, Grants Management Specialist, Grants Management

Branch, Procurement and Grants Office, Centers for Disease Control and

Prevention (CDC), 255 East Paces Ferry Road, NE., Room 300, Mail Stop

E-15, Atlanta, GA 30305, telephone (404) 842-6797, or INTERNET address,

[email protected].

Announcement Number 704, ``Cooperative Agreements for Community-

Based Human Immunodeficiency Virus (HIV) Prevention Projects,'' must be

referenced in all requests for information pertaining to these

projects.

Programmatic technical assistance may be obtained by calling Tim

Quinn or Sam Taveras in the Division of HIV/AIDS Prevention, National

Center for HIV, STD, and TB Prevention, Centers for Disease Control and

Prevention (CDC), Mail Stop E-58, Atlanta, GA 30333, telephone (404)

639-8317. (Technical assistance may also be obtained from your

respective State/local health departments.)

Potential applicants may obtain a copy of ``Healthy People 2000''

(Full Report; Stock No. 017-001-00474-0) or ``Healthy People 2000''

(Summary Report; Stock No. 017-001-00473-1) through the Superintendent

of Documents, Government Printing Office, Washington, DC 20402-9325,

telephone (202) 512-1800.

Dated: September 27, 1996.

Joseph R. Carter,

Acting Associate Director for Management and Operations, Centers for

Disease Control and Prevention (CDC).

[FR Doc. 96-25313 Filed 10-2-96; 8:45 am]

BILLING CODE 4163-18-P