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Federal Register Notice for Community Implementation "Micro-Grant" Pilot Program

[Federal Register: July 16, 2001 (Volume 66, Number 136)]
[Page 37033-37036]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]



Office of the Secretary
Office of Public Health and Science; Office of Disease Prevention 
and Health Promotion

AGENCY: Office of Public Health and Science, Office of Disease 
Prevention and Health Promotion, HHS.

ACTION: Notice of availability of funds and request for applications 
for the Healthy People 2010 Community Implementation Program.


SUMMARY: The Office of Disease Prevention and Health Promotion 
announces the availability of fiscal year (FY) 2001 funds for a 
competitive cooperative agreement with one or more organizations to 
manage and support one or more two-year pilots of the Healthy People 
2010 Community Implementation Program to study the efficacy of 
microfinance to support Healthy People 2010 implementation activities 
by community-based organizations. The goal of this program is to 
provide very small amounts of money to a wide variety of local, 
community-based organizations to assist them in conducting one or more 
activities related to Healthy People 2010 and the Leading Health 
Indicators. Approximately $500,000 to $700,000 is available in first-
year funds for creation and promotion of a program for distributing 
very small grants (no more than $2,010 per organization) to multiple 
community-based organizations from one or more predefined, geographic 
areas; for the coordination of solicited applications from community-
based organizations; for administration of the selection process; and 
for evaluation of the project with the aim of developing a model to be 
used for national replication. This award will begin on or about 
September 30, 2001 for a 12-month budget period with a project period 
of 2 years. Funding estimates may vary and are subject to change. 
Continuation awards within the project period will be made on the basis 
of satisfactory progress and availability of funds. The OMB Catalog of 
Federal Domestic Assistance number for the National Health Promotion 
Program is 93.990.

SUPPLEMENTARY INFORMATION: The Office of Disease Prevention and Health 
Promotion (ODPHP) uses cooperative agreements with public and non-
profit organizations to support its mandate to provide leadership to 
promote health and prevent disease among Americans through management 
and coordination of the implementation of Healthy People 2010, the 
nation's health objectives for this decade. Through cooperative 
agreements, ODPHP has forged public-private partnerships to extend the 
reach and effectiveness of its work. For a copy of Healthy People 2010, 
visit the Internet site: http://www.health.gov/healthypeople.
    ODPHP intends to provide financial assistance in the range of 
$500,000 to $700,000 to one or more successful grantees to plan and 
administer one or more competitive grant programs for community-based 
organizations who demonstrate an interest in conducting Healthy People 
2010 implementation activities at the local level and to pilot this 
program over two years in a defined geographic region with the intent 
of developing recommendations that will form the basis of a national 
program. The purpose of this program is to provide ``seed money'' to 
local, non-profit organizations to begin or continue programs designed 
to increase the quality and years of healthy life and/or to eliminate 
health disparities through the implementation of one or more Healthy 
People 2010 objectives or the Leading Health Indicators at the 
community level. This cooperative agreement is intended to encourage 
community health promotion efforts and link them to the larger, 
national health agenda that is described by Healthy People 2010. By 
developing catalysts in communities whose aim is to improve the quality 
of life of residents, we make progress toward improving the quality of 
life for the entire nation. The successful grantee will: design the 
program; advertise availability of funds; coordinate distribution of 
announcements; develop, distribute, receive and screen applications; 
arrange for the transfer of funds (the balance of the total grant 
award) to community-based projects with successful applications; design 
and implement a basic program evaluation component as described below; 
and develop recommendations and a model for national implementation of 
the program at the end of the two-year period.

Submission Information

    Applications for this announcement shall be submitted to Ms. Karen 
Campbell, Grants Management Officer, Division of Management Operations, 
Office of Minority Health, Rockwall II Building, Suite 1000, 5515 
Security Lane, Rockville, MD 20852. Send the original and 2 copies of 
the complete application to this address.

Application Deadline

    To receive consideration, applications must be received by August 
15, 2001. Applications will be considered as meeting the deadline if 
they are: (1) Received on or before the deadline date, or (2) 
postmarked by the U.S. Postal Service on or before the deadline date 
and received in time for orderly processing. A legibly dated receipt 
from a commercial carrier such as FedEx will be accepted in lieu of a 
postmark. Private metered postmarks will not be accepted as proof of 
timely mailing. Applications hand-carried by applicants or by applicant 
couriers shall be considered as meeting an announced deadline if they 
are received on or before the deadline date between the hours of 9 am 
to 5 pm at the address indicated above. Applications submitted by 
facsimile transmission (FAX) or any other electronic format will not be 
accepted. Applications which do not meet the deadline will be 
considered late and will be returned to the applicant unread.

[[Page 37034]]

Application Kit

    For this cooperative agreement, Form PHS 5161-1 (Revised July, 2000 
and approved by OMB under Control Number 0937-0189) must be used. An 
applicant is advised to pay close attention to the specific program 
guidelines and general instructions provided in the application kit. To 
get an application kit, write to: Ms. Karen Campbell, Grants Management 
Officer, Division of Management Operations, Office of Minority Health, 
Rockwall II Building, Suite 1000, 5515 Security Lane, Rockville, MD 
20852; or call Karen Campbell at (301) 594-0758.

FOR FURTHER INFORMATION CONTACT: Ms. Sally Jones, Administrative 
Officer, Office of Disease Prevention and Health Promotion, Hubert H. 
Humphrey Building Room 738-G, 200 Independence Avenue, SW., Washington, 
DC 20201, (202) 260-7654.


    This program is authorized under section 301 and sections 1701 
through 1704 of the Public Health Service Act, as amended, 42 U.S.C. 
241 and 42 U.S.C. 300u through 300u-3.

Eligible Applicants

    To qualify for funding, an applicant must be a non-profit 
organization with a history of addressing health and human services or 
public health issues. The successful applicant must have a strong 
knowledge of disease prevention and health promotion policy and 
programs; must have an understanding of the Healthy People program and 
formulation and management of national health goals and objectives; 
must have demonstrated the ability to work with and obtain information 
from both community-based and public organizations in the health 
sector; must have demonstrated program evaluation experience; must have 
capacity to promote and manage this program in a defined geographic 
area; and must share the vision of the value of the microfinance 
approach to stimulate health promotion activities in communities.

Availability of Funds

    About $500,000 to $700,000 is expected to be available for award in 
FY 2001, funding one or more cooperative agreements. It is expected 
that this award will begin on or about September 30, 2001 and will be 
made for a 12-month budget period with a project period of up to two 
years. Funding estimates may change. It is expected that the successful 
grantee will make at least 100 awards to widely diverse community-based 
organizations, with an amount of no more than $2,010 per award.

Use of Funds

    Funds cannot be used for construction or renovation, to purchase or 
lease vehicles or vans, to purchase a facility to house project staff 
or carry out project activities, or to substitute new activities and 
expenditures for current ones.

Project Requirements

Recipient Responsibilities

    1. The successful applicant(s) will widely advertise and solicit 
proposals in a particular geographic region of the nation from 
community-based organizations providing health promotion and disease 
prevention activities for the purpose of increasing progress toward the 
achievement of Healthy People 2010 objectives and the Leading Health 
Indicators at the local level. A key responsibility is making the 
program known to as wide a range of groups as possible.
    2. The successful applicant(s) will provide funding to selected 
community-based organizations in their particular geographic region to 
implement Healthy People 2010 at the local level. Recipients could 
include community service or civic organizations; groups focused on 
specific populations such as youth, the elderly, minorities or the 
medically under-served; faith-based organizations; public health 
service groups, or any other relevant non-profit organization. The 
selected organizations must:
 Be a preexisting organization with a history of providing 
public health activities in the local community;
 Focus their project activities on one or more Healthy 
People 2010 objectives or Leading Health Indicators.
    Priority will be given to collaborations of three or more 
    3. The successful applicant(s) will establish a management team to 
execute the Healthy People 2010 Community Implementation Program.
    4. The successful applicant(s) will establish a 9 member advisory 
board, comprised of experts in community-based public health, which 
will provide guidance and technical advice solely to the cooperative 
agreement management team. This board will review and approve criteria 
and design plans before the pilot is implemented in the first year.
    5. The successful applicant(s) will convene a meeting with the 
Advisory Board at least once a year thereafter.
    6. The successful applicant(s) will require a one-page written 
summary of activities from each funded institution and will conduct 
site visits to at least 5 percent of funded institutions to ensure 
compliance with the intent of the program.
    7. The successful applicant(s) will initiate an evaluation of the 
overall project at the end of the first year, which will be completed 
by the end of the second year.
    8. The applicant will submit a report on the overall project at the 
end of the second year that provides recommendations for project design 
and implementation and details a national model that can be used to 
replicate the program across the country.

ODPHP Responsibilities

    Substantial programmatic involvement is as follows:
    1. ODPHP will provide technical assistance and oversight as 
necessary for the overall design and implementation of the Healthy 
People 2010 Community Implementation Program.
    2. ODPHP will participate in the development of, and ultimately 
approve, evaluation criteria for the selection and funding of the 
    3. ODPHP will have final approval of the Advisory Board membership.
    4. ODPHP will provide assistance to the management team on program 
strategies, direction, evaluation activities, and decisions related to 
adjustments in funding levels of participating institutions.
    5. ODPHP will participate in site visits to the participating 
projects as deemed appropriate.

Review of Applications

    Applications that are not complete or that do not conform to or 
address the criteria of the announcement will be returned without 
comment. Each organization may submit no more than one proposal under 
this announcement. Organizations submitting more than one proposal will 
be deemed ineligible. The proposals will be returned without comment. 
Accepted applications will be reviewed for technical merit in 
accordance with PHS policies. Applications will be evaluated by an 
Objective Review Panel. Panel members are chosen for their expertise in 
community-based public health and their understanding of health 
promotion and disease prevention issues at the national and local 
levels. Applications should be no more than 30 pages in length, 
excluding resumes and organizational background material.

[[Page 37035]]

Application Review Criteria

    The technical review of applications will consider the following 5 
generic factors:
(1) Project Approach and Activities (30 points)
    The proposed objectives in the work plan relate to the goal to 
increase the quality and years of healthy life and/or to eliminate 
health disparities through implementation of Healthy People 2010 at the 
local level through the engagement of community-based organizations 
addressing public health issues. Each work plan describes:
 Measurable or quantifiable results or outcomes;
 How the results or outcomes relate to the project goals;
 How the project can be accomplished with the available or 
expected resources during the project period;
 How the main activities will be accomplished;
 Which staff will conduct the specific project activities;
 How the criteria for selection of funded organizations 
will be developed and applied;
 How the application for community-based organizations will 
be developed, distributed, promoted, processed, and screened;
 How to ensure selected organizations link their projects 
to Healthy People 2010 objectives and/or the Leading Health Indicators;
 How to promote awareness of this program to nontraditional 
groups, especially local community-based organizations;
 How to ensure diversity of projects funded by type and 
subject; and
 How to ensure broad distribution of projects within the 
target population and/or region.
(2) Project Evaluation (20 points)
    Clarity of the intent and plans to document the activities and 
their outcomes;
    Feasibility and appropriateness of evaluation design;
    Ability to share and disseminate project results widely;
    Demonstration of innovative approaches for evaluating 
microfinancing in public health;
    Preliminary indications of potential for replication of the project 
on a national level for communities; and
    Described approach for final project report that focuses on 
expanding the project nationally and replicating best practices.
(3) Organizational Capabilities/Qualifications (20 points)
    The management and administrative structure of the applicant is 
explained. Evidence of the applicant's ability to manage a project of 
the proposed scope is well defined. The application clearly 
demonstrates the successful management of projects of similar scope by 
the organization and or by the individual and/or team designated to 
manage the project. The organization's active involvement in community-
based public health is demonstrated.
    Position descriptions and/or resumes of key personnel, including 
those of consultants, are presented. The position descriptions and/or 
resumes relate specifically to the staff proposed in the proposed 
approach and in the proposed budget of the application. Position 
descriptions clearly describe the position and its duties and clearly 
relate to the personnel staffing required to achieve the project 
objectives. Resumes demonstrate that the proposed staff are qualified 
to carry out the proposed activities. Either the position descriptions 
or the resumes contain the qualifications, and/or specialized skills, 
necessary for overall quality management of the project. Resumes must 
be included if individuals have been identified for positions in the 
(4) Background and Goals (15 points)
    Demonstrated knowledge of health promotion and disease prevention 
objectives and issues at the local and national levels;
    Demonstrated need within the proposed target population;
    Demonstrated ties to the community;
    Demonstrated support and established linkages in order to conduct 
proposed model;
    Extent and documented outcome of past efforts/activities with the 
target population;
    Description of stated priorities and goals in the targeted region 
or population proposed; and
    Proposed number and type of community-based organizations the 
grantee plans to target.
(5) Budget (15 points)
    A detailed and fully explained budget is provided which:
 Justifies each line item, with a well-written 
justification, in the budget categories of the application;
 Includes and justifies sufficient cost and other necessary 
details to facilitate the determination of cost allowability and the 
relevance of these costs to the proposed project;
 Requests funds which are appropriate and necessary for the 
scope of the proposed project; and
 Demonstrates administrative efficiency and value which 
allows for the maximizing of resources available to the selected, 
community-based organizations.

Reporting and Other Requirements

General Reporting Requirements

    A successful applicant under this notice will submit: (1) Quarterly 
progress reports; (2) an annual Financial Status Report; and (3) a 
final progress report and Financial Status Report in the format 
established by ODPHP, in accordance with provisions of the general 
regulations which apply under "Monitoring and Reporting Program 
Performance," 45 CFR 74.51-- 74.52, with the exception of State and 
local governments to which 45 CFR part 92, Subpart C reporting 
requirements apply.

Provision of Smoke-Free Workplace and Non-Use of Tobacco Products by 
Recipients of PHS Grants

    The PHS strongly encourages all grant recipients to provide a 
smoke-free workplace and to promote the non-use of all tobacco 
products. In addition, Public Law 103-227, the Pro-Children Act of 
1994, prohibits smoking in certain facilities (or in some cases, any 
portion of a facility) in which regular or routine education, library, 
day care, health care or early childhood development services are 
provided to children.

Public Health System Reporting Requirements

    This program is subject to Public Health System Reporting 
Requirements. Under these requirements, a community-based 
nongovernmental applicant must prepare and submit a Public Health 
System Impact Statement (PHSIS). The PHSIS is intended to provide 
information to State and local health officials to keep them apprised 
of proposed health services grant applications submitted by community-
based organizations within their jurisdictions.
    Community-based nongovernmental applicants are required to submit, 
no later than the Federal due date for receipt of the application, the 
following information to the head of the appropriate State and local 
health agencies in the area(s) to be impacted: (a) A copy of the face 
page of the application (SF 424), and (b) a summary of the project 
(PHSIS), not to exceed one page, which provides: (1) A description of 
the population to be served, (2) a

[[Page 37036]]

summary of the services to be provided, and (3) a description of the 
coordination planned with the appropriate State or local health 
agencies. Copies of the letters forwarding the PHSIS to these 
authorities must be contained in the application materials submitted to 
the Office of Disease Prevention and Health Promotion.

State Reviews

    This program is subject to the requirements of Executive Order 
12372 which allows States the option of setting up a system for 
reviewing applications from within their States for assistance under 
certain Federal programs. The application kit available under this 
notice will contain a list of States which have chosen to set up a 
review system and will include a State Single Point of Contact (SPOC) 
in the State for review. Applicants (other than federally recognized 
Indian tribes) should contact their SPOCs as early as possible to alert 
them to the prospective applications and receive any necessary 
instructions on the State process. For proposed projects serving more 
than one State, the applicant is advised to contact the SPOC of each 
affected State. The due date for State process recommendations is 60 
days after the application deadline established by the Office of 
Disease Prevention and Health Promotion's Acting Grants Management 
Officer. The Office of Disease Prevention and Health Promotion does not 
guarantee that it will accommodate or explain its responses to State 
process recommendations received after that date. (See 
"Intergovernmental Review of Federal Programs" Executive Order 12372 
and 45 CFR part 100 for a description of the review process and 

Dated: July 3, 2001.
Randolph F. Wykoff,
Deputy Assistant Secretary for Health (Disease Prevention and Health 
Promotion), Director, Office of Disease Prevention and Health 
[FR Doc. 01-17696 Filed 7-13-01; 8:45 am]

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