[Federal Register Volume 64, Number 97 (Thursday, May 20, 1999)]
[Notices]
[Pages 27570-27574]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-12693]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Centers for Disease Control and Prevention
[Program Announcement 99144]
Cooperative Agreements for Non-Governmental Organization (NGO)
Partnerships Pilot Project; Notice of Availability of Funds
A. Purpose
The Centers for Disease Control and Prevention (CDC) and the United
States Agency for International Development (USAID) announces the
availability of fiscal year (FY) 1999 funds for a cooperative agreement
program for Non-Governmental Organization (NGO) Partnerships Pilot
Projects. This program addresses the ``Healthy People 2000'' priority
areas of Educational and Community-Based Programs, HIV Infection, and
Sexually Transmitted Diseases. The purpose of this program is to
facilitate the exchange of information through partnerships between
U.S. domestic NGOs and NGOs in developing countries where CDC and USAID
provide support for HIV/AIDS activities. Mutual learning can have
significant benefits for both the international and U.S. domestic
response to HIV/AIDS. The goal of the pilot project is to gather
experiential data regarding the most efficient and valuable avenues for
fostering sustainable linkages between developing world NGOs and U.S.
domestic NGOs, with improved capacity to deliver HIV/AIDS information
and prevention services as the ultimate result. Lessons learned and
assistance will be exchanged between the U.S. NGOs and the developing
world NGOs along lines of affinity, such as language/culture, risk
behaviors, and population groups. United States NGOs are especially
well equipped to provide this technical assistance since they have been
active in HIV/AIDS activities for more than a decade.
B. Eligible Applicants
Applications may be submitted by public and private nonprofit NGOs;
that is, universities, colleges, research institutions, hospitals,
other public and private nonprofit organizations, and federally
recognized Indian tribal governments, Indian tribes, or Indian tribal
organizations.
Acceptable evidence of nonprofit status, Internal Revenue Service
(IRS) 501(c)3, is a copy of a currently valid IRS tax exemption
determination letter; national organizations must also submit a
statement signed by the parent organization indicating that the
applicant is a local nonprofit affiliate and is authorized to apply for
funds. Proof of nonprofit status must be provided with the application.
No application will be accepted without proof of nonprofit status.
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
Approximately $230,000 is available in FY 1999 to fund
approximately 2-3 awards. It is expected that the average award will be
$80,000, ranging from $50,000 to $120,000. It is expected that the
awards will begin on or about September 1, 1999, and will be made for a
12-month budget period within a project period of up to 2 years.
Funding estimates may change based on the following: availability of
funds; scope and quality of applications received; appropriateness and
reasonableness of budget request; proposed use of project funds; and
extent to which the applicant is contributing its own resources to HIV/
AIDS prevention activities.
Continuation awards within an approved project period will be made
on the basis of satisfactory progress as evidenced by required reports
and the availability of funds. Satisfactory progress will be determined
by site visits by CDC representatives, progress reports, and the
quality plans.
Use of Funds
Funds available under this announcement must support activities
directly related to primary HIV prevention. However, intervention
activities that involve preventing other STDs or substance abuse as a
means of reducing or eliminating the risk of HIV infection may also be
supported. No funds will be provided for direct patient medical care
(including substance abuse treatment and medical prophylaxis or drugs).
These funds may not be used to supplant or duplicate existing
funding. Contracts with other organizations are allowable under these
cooperative agreements. However, applicants must perform a substantial
portion of the activities (including program management and operations
and delivery of prevention services) for which funds are requested.
Before using funds awarded through this cooperative agreement to
develop HIV prevention materials, recipients must enquire with the CDC
National Prevention Information Network (1-800-458-5231) to determine
if suitable materials are already available. Also, materials developed
by recipients must be made available for dissemination through the CDC
National Prevention Information Network.
D. Program Requirements
Potential activities to strengthen and sustain linkages among the
collaborating partners may include:
1. Operations research: training and technical assistance support
on how to use operations research to improve the delivery of primary
prevention services or assess the effectiveness of interventions.
Additional activities may include the development of interventions
based on research results;
2. Network development: training and assistance in the development
and strengthening of a formal network of NGOs to address the primary
prevention needs of one of the priority populations identified above
(e.g., youth, women, and men who have sex with men, IDUs). The
partnering activity should be designed to facilitate collaboration,
networking and information exchange among NGOs, government and donor
agencies;
3. Institutional development: management strengthening activities
to enhance performance. This may include the design and implementation
of management training workshops on strategic planning, change
management, time management, and project management. Other activities
many include volunteer motivation, performance management (staff
appraisal, development and improvement of work environment),
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impact measurement, fund-raising and income generation; and
4. Educational materials development: assessment and design of
materials that are suitable for various population groups and risk
behaviors.
In conducting activities to achieve the purpose of this program,
the recipient will be responsible for activities under Recipient
Activities, and CDC will be responsible for activities listed under CDC
Activities.
1. Recipient Activities
a. Use epidemiological data, needs assessments, and prioritization
of groups and interventions to design program activities and place
emphasis on communities at high risk for HIV infection;
b. Incorporate cultural competency and linguistic appropriateness
into all capacity and skills building efforts, including those
involving the development, production, dissemination, and marketing of
health communication or prevention messages;
c. Coordinate program activities with relevant counterpart foreign
national and regional HIV prevention programs to prevent duplication of
efforts;
d. Facilitate the dissemination of successful prevention
interventions and program models through meetings, workshops,
conferences, and other communications;
e. Broaden the linkages with counterpart communities in other
developing countries;
f. Compile ``lessons learned'' from the project and share these
with network organizations and CDC; and
g. Develop and implement a plan for obtaining additional resources
from non-CDC sources to supplement the program conducted through this
cooperative agreement and to enhance the likelihood of its continuation
after the end of the pilot project period.
2. CDC Activities
a. Provide consultation and technical assistance in planning,
operating, and evaluating prevention activities;
b. Provide up-to-date scientific information on 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. Facilitate the transfer of successful prevention interventions
and program models to other areas; and
e. Monitor the recipient's performance of program activities,
protection of client confidentiality and compliance with other
requirements.
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. The narrative should be no more than 45 double-spaced pages,
printed on one side, with one inch margins, and unreduced 12 CPI font.
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. Submit the original and each copy of the
application set unstapled and unbound. Materials that should be part of
the basic plan will not be accepted if placed in the appendices.
In developing the application, follow the format and instructions
below:
Format
1. Abstract
2. Organizational History and Capacity
3. Description of Target Population and Needs
Assessment
4. Program Plan
5. Evaluation Plan
6. Communications and Dissemination Plan
7. Plan for Sustaining Linkages
8. Personnel
9. Budget
10. Attachments
Instructions
1. Abstract (not to exceed 2 pages): Briefly summarize your
proposed program activities and include the following:
a. The need for the proposed activities;
b. Proposed plan of operation, including the populations to be
served, activities to be undertaken, and services to be provided;
c. Plans for evaluating the activities of this project;
d. Future year activities; and
e. Brief description of the applicant organization and its
``linkage'' partner/developing country counterpart.
2. Organizational History and Capacity (not to exceed 5 pages):
a. Describe your existing organizational structure, including
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. Describe your past and current experience in developing and
implementing effective HIV prevention strategies and activities, and in
developing and implementing programs similar to the one proposed in
this application.
c. Describe your capacity to provide culturally competent and
appropriate services that respond effectively to the cultural, gender,
environmental, social, and multilingual character of the target
populations, including any history of providing such services.
d. Describe your experience in collaborating with international and
developing country organizations that provide HIV prevention services.
e. Describe your experience in collaborating with government
agencies of a developing country, e.g., Ministry of Health, Ministry of
Education.
3. Description of Target Population and Needs Assessment (not to
exceed 6 pages):
a. Target Population: Describe the target populations to be served
through the proposed program, including the approximate number of
persons to be reached. Describe the impact of HIV/AIDS on the community
and any other specific environmental, social, cultural, or multilingual
characteristics of the target populations that the program will
consider and address in developing prevention strategies.
b. Needs Assessment: List and briefly describe current HIV
prevention and risk-reduction efforts under way among the target
populations and outline major gaps in the provision of prevention
services for the target populations.
(1) Explain any specific barriers to the dissemination of adequate
HIV prevention information and education that exist or have existed;
(2) Explain the unmet HIV prevention needs in the target community
and opportunities for creating linkages with U.S. based NGOs;
(3) Identify and describe the HIV prevention needs of the target
populations that the proposed program will directly address.
4. Program Plan (not to exceed 10 pages): Describe your proposed
program in an organized, concise manner. Funds available under this
program must be targeted to support activities directly related to
primary HIV prevention; however, intervention activities that involve
preventing other STDs and substance abuse as a means of reducing or
eliminating the risk of HIV infection may be supported. You may wish to
describe the conceptual basis for interventions and program activities.
Your program plan should describe and explain:
a. The specific behaviors and practices that the interventions are
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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).
b. The involvement of the target population in planning,
implementing, and evaluating activities and services throughout the
project period.
c. How the proposed priority interventions and services are
culturally competent, sensitive to issues of sexual identity,
developmentally appropriate, linguistically-specific, and educationally
appropriate.
In addition, the program plan should include:
a. Project objectives: Provide specific, realistic, time-phased and
measurable objectives to be accomplished during the first budget
period. Describe the expected outcomes of program activities on its
target populations.
b. Plan of operation: Describe the activities that will be
undertaken and specific interventions that will be provided to meet the
objectives within projected time frames during the first program year.
Outline the major steps necessary to attain specified objectives and
note the approximate dates by which activities will be accomplished.
Note all major activities that will represent necessary milestones in
the attainment of objectives. Describe, where possible, how you will
obtain participation and input into the program by appropriate service
groups or organizations, how collaborative relationships with other
agencies and organizations will be established and maintained, and the
extent to which members of the target population will be involved in
project planning and implementation. Include, as attachments, memoranda
of understanding or agreement as evidence of these established or
agreed upon collaborative relationships. Include a description of how
the proposed program fills gaps left by existing programs as determined
by the needs assessment.
c. Memorandum of Agreement between the applicant and the
``linkage'' partner/developing country counterpart. The memorandum of
agreement should include the following:
(1) Statement of agreement to collaborate and for what purpose
(what are the goals of the collaboration effort?). Provide full name,
address, and a description of each collaborating agency.
(2) Statement of services or goods each collaborating agency is
willing to provide or exchange.
(3) Statement of how services and goods will be provided or
exchanged.
(4) Statement of responsibilities related to confidentiality.
(5) Statement of responsibilities related to documentation and
reporting expected from each agency.
(6) Statement of how the MOA content (collaboration agreement) will
be reviewed, evaluated and updated, if necessary.
(7) Statement defining the length of the agreement (start and
termination clause).
(8) Statement clarifying the date of the agreement and signatures
of agency personnel authorized to commit collaborating agencies to
provide services and share resources.
Collaborating agencies may want to include a statement of
indemnity. For instance, no element of this agreement will be construed
to imply any form of financial obligation or liability, nor to confer
on one party the capacity to represent or act as an agent of the other.
d. Letter of Concurrence from the USAID Mission in the selected
host country. The letter should state that the USAID Mission has
reviewed the proposed activities and concurs with the request to
conduct the proposed activities. The letter should also indicate how
the proposed effort will contribute to the results framework of the
USAID Health Sector in the selected host country and that the activity
is consistent with the overall HIV/AIDS prevention efforts of the
Ministry of Health.
5. Plan of Evaluation (not to exceed six pages): How project
activities will be evaluated (i.e., a plan that will help determine if
the methods used to deliver these services are effective and the
objectives are being achieved). Clearly identify specific methods you
will use to measure progress toward attaining objectives and monitoring
activities during the first year of the program. Describe how that
information will be obtained, including a description of methods that
will be implemented to gather and record data, and in what manner it
will be summarized for Quarterly Progress Reports. Describe how data
will be used to improve the program and how successful approaches and
``lessons learned'' will be shared with other organizations.
6. Communications and Dissemination Plan: (not to exceed 2 pages).
7. Plan for Sustaining Linkages: (not to exceed 2 pages).
8. Personnel: Describe how the proposed program will be managed and
staffed, including the location of the program within your
organization. Describe in detail each existing or proposed position for
this program by job title, function, general duties, and activities
with which that position will be involved. Include the level of effort
and allocation of time for each project activity by staff position. If
the identity of any individual who will fill a position is known, her/
his name and curriculum vitae (not to exceed one page each) should be
attached. Note experience and training related to the proposed project.
If the identity of staff is not known, describe your recruitment plan.
If volunteers are involved in the project, provide job descriptions and
methods to ensure accountability to the project.
9. Budget Breakdown and Justification: Provide a detailed budget
for each priority activity to be undertaken, with accompanying
justification of all operating expenses that is consistent with the
stated objectives and planned activities of the project. CDC may not
approve or fund all proposed activities. Be precise about the program
purpose of each budget item and itemize calculations wherever
appropriate.
For the personnel section, indicate the job title, annual salary/
rate of pay, and percentage of time spent on this program.
For contracts contained within the application budget, name the
contractor, if known; describe the services to be performed; justify
using a third party; and provide a breakdown of and justification for
the estimated costs of the subcontracts; the kinds of organizations or
parties to be selected; the period of performance; and the method of
selection.
10. Attachments: Provide the following as attachments:
a. Proof of nonprofit status. No awards will be made without
acceptable proof of nonprofit status;
b. A list of the members of the governing body and their positions
on the board, their expertise in working with or providing services to
the proposed target population;
c. An organizational chart of existing and proposed staff,
including the board of directors, volunteer staff;
d. A description of any funding received from CDC or other sources
to conduct HIV/AIDS programs which includes:
(1) A summary of funds and income received to conduct HIV/AIDS
programs and other programs targeting the population proposed in the
program plan. This summary must include the name of the sponsoring
organization/source of income, level of funding, a description of how
the funds have been
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used, and the budget period. In addition, identify proposed personnel
devoted to this project who are supported by other funding sources and
the activities of the funded programs;
(2) A summary of the objectives and activities of the funded
programs;
(3) A description of how the requested funds will be used
differently or in ways that will expand upon the funds already
received, applied for, or being received; and
(4) An assurance that the funds being requested will not duplicate
or supplant funds received from any other source.
e. Independent audit statements from a Certified Public Accountant
for the previous 2 years.
f. Affiliates of national organizations must include an original,
signed letter from the chief executive office of the national
organization assuring their understanding of the intent of this program
announcement and the responsibilities of recipients.
Note: Materials submitted as attachments should be printed on
one side of 8\1/2\ x 11 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\ x 11 paper. Bound materials
will not be reviewed.
F. Submission and Deadline
Submit the original and two copies of PHS 5161-1 (OMB Number 0937-
0189). Forms are in the application kit.
On or before July 23, 1999, submit the application to: Patrick
Smith, Grants Management Specialist, Grants Management Branch,
Procurement and Grants Office, Announcement 99144, Centers for Disease
Control and Prevention, 2920 Brandywine Road, Mail Stop E-15, Room
3000, Atlanta, Georgia 30341-4146.
Deadline: Applications shall be considered as meeting the deadline
if they are either received on or before the deadline date or sent on
or before the deadline date and received in time for submission to the
independent review group. (Applicants must request a legibly dated U.S.
Postal Service postmark or obtain a legibly dated receipt from a
commercial carrier or U.S. Postal Service. Private metered postmarks
shall not be acceptable as proof of timely mailing.) Applications that
do not meet these criteria 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. Organizational History and Capacity (25 points): The extent to
which the applicant demonstrates experience in providing HIV prevention
services to the target population and demonstrates experience in
collaborating with non-governmental organizations and government
agencies of a developing country.
2. Description of Target Population and Needs Assessment (10
points): The extent to which the applicant demonstrates a need for the
program.
3. Plan for Sustaining Linkages (25 points): The extent to which
the applicant provides proof of collaboration with the linkage partner/
developing country counterpart, USAID Mission, and government agencies
in the host country. This includes a letter of concurrence from the
USAID Mission and government agencies in the host country, a signed
memorandum of agreement with the linkage partner, as well as signed
work plans, or other evidence of collaboration. The memorandum of
agreement should describe previous, current, as well as future areas of
collaboration.
4. Program Objectives (10 points): The extent to which the proposed
objectives are specific, measurable, time-phased, related to the
proposed activities, related to national HIV prevention goals, and
consistent with the applicant's overall mission.
5. Program Plan (25 points): The quality of the applicant's plan
for conducting program activities and the potential effectiveness of
the proposed methods for establishing and sustaining partnerships.
6. Evaluation Plan (10 points): The extent to which the evaluation
plan measures the accomplishment of program objectives.
7. Personnel (not scored): The appropriateness of the staffing
pattern for the proposed project.
8. Budget (not scored): The appropriateness of the budget for the
proposed project. A business and fiscal recipient capability assessment
may be required of some applicants prior to the award of funds.
Before final award decisions are made, CDC may conduct pre-
decisional site visits to highly ranked applicants. The purpose of
these site visits will be to meet with project staff and a
representative of the board of directors to assess the organizational
capability of the applicant to implement the proposed program.
H. Other Requirements
Technical Reporting Requirements
Provide CDC with the original plus two copies of:
1. Quarterly progress reports
2. Financial status report, no more than 90 days after the end of
the budget period; and
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, Mail Stop E-15,
Room 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 kit.
AR-4 HIV/AIDS Confidentiality Provisions
AR-5 HIV Program Review Panel 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(a) and 317 of the
Public Health Service Act, [42 U.S.C. section 241(a) and 247(b)], as
amended. The Catalog of Federal Domestic Assistance Number is 93.939,
HIV Prevention Activities--Non-governmental Organization Based.
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 99144, Centers for
Disease Control and Prevention (CDC), 2920 Brandywine Road, Mail Stop
E-15, Room 3000, Atlanta, GA 30341-4146, telephone (770) 488-2731,
Email address [email protected]
For program technical assistance, contact: Renee J. Saunders,
M.S.W., National Center for HIV, STD, and TB
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Prevention, Centers for Disease Control and Prevention 1600 Clifton
Road, NE, Mail Stop E-35, Atlanta, Georgia 30333, Telephone (404) 639-
5259, Email address: [email protected]
See also the CDC home page on the Internet: HTTP://WWW.CDC.GOV.
Dated: May 14, 1999.
Henry S. Cassell III,
Acting Director, Procurement and Grants Office, Centers for Disease
Control and Prevention (CDC).
[FR Doc. 99-12693 Filed 5-19-99; 8:45 am]
BILLING CODE 4163-18-P
